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Article

Constraints on Public Policy Design and Formulation: A Case Study on the Conservation of Natural Resources in Local Governments of the Amazonia, Peru

by
Einstein Bravo
1,*,
Carlos A. Amasifuen
1,
Ilse S. Cayo
2,
Eli Pariente
1,
Tito Sanchez
1,
Jheiner Vásquez
1 and
Alex J. Vergara
1
1
Institute of Research, Innovation and Development for the Agricultural and Agro-Industrial Sector of the Amazon Region (IIDAA), Faculty of Engineering and Agricultural Sciences, Toribio Rodriguez de Mendoza National University of Amazonas, Cl. Higos Urco 342, Chachapoyas, Amazonas 01001, Peru
2
Faculty of Animal Husbandry Engineering, Agribusiness and Biotechnology, Toribio Rodriguez de Mendoza National University of Amazonas, Cl. Higos Urco 342, Chachapoyas, Amazonas 01001, Peru
*
Author to whom correspondence should be addressed.
Sustainability 2024, 16(19), 8559; https://doi.org/10.3390/su16198559
Submission received: 4 August 2024 / Revised: 3 September 2024 / Accepted: 9 September 2024 / Published: 2 October 2024
(This article belongs to the Topic Climate Change and Environmental Sustainability, 3rd Volume)
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Abstract

:
The high rate of depredation of forest resources causes major climatic changes that affect the economic activities and health of populations, plunging them into poverty and social problems. The state is responsible for dealing with these problems, because it has the technical, legal, and economic power to do so. This research aims to identify the factors that limit the design and formulation of public policies for the conservation of natural resources at the level of local district and provincial governments in Peru. For this study, we used qualitative methodology and non-probabilistic sampling, as well as techniques such as unstructured interviews, focus groups, and documentary review; moreover, for data analysis, we applied the theoretical saturation design in grounded theory. The results show that the conservation of natural resources is not positioned as a priority public policy in municipal administrations; furthermore, the organic units of natural resources suffer financial restrictions, and not because of a lack of budget availability, but because of a lack of will and decision-making capacity of authorities and civil servants, as well as a lack of coordination between the different national governments. It concludes that there are conflicts of interest in public policy making, with abuse of power and corruption predominating. Furthermore, the complexity of addressing sustainability criteria and the inability to confront the environmental crisis mean that international summits and national norms are attenuated in the face of the problems of environmental degradation. Deforestation should be considered a major public priority problem because of its environmental, economic, social, and health impacts. These problems require a holistic approach that combines local, national, and international policies and fosters effective and participatory governance.

1. Introduction

In recent years, the sustainability challenge, which encompasses economic, social, energy, and environmental dimensions, has become increasingly apparent. To ensure worldwide prosperity and a sustainable future for humanity by 2030, the United Nations introduced the Sustainable Development Goals (SDG), which focus on sustainable agriculture, economic growth, clean and efficient energy, and innovation [1].
The agricultural sector is not just the backbone of a country’s economy, but also a source of income generation and employment opportunities. It plays a crucial role in providing livelihoods, especially in rural areas, and is essential for a better standard of living and adequate food security. Currently, the demand for food is increasing rapidly, due to population growth, which in turn results in increased CO2 emissions, natural resources vulnerability, and loss of green areas. However, due to the link between agriculture transformation and modernization, GHGs and CO2 emissions are becoming significant challenges for countries worldwide [2,3].
Nature-based solutions (NbS) address diverse societal challenges, climate change, natural disasters, and water security, combining human well-being with biodiversity benefits. Research on NbS governance is limited, with significant studies in European countries and little relevant research in other continents [4]. Nature-based solutions (NbS) are recognized under the United Nations Framework Convention on Climate Change and the Convention on Biological Diversity (CBD). Similarly, Ref. [5] point out that the Convention on Biological Diversity (CBD) requires halting the loss of natural resources and promoting measures that lead to a sustainable future.
Peru is a signatory of the Biological Diversity Convention (CBD) of 1992. The National Environmental Council (CONAM) formulated the “National Strategy for Biological Diversity” for 2021, approved by Supreme Decree N° 102-2001-PCM [6]. This instrument (currently being updated) establishes the policies, measures, and priority actions of political, legal, economic, and technical order. The objective is to practice the conservation of diversity, the sustainable use of its components, and the fair and equitable sharing of the benefits of using genetic resources. Its strategic line No. 8 obliges local governments to adopt immediate national strategies and improve their role in natural resource management. Likewise, the Organic Law of Municipalities of Peru, Law No. 27972, Art. 141°, authorizes the use of public resources to formulate, approve, execute, and evaluate policies for the sustainability of natural biodiversity and the fight against environmental degradation, climate change, and poverty, with the capacity to regulate and sanction bad practices that contribute to environmental degradation [7]. Considering legal instruments, there is no evidence of representative or successful public policies in Peru’s local governments, nor is there any management with concrete results in reducing vulnerability and promoting the resilience of natural resources (reforestation projects, creation of natural protected areas, and sustainable agriculture). Furthermore, there is no relationship between the State, society, and natural resources. However, they are also part of the Nationally Determined Contributions (NDC), which aim to address climate change by formulating adaptation and mitigation targets. These agreements involve all sectors and actors of society around common goals for the country’s sustainability. The NDC are framed within the Paris Agreement on climate change, ratified by Peru on 22 July 2016 [8]. In this sense, the NDC establish objectives and targets to reduce the vulnerability to climate change hazards in (1) agriculture, (2) forests, (3) fisheries and aquaculture, (4) health, and (5) water. The NDC incorporate cross-cutting approaches that consider disaster risk management, public infrastructure, poverty mitigation of vulnerable populations, gender and interculturalism, and private investment promotion [8].
However, systematic analytical frameworks for climate change mitigation policies are focused on technical reports [9], with a dearth of relevant literature. Currently, studies on climate change mitigation policies mainly focus on the NDC [10,11,12], climate legislation [13,14,15,16], policy instruments [17,18,19,20,21], technological innovation [22,23,24], social issues in climate governance [25,26], and climate justice [17]. Three key aspects of climate change mitigation have been highlighted, as follows Firstly, the extent of Nationally Determined Contributions (NDC) within a country’s climate mitigation policies [27,28]; secondly, the evaluation of specific policy instruments such as laws [15,29]; and, thirdly, the focus on reducing emissions in the energy sector [30], transportation [31], industry [32], and agriculture [33]. Over the past two decades, there has been a consistent increase in climate change mitigation policies [34]. This increase can be attributed to several factors. First, the United Nations Framework Convention on Climate Change and the Paris Agreement have encouraged countries to take action to mitigate climate change [28,35]. Second, when international organizations disseminate policies, it increases the likelihood that countries will adopt similar climate change mitigation policies that have been implemented by other nations [36]. Third, there has been a rise in public attention to climate change [37].
Global environmental conventions present challenges due to the vagueness of legal obligations and the inconsistency of in-country reports, making it difficult to determine the extent to which countries meet their commitments and translate them into national policies [38]. Now, there needs to be a common understanding of the terminology and fundamental concepts for evaluating the effectiveness of implemented measures and their impact on the environment, and these need to be developed [39,40,41]. Furthermore, in some cases, the existing evidence shows that states do not carry out these changes and behave contrary to expectations [38]. Against this background, Ref. [42] note that there is substantial literature on natural resource management; however, it is underrepresented at the national and global scale and in macroeconomic policies.
Ref. [43] indicate that coherent international political cooperation in forestry and integrated actions in agriculture, bioenergy, and mining are needed to improve the prospects of achieving the United Nations Sustainable Development Goals by 2030.
In addressing the challenge of climate change in Peru, it is essential that environmental policy makers in district and provincial municipalities, as well as researchers, understand the main factors that increase vulnerability and negatively affect the resilience of natural resources. Therefore, the main objective of this work was to identify these factors and propose possible solutions that will make a difference in the design and implementation of public policies for the conservation of natural resources.
To address the above aim, this study is divided into three sections. The first deals with the details of the theoretical framework that makes climate change and natural resource vulnerability a priority public problem. The second deals with this study’s methodology, and the third deals with the results and discussions. The data will help us to understand the state of public policy management in the Amazonia of Peru in relation to natural resource conservation and climate change mitigation.

2. Theoretical Framework That Considers Natural Resource Vulnerability and Climate Change as a Priority Public Issue

2.1. Attributes of Natural Resource and Climate Change Vulnerability

Ref. [44] indicates that, in order to consider the vulnerability of natural resources and climate change as priority public issues, they must have attributes such as economic, human, and organizational resources, as well as the generation and update of information for decision makers. Coordinated participation with the civil actors and sectors that create and implement laws (executive and legislative) should also be considered in order to prioritize sustainable public policies (see Table 1).
Economic resources, public policies, and the generation of information for decision makers are attributes that any priority public issue should have. However, the attributes of local capacity building in response to adaptation are also fundamental resources in terms of climate change policy and natural resource vulnerability. In a globalized world, international negotiations are of paramount importance, as this is where we can pool efforts and resources. However, maintaining a country’s sovereignty means listening to the people who live with natural resource or environmental problems on a daily basis; therefore, in this sense, all possible perspectives must be included when developing plans and strategies. For this reason, local and international governments must become the mediators of the interests, strategies, and conflicts that come from society in order to provide a better solution [44].

2.2. Details of Forest Resource Degradation Levels in Peru

In Peru, 2,921,137 ha of tropical forests were lost during the period of 2001 to 2022, according to GeoBosques. Available online: https://geobosques.minam.gob.pe/geobosque/view/perdida.php (accessed on 29 August 2024). For such effects, see the following Figure 1, Figure 2, Figure 3 and Figure 4, according to [45].

2.3. Reasons for the Causes of Weak Governance in the Face of Natural Resource Vulnerability as a Priority Public Issue

The rapidly increasing population and the increasing demand for natural resources under the business-as-usual society and the economic structure that normalizes unsustainable development pathways, due to a weak governance structures, create ineffective climate-resilient policies that lead to unabated emissions with consequences on climate change [46]. Let us remember that deforestation is the main evil that threatens the environment and other natural resources, with disastrous consequences for humanity. The following are some of the identified causes.

2.3.1. Weak Enforcement of Laws and Regulations

The lack of resources and institutional capacity to enforce forest laws and regulations is a major cause of deforestation. The ineffective implementation of forest protection policies allows illegal activities such as unauthorized logging and uncontrolled agricultural expansion [43,47].

2.3.2. Corruption

Corruption can undermine forest management efforts. Corrupt officials may ignore environmental regulations in exchange for bribes or favors, thereby contributing to deforestation. Also, the globalization and corruption permeating within developing countries impede transparency and accountability, resulting in the resource curse [47,48].

2.3.3. Lack of Coordination among Sectors

Refs. [49,50] emphasize that the lack of coordination between different government sectors and non-governmental organizations can lead to the ineffective management of forest resources. This institutional fragmentation makes it difficult to implement comprehensive strategies to combat deforestation.

2.3.4. Weak Participation by Local Communities

Ref. [49] examines how the exclusion of local communities from decision-making processes in forest management can lead to the degradation of natural resources. A lack of local participation in forest management can lead to conflict and less effective resource management.

2.3.5. Pressure from Economic Interests

Refs. [51,52] discuss how economic interests, such as agriculture, mining, civil activities, and logging, pressure governments to prioritize economic development over environmental protection. This pressure can result in poor forest governance.

2.3.6. Limited Technical Capacity

Refs. [51,52] highlight how the limited technical capacity of government sectors to monitor and manage forests contributes to deforestation. The lack of adequate technology and data can hamper the ability of the authorities to respond to deforestation threats.

2.3.7. Inadequate Public Policies and Methods

Refs. [46,47] analyze how inadequate or poorly designed public policies and methods may not adequately address the underlying causes of deforestation. The absence of comprehensive and coherent policies contributes to poor governance and ultimately to forest degradation.
Figure 5 shows that poor governance in reforestation severely hampers efforts to conserve and restore forest ecosystems, resulting in long-term negative environmental impacts. A lack of strategic planning, corruption, and weak law enforcement allow illegal logging, poor project management, and the loss of critical resources. These problems lead to a significant reduction in forest cover, the loss of biodiversity, and land degradation, making natural resources more vulnerable and less able to recover.

3. Methods

This research is qualitative, meaning that the search for knowledge uses an inductive scheme, generating theories and concepts from individual or group actors’ subjective discourse and interactions [53].
This research used non-probabilistic sampling, sample selection by judgment or convenience, and theoretical sampling to collect relevant information and discard that which lacked analytical value [54]. According to [55], the sample size is not important from a probabilistic perspective in qualitative studies because the researcher’s interest is not to generalize the study’s results to a larger population, but rather to go deeper. The years studied were 2021 to 2023.
The experimental design used was “the case study.” This design studies organizations, groups, or individuals whose results help to propose and develop public policies and changes, evaluate programs, and build research instruments for political and scientific purposes [56]. The results of this design constitute a theoretical formulation of the reality under study, and, instead of collecting a set of numbers or groups of slightly related topics, theories that support the research and are attached to reality were constructed.
Since it is an external and very complex reality with a qualitative perspective, official written sources, unstructured interviews, and focus groups were used [57]. Likewise, the analysis of each official document was oriented to identify the objectives, expectations, and approaches of local governments regarding the formulation of public policies of interest. In regard to an unstructured interview, this research is a very little researched topic, and we had an approach to researchers or connoisseurs of the local reality, being the mayors and municipal officials, using the Delphi method of real-time prevailing anonymity [58]. The Delphi method was used because it is applicable in cases where individual arguments and opinions need to be contrasted and combined to reach decisions that cannot be taken unilaterally [59]. Each interviewee exposed their reflections and interpretations, which allowed us to obtain representative empirical data under the objectives of this research [53]. A focus group was used to understand the expectations or opinions of the local economic actors on the need to reduce the vulnerability of natural resources and support their resilience. This technique allowed us to triangulate the responses of the interviewees, and, together with the documentary review, made it possible to build a consensus and establish a theory according to the findings. In these inquiry modalities, the decisive factor is not the size of the sample, but the richness of the data provided by the participants and the researcher’s direct observation and analysis skills [60].
With respect to observations and own experience, words, silences, actions, or immobilities were analyzed through hermeneutics. For this, hermeneutics was used as a complementary tool to understand and interpret more objectively the discourse at a microsociological level [53].
To define the results of this research, we rely on [61,62], who recommend the grounded theory through theoretical sampling. This method is based on comparing information, perceiving that no new variations arise between empirical data. Also, the new coded incidents belong to the same categories and explain the already developed relationships. This is repeated as many times as necessary until theoretical saturation is reached. Finally, the theoretical sampling stops when the data are sufficient to start developing theories.
This research has been delimited into five main categories of study, and it is important to reach data saturation when the limit of “dispersion of analysis” is present. Thus, the researcher subjectively decides which categories to delve into and in what way. This ranges from the chosen topic to be studied to the methodology selection and the data interpretation [62]. Similarly, the data triangulation is left to the researcher’s judgment for generating theories and interpretations [53].
Theoretical saturation in grounded theory has served to obtain the sample size from a reflexive, iterative, and recursive sense [63] (Table 2). According to [61], it is difficult to determine the number of people in qualitative research; moreover, the theoretical strategy of saturation determines the number of people related to public management.
No ethical approval was required for this study, but the respondents were promised anonymity. It should be noted that statistical data will not be presented in this article, as statistical sampling is used to obtain precise evidence about the distribution of the population in terms of the categories being described or verified and does not apply to this research. Theoretical sampling, on the other hand, is used to discover categories and properties and to identify the interrelationships of a theory [62]. Similarly, Ref. [61] emphasizes that “qualitative research produces findings that cannot be obtained by statistical procedures or other means of quantification.”
Therefore, it is appropriate to analyze the situational state of the management of natural resource conservation as an object of public administration intervention, so that it is possible to elucidate where and with what means the resilience of natural resources and environmental management are headed. In terms of methodology, we delimited ourselves in the following five categories: (i) the limitations to the inclusion of public problems in the government agenda for the design and formulation of public policies; (ii) the limitations to the fulfillment of the roles of public servants in charge of natural resource organic units, (iii) the degree of integrity of management instruments and the importance of natural resource organic units; (iv) the level of budget allocation to finance public policy design and the formulation and implementation activities; and (v) the socio-environmental needs prioritized in the public agenda for the design and formulation of public policies.

4. Results and Discussions

4.1. The Limits to the Inclusion of Public Problems in the Government Agenda for the Design and Formulation of Public Policies

One indicator of the perception of authorities and officials is the degree to which they value public policies and the vision they have of their role. The degree of conviction will depend on their decision to prioritize and implement them. Likewise, the allocation of resources to the organic units of natural resources, the convening of economic actors, the development of concertation spaces, and the prioritization of public problems for policy formulation are also important.
This study found that mayors prioritize infrastructure activities in their agenda, such as bridges, schools, health posts, closed coliseums, roads, streets and sidewalks, water, and sanitation. They are not aware of the existence of the United Nations Framework Convention on Climate Change, the Convention on Biological Diversity (CBD), or the National Biodiversity Strategy. They should also be aware of the national regulations that require communities to allocate resources for the conservation of natural resources. There is a lack of clarity about the reality, local problems, and the strategy for implementing public policies. This leads to low compliance with the public policies established in the instruments of the National Strategic Planning Center (CEPLAN), as well as changes in policies or personnel due to the end of the government’s term. There is also a lack of institutional autonomy, authority, and little or no government priority [64].
The same is true for municipal officials, where it is also evident that they are unaware of the environmental or conservationist obligations, do not show clarity about the best way to assume this role, and lack confidence in methodologies based on the strategic planning cycle for continuous improvement. They showed or no comprehensive knowledge of the current problems of natural resources, as well as a lack of knowledge of the gaps and critical situations that require priority attention, the desired future, and how public policies are formulated and implemented, actions that result in a lack of will. There was also a lack of knowledge of the incentives or financial resources offered by national or foreign entities, such as the Forestry Incentives Program for Communities, Producers and MSMEs promoted by the National Forestry and Wildlife Service (SERFOR), the Global Innovation Fund (GIF) promoted by the International Technical Cooperation, and the Program to Promote Development Projects promoted by Scotiabank, among others. These offers are addressed to individuals and organizations such as cooperatives or agricultural associations, but the authorities do not take advantage of them, keeping the companies subservient to their needs.
These findings are consistent with [65], who indicate that barriers limiting the use of Life Cycle Assessment (LCA) in the public policy development process range from a lack of technical knowledge and understanding of LCA by policy makers to a lack of trust in the LCA process and results, which rarely appear on policy agendas. Similarly, Ref. [66] point out that a lack of values has been shown to be an important determinant of poor decision making, especially for environmental policy.
Also, [67] states that decision making by authorities is based on their criteria, previous experiences, skills, and stereotypes developed in their practice. Ref. [68] also states that policy formulation is “what governments decide to do or not to do.” Thus, some problematic issues may be put on the agenda and others not, for a variety of reasons, including a lack of political will, a lack of resources, a lack of social pressure, and a lack of legislation [69]. Authorities and officials believe that infrastructure or civic activities are sufficient to meet social needs. Ref. [70] mentions that, in order to prioritize one problem, they have had to ignore others in order to attract the attention of political society. These actors are considered “policy entrepreneurs” (people who invest time, resources, and prestige so that the solution they advocate for becomes public policy). These findings are consistent with [71], who identified barriers to the application of LCA to public policy, such as a lack of education and acceptance of LCA for decision making, a lack of social participation, and a lack of data.
Similarly, Ref. [50] discuss how poor governance can exacerbate deforestation. They argue that a lack of effective regulation and co-regulation can enable unsustainable deforestation practices. The authors suggest that implementing robust legal frameworks and improving transparency are critical for effective forest management. The author of [72] also recommends that, for the concrete effects of public policies, institutional rules and the will of the authorities must be defined, as these are rooted in the knowledge and values of the political and administrative authorities.
Let us recall that governmental authorities are representatives of the State and, therefore, have the responsibility to eradicate poverty and hunger in their country; to combat inequalities; to build peaceful, just, and inclusive societies; to protect human rights and promote gender equality and the empowerment of women and girls; and to ensure the sustainable protection of the planet and its natural resources. These responsibilities are consistent with the 2030 Agenda for Sustainable Development adopted by the United Nations General Assembly. Available online: https://www.un.org/sustainabledevelopment/es/2015/09/la-asamblea-general-adopta-la-agenda-2030-para-el-desarrollo-sostenible/# (accessed on 29 August 2024).
This agenda is a plan of action aimed at people, the earth, all living beings on it, peace, and cooperative work. Its most ambitious goal is to eradicate poverty from the time of its signature in 2015 until 2030. To achieve this, an agenda for economic prosperity, social development, and environmental protection has been drawn up [73], see Figure 6.

4.2. The Limitations to the Fulfillment of Roles of Public Servants in Charge of Organic Units of Natural Resources

Another critical factor in explaining the efficiency and effectiveness of the public policy that is managed and implemented is the level of competence. This is understood as the ability of individuals to perform certain functions and activities or areas within an institution. As stated by [74], “the success of public institutions depends largely on what people do and how they do it.” Ref. [75] emphasize that leadership can be key at any stage of the adaptation process, but its importance is greater at the beginning, as well as to maintain interest and strengthen coordination between the levels of government, sectors, local government offices, and actors involved in the process, and to overcome the barriers that must be faced in addressing the problem.
In this study, the lack of internal stakeholder management is characterized by three weaknesses. First, the support of professionals in the field is important, whether or not they have the profile or experience to perform the job. Second, there is a need for greater stability of technical or professional teams in their jobs, which affects the development and continuity of planned activities. Finally, isolated efforts to train human resources affect the efficiency and effectiveness of the public sector. Similarly, Ref. [44] point out that the lack of human resources and operational structures to address vulnerability and adaptation to climate change reflects the authorities’ low awareness of the urgency of these issues. It is also evidence of the low priority given to climate change policy, and, therefore, severely limits the required institutional capacity. Undoubtedly, any issue that is recognized as public and urgent requires the availability of human resources to design and implement policies to address it. In this sense, Ref. [76] recommend the implementation of actions in favor of the environment through public management, led by officials whose profiles show skills and leadership that facilitate compliance with regulations to protect the environment.
There is also evidence of non-compliance with the Organization and Function Manual (MOF), which leads to a lack of knowledge of the role, low efficiency and effectiveness of those responsible for the organic units of natural resources, and the loss of autonomy of these units. This limits the identification of public problems, the formulation of projects, and the management of resources for the formulation and implementation of environmental and natural resources policies. In light of these findings, Ref. [44] point out that human resources need to have job stability with the necessary knowledge and experience, as well as personnel who can act as intermediaries between the multitude of experts from different disciplines and groups or actors that need to participate in the decision-making process. In addition, the amount of time that staff have to devote to climate change vulnerability and adaptation issues will influence the attention and commitment they give to these issues. If these personnel are engaged in other environmental or public policy issues, their commitment is likely to decrease [44]. Therefore, if employees are unable or unwilling to do their jobs, this affects not only the government’s performance, but also its image in the eyes of society [74].
Similarly, Ref. [77] points out that the lack of formal planning is a well-known obstacle to the sustainability of human resource management. Ref. [78] argues that these failures in public management are due to the planning deficiencies of mayors and public officials. There is a lack of specifications, defined performance levels, and ability to establish administrative controls to ensure that public employees achieve the established objectives.
Moreover, Ref. [74] recommend specific characteristics to improve the working conditions, motivation, well-being, and productivity of civil servants. Civil servants should have skills related to their position, an identity related to their functions, an awareness of the “social impact” of their functions, autonomy, and constant feedback. This leads to public servants experiencing meaningful work and being committed to their work.
In this regard, Ref. [67] concludes that public servants respond to the pressures of their positions, the demands of citizens, and the generality/vagueness of public regulations and goals. They are not only the executors, but also the active reformers of policies. On the other hand, Ref. [77] emphasize that institutions need to prepare and respond quickly to human resource management issues related to climate change adaptation strategies.

4.3. The Degree of Integrity of the Management Instruments and the Importance of the Organic Units of Natural Resources

It has been shown that district and provincial municipalities operate outside of the activities aligned with the national policy known as the Strategic Plan for National Development until 2030 of the National Center for Strategic Planning (CEPLAN). In addition, these officials are characterized by the implementation of goods, services, and regulations that do not respond to the expectations and needs of the people or create public value.
The Institutional Operational Plan (POI) typifies the inputs and activities but is not physically visible. Similarly, the Institutional Strategic Plan (PEI) does not show initial products and results. Finally, the Concerted Local Development Plan (PDCL) does not have intermediate or final results. All this leads to the need to implement activities to reduce vulnerability and support the resilience of natural resources.
In this study, it has been observed that district municipalities operate under two or more Regulations of Organization and Functions (approved in different years). Furthermore, there are cases where the classification of organic units of natural resources “in situ” has another name. The existence of these units was also verified in situ, but without registration in the Regulations of Organization and Functions (ROF).
Another aspect that can be observed in the organic units of natural resources of the district municipalities is the minimal equipment of resources. In terms of logistical and human resources, it does not correspond to the importance given to it by the Organic Law of Municipalities and various regulations. There is no institutional will to equip and implement this unit.
Therefore, there is a lack of integration and definition of management tools for organic units of natural resources. This situation entails the loss of autonomy or importance, which promotes informal management of the operation. Moreover, it questions the alignment of responsibilities and prevents planning and compliance with institutional objectives, violating compliance with the Organic Law of Municipalities (LOM), Law No. 27972, Article 141. This law establishes that municipalities should promote the sustainable management of natural resources—soil, water, flora, fauna, and biodiversity—in order to integrate the fight against environmental degradation with the fight against poverty and international standards. In this sense, considering the powers and functions of the municipal organic units in charge of natural resources, they are obliged and empowered to carry out all of the above activities and use the public budget, a situation that does not occur.
Regarding the legal framework, most of the literature agrees in recognizing the importance of having a regulatory and organizational framework that clearly establishes the following: (1) the rules, functions, responsibilities, structuring, and organization of all those who participate in the environmental issues; and (2) the forms of participation of non-governmental actors and the population in general in addressing the problems. The absence or ambiguity of these aspects increases the risk of developing institutional practices that are deficient or do not correspond to what the treatment of the problems requires, and increases the possibility of failure of the actions [44]. Here, the legislative power must stand out, since it regulates, establishes, and modifies the rules or norms that guide the relations between the members of a society.
These findings are consistent with what [79] has stated. This author mentions that the formulation stage is developed during strategic planning, where it is necessary to express what will be implemented. Most of the public administrations in this study fail in this stage because they need a clear idea of what they want to achieve. Therefore, it is likely that they will not achieve the proposed goal. Similarly, Ref. [80] shows that the causes of management failure are the need for greater convergence and congruence, as well as the difficulty in matching the instruments with the policy objectives, in addition to the lack of coherence and internal and external consistency. All of this leads to results that are different from, or contrary to, the original objectives.
However, if a problem is poorly defined, presented, and structured, the possible solutions adopted will lead to corrective measures that are worse than a disease, and they will be “solutions in search of problems” [81]. Ref. [82] suggests that public problems must be defined, posed, and structured with a social and governmental approach based on the intellectual, legal, fiscal, political, and administrative resources available. Ref. [65] argues that an updated regulatory and instrumental approach is needed to overcome the barriers to the effective use of LCA in the formulation and implementation of public policies. Similarly, Ref. [76] classifies the challenges into six categories for effective public management in the fight against pollution. These categories are policies and regulations, human resources, integrated systems, support for research and technology, environmental management measures, and monitoring and control. These elements form the basis for the generation of an intervention proposal. In this way, the likelihood of successfully influencing specific public problems or social issues depends on how the government constructs, defines, and chooses policy instruments [83].

4.4. Budget Allocation to Activities of Designing, Formulating, and Implementing Public Policies

Another indicator that provides evidence of the valuation of natural resources by the municipal authorities is the budget allocation to specific activities. In this sense, the main financial management instrument that municipalities have is the Institutional Opening Budget (PIA) or the Modified Institutional Budget (PIM), through which it is possible to have an approximation of institutional priorities. Unfortunately, there is no evidence of any budget allocation to organic natural resource units. Some officials indicate that this is due to economic embargoes. These embargoes are the result of court rulings due to debts with suppliers of goods and services or due to the labor problems of former workers. They also point out that the allocation of the budget depends on the will of the mayors according to their priorities. Available resources are not used to develop activities that reduce vulnerability and support the resilience of natural resources due to a lack of will, autonomy, and decision-making capacity. These findings are consistent with those reported by [44], who state that the lack of economic resources or the absence of a financial structure to address the vulnerability of natural resources to climate change reflects little awareness, priority, or interest on the part of the government. Similarly, Ref. [84] states that budget allocation is a concern for all countries at all stages of their development, and that the challenges of development are political, not financial.
Regarding the formulation of projects in the communities, the Investment Bank only shows records of project ideas, technical sheets, profiles, or technical infrastructure files. Project files are not prioritized for the conservation of natural resources, which is often due to lack of will on the part of the authorities. These facts occur despite the fact that all municipalities have sources of income from the Mining Canon (Mining Industry Fund), Ordinary Resources (RO), and the Municipal Compensation Fund (FONCOMUN). Refs. [85,86] affirm that the causal factors of the non-prioritization of spending in the face of public problems are to be found at the level of the public policy process. In addition, an oversized or overloaded government agenda and incorrect formulation of objectives are also important factors. The exclusion of economic actors and insufficient resources should also be considered.
From this perspective, it is clear that the authorities carry out what the legislative mandates and what the economic actors demand. In this situation, they use adaptation mechanisms that systematically distort their work, with respect to the intentions of the law [67].

4.5. Socio-Environmental Needs Prioritized in the Public Agenda for the Design and Formulation of Public Policies

The indicators that demonstrate the need to prioritize socio-environmental needs are the postponements of public problems that need to be addressed. There is great social discontent due to the loss of fertility and soil erosion. It is also due to the increase in crop pests and diseases, the decrease in water flow, the lack of water resources for agricultural irrigation, the loss of wildlife and aquaculture, the extinction of forest species, and global warming. As a result, the authorities are showing a greater interest in prioritizing civil public affairs and failing to fulfill their obligations under sustainable laws, since these activities are fundamental to environmental and socio-economic development. This may be due to a lack of will and values on the part of politicians, who are in a position to act according to political parties or social groups rather than their own personal views and preferences for environmental decisions in natural resource management. Cultural, cross-cutting goals serve as guiding principles in a person’s life [66,87].
Another problem is the lack of coordination between the district and provincial municipalities and the Specialized Environmental Prosecutor’s Office (FEMA). This means that little or no effort is made to denounce the illegal use, transformation, and trafficking of wild flora and fauna, illegal logging, or the burning of forests and grasslands. In this way, the perpetrators are not subject to sanctions or legal administrative procedures, which allows the abuse of relict and endemic natural resources to continue. Finally, there is a need for greater socio-environmental awareness (training, technical assistance, and business advice). In this sense, the lack of cooperation based on networks and intersectoral coordination would have serious implications for the effectiveness of the response to climate change or the conservation of natural resources. Moreover, it limits the effectiveness of the policy, since the perspectives of all of those interested in the issues would not be included and there would be no exchange of points of view [44].
In another area, it has been confirmed that reforestation activities are growing and developing spontaneously in the districts and provinces. The efforts, dedication, and good sense of farmers and private entrepreneurs are driving these activities. Unfortunately, this does not guarantee the success of new enterprises. The rural population needs economic and logistical support to reduce the vulnerability and promote the resilience of natural resources. The non-intervention of the authorities may be due to their lack of knowledge or disinterest in socio-environmental problems.
In this regard, Ref. [70] confirms that, when problems enter the agenda, they also disappear from it for various reasons. The government responds to the problem with superfluous policies. On the other hand, as conditions change, the magnitude of indicators decreases, there is a lack of will, and the problem is displaced. Putting a problem on the agenda does not guarantee that it will be addressed through the adoption of public policies. Putting issues on the agenda should mean creating solutions that can be promoted and articulated with the well-being of citizens [88].
The findings are consistent with [89] and establish a needs classification (see Table 3).
Ref. [89] points out that the difference between a good government and a joint government lies in the capacity for action developed in the face of social demand. Good government anticipates a demand, while ordinary government usually waits for demands to appear.
Ref. [70] asks why some problems attract politicians’ attention and others do not. He suggests that it is because of how politicians perceive the “conditions” and how those conditions are defined as a “problem.” The conditions are diverse (e.g., fanaticism, poverty, inequality, and degradation), and not all have priority on the government agenda.
On the other hand, economic actors point out that some businessmen or heads of organizations may take advantage of their position to demand that mayors carry out particular works or activities that their organization needs. Unfortunately, these demands are disconnected from institutional objectives and aim to obtain personal benefits from the public budget. It is evident that mayors, formally or informally, set priorities and work on the most pressing issues of the most demanding and visible groups. Public action is also limited to a particular geographical or organizational space; in addition, no one works on the whole problem, but only on a segment or specific problem [90].
With these events, local authorities have opted for specific solutions proposed by economic actors, thus calming their expectations and strengthening the governance process. However, much remains to be done. More tools are needed to direct social participation and provide feedback to the decision-making process, and they are not just limited to collecting opinions from various social actors.
Considering the research’s background, corruption is also a limitation in the design and formulation of public policies by authorities and officials. Ref. [91] claim that corruption is any event that uses a position of power or influence to divert resources (time, human, economic, logistical, among others) from public administration for one’s benefit.
Similarly, Ref. [92] emphasizes that public corruption is the deviation of politicians’ and bureaucrats’ behavior from the behavior expected by economic agents. Thus, an educated and orderly society is expected to be an unfavorable scenario for the corrupt, so that they are detected and punished.
In this sense, Ref. [85] conclude that political actors are guided by their interests to choose and offer advantageous programs or policies to gain prestige, power, and popularity.

5. Conclusions

This study found that conserving natural resources and mitigating climate change is not a political priority in local government. Authorities and officials show inconsistencies in their attitudes and contradictory approaches to sustainability. The level of knowledge and involvement in public problems will depend on the emergence of the will to achieve sustainable management. The obsolete management instruments and the lack of economic, logistical, and appropriate human resources in the organic natural resources units have led to the loss of any binding character, autonomy, importance, and power to carry out the activities established in the strategic planning in line with national and international policies. This is due to the lack of will and decision-making capacity of the authorities and not to the lack of budget availability. These findings point to the informal management and poor performance of functions to reduce vulnerability and support the resilience of natural resources.
Decision makers who set the agenda for public issues are influenced by non-state social pressures in search of profits associated with unsustainable mining, agriculture and livestock, and infrastructure activities. The disproportionate power of politicians and conflicts of interest in policy formulation cross the line from legal to illegal, evidencing acts of abuse of power and corruption, leading to political discredit and a loss of trust.
In particular, the lack of coordination between different national governments, different sustainability ideologies, and poor levels of governance do not contribute to improving the resilience of terrestrial and aquatic ecosystems, climate change mitigation and food security, or the living conditions of present and future human generations. The truth is that the central government does not force decentralized governments to implement and monitor these regulations. The legislative and executive branches are urged to address these challenges in order to strengthen the role of reducing the level of vulnerability of natural resources and the impacts of climate change. The formulation of new public policies needs to be multidisciplinary, flexible, and collaborative, involving different social and political actors.
The results of this research have implications for public governance, positively impacting society and the resilience of natural resources, which is why we are promoting compliance with two Sustainable Development Goals (SDGs). The first goal, Goal 1, is to end poverty in all its forms everywhere; and the second target, Goal 15, is to ensure the sustainable management of forests, combat desertification, halt and reverse land degradation, and halt biodiversity loss.

Author Contributions

Conceptualization, E.B.; methodology, E.B.; validation, E.B., C.A.A. and E.P.; formal analysis, E.B.; research, E.B.; resources, E.B.; data curation, E.B.; writing—preparation of original draft, E.B.; writing—review and editing, E.B. and I.S.C.; visualization, E.B., C.A.A., I.S.C., E.P., A.J.V., T.S. and J.V.; supervision, I.S.C.; project administration, E.B.; acquisition of funds, E.B. All authors have read and agreed to the published version of the manuscript.

Funding

This research did not receive any specific grant from public or private entities.

Institutional Review Board Statement

For this study, review and approval by an ethics committee was not required. In the ethical framework, the participants were informed of the purpose of the research and its respective open publication in a journal.

Informed Consent Statement

All participants provided verbal informed consent and were given anonymity for the publication of individual details, as they wanted to avoid future social, political, or legal conflicts. As a coping strategy, the protection and utilization of personal information can also take into account whether the processing of personal information in a specific context conforms to the “rational expectation” of the public [17]. In other words, when personal information is used in a specific context, if the information processing behavior can be expected by the relevant parties, especially the information subject, and this processing behavior can be recognized at the level of general social cognition, then the processing behavior is reasonable, there is no need to obtain the informed consent [93].

Data Availability Statement

The data that have been used are confidential.

Conflicts of Interest

The authors declare no conflicts of interest.

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Figure 1. Existence of Amazonian Forest in Peru up to 2022 (67,786,340 ha).
Figure 1. Existence of Amazonian Forest in Peru up to 2022 (67,786,340 ha).
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Figure 2. Loss of Amazonian Forest (2001–2022; 2,921,137 ha).
Figure 2. Loss of Amazonian Forest (2001–2022; 2,921,137 ha).
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Figure 3. Dry forest loss (2019–2021; 22,798 ha).
Figure 3. Dry forest loss (2019–2021; 22,798 ha).
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Figure 4. Concentration of forest loss up to the year 2022. This analysis was made using the Kernel method with forest loss data for the indicated period.
Figure 4. Concentration of forest loss up to the year 2022. This analysis was made using the Kernel method with forest loss data for the indicated period.
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Figure 5. Diagram of the causes of poor governance that promote climate change or deterioration of natural resources.
Figure 5. Diagram of the causes of poor governance that promote climate change or deterioration of natural resources.
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Figure 6. The agenda sets out 17 Goals with 169 integrated and indivisible targets covering the economic, social, and environmental spheres. The 2030 Agenda for Sustainable Development.
Figure 6. The agenda sets out 17 Goals with 169 integrated and indivisible targets covering the economic, social, and environmental spheres. The 2030 Agenda for Sustainable Development.
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Table 1. Attributes and the countries that highlight them.
Table 1. Attributes and the countries that highlight them.
AttributesCountries
A legal framework: provisions, laws, regulations, and agreementsFrance, Spain
Human ResourcesChile, Costa Rica, France, Spain
Specialized OrganizationsChile, Costa Rica, France, Spain
Public policiesChile, Costa Rica, France, Spain
Coordinated participation of all organizations and sectors in the creation and implementation of laws and public programsChile, Costa Rica, France, Spain
Economic resourcesChile, Costa Rica, France, Spain
Public recognition of the problem of climate change and the vulnerability of natural resources and a commitment on the part of the authorities to solve these issuesChile, Costa Rica, France, Spain
Generation and update of relevant information for decision makersChile, Costa Rica, France, Spain
Involvement of civil society in the definition and implementation of public policiesFrance, Spain
Plans and strategies focused on combating climate change and the vulnerability of natural resourcesChile, Costa Rica, France, Spain
A line focused on adaptation to climate change and another line on the mitigation of natural resource vulnerabilityChile, Costa Rica
Generation and dissemination of information to the publicChile, Costa Rica, France, Spain
A national adaptation plan and a GHG mitigation plan, which are articulatedFrance, Spain
Table 2. Interviewees involved in public policies.
Table 2. Interviewees involved in public policies.
Stakeholders Public Informants N° of Stakeholders InvolvedComponents of Unstructured Interviews on Conservation and Climate Change Issues
InternalMunicipal authoritiesDistrict mayors44Local context (community priorities and national and international frameworks). Institutional capacity and resources (technical capacity and financial resources). Cooperation and coordination (intergovernmental cooperation, involvement of other actors, networks, and alliances). Enforcement and compliance (enforcement, sanctions, monitoring, and evaluation mechanisms). Public participation (public consultation, environmental education, and community support). Sustainable development (long-term vision).
Provincial mayors29
Municipal officialsDistrict municipal manager31
Provincial municipal manager18
External/economicLocal economic stakeholdersAgricultural producers1095Interaction with municipal authorities. Knowledge and access to municipal policies. Implementation at the local level. Conflict of interests, support, and municipal resources. Limitations in municipal execution. Community participation and effects on the community. Perception of municipal efficiency. Suggestions for municipal improvements.
Leaders of cooperatives or associations52
Total1269
Table 3. Classification of needs.
Table 3. Classification of needs.
Demanded needsSocial deficiencies, satisfaction requested by one or more sectors.Examples: security, employment, education, health, and poverty eradication.
Undemanded needsOne or more sectors do not request social deficiencies or satisfaction.Examples: recovery of natural resources, circular economy, and disease prevention.
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Bravo, E.; Amasifuen, C.A.; Cayo, I.S.; Pariente, E.; Sanchez, T.; Vásquez, J.; Vergara, A.J. Constraints on Public Policy Design and Formulation: A Case Study on the Conservation of Natural Resources in Local Governments of the Amazonia, Peru. Sustainability 2024, 16, 8559. https://doi.org/10.3390/su16198559

AMA Style

Bravo E, Amasifuen CA, Cayo IS, Pariente E, Sanchez T, Vásquez J, Vergara AJ. Constraints on Public Policy Design and Formulation: A Case Study on the Conservation of Natural Resources in Local Governments of the Amazonia, Peru. Sustainability. 2024; 16(19):8559. https://doi.org/10.3390/su16198559

Chicago/Turabian Style

Bravo, Einstein, Carlos A. Amasifuen, Ilse S. Cayo, Eli Pariente, Tito Sanchez, Jheiner Vásquez, and Alex J. Vergara. 2024. "Constraints on Public Policy Design and Formulation: A Case Study on the Conservation of Natural Resources in Local Governments of the Amazonia, Peru" Sustainability 16, no. 19: 8559. https://doi.org/10.3390/su16198559

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