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SCAN OF CONCESSIONS SYSTEMS AND SCAN OF CONCESSIONS SYSTEMS AND BEST PRACTICE BEST PRACTICE THE UNITED STATES, CANADA, AUSTRALIA, NAMIBIA THE UNITED STATES, CANADA, AUSTRALIA, NAMIBIA AND NEW ZEALAND’S FISHERIES MANAGEMENT SYSTEM AND NEW ZEALAND’S FISHERIES MANAGEMENT SYSTEM FOR THE DEPARTMENT OF CONSERVATION BY ANDY THOMPSON MAY 2009

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Page 1: INTERNATIONAL & NATIONAL SCAN OF CONCESSIONS …  · Web viewSCAN OF CONCESSIONS SYSTEMS AND BEST ... necessary for submission of a proposal in response ... in Japan while stocks

SCAN OF CONCESSIONS SYSTEMS AND BESTSCAN OF CONCESSIONS SYSTEMS AND BEST PRACTICEPRACTICE

THE UNITED STATES, CANADA, AUSTRALIA, NAMIBIA AND NEWTHE UNITED STATES, CANADA, AUSTRALIA, NAMIBIA AND NEW ZEALAND’S FISHERIES MANAGEMENT SYSTEMZEALAND’S FISHERIES MANAGEMENT SYSTEM

FOR THE DEPARTMENT OF CONSERVATION

BY ANDY THOMPSON

MAY 2009

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1. CONTENTS

2. Executive summary and recommendations.......................................................................3

3. Introduction........................................................................................................................7

4. National Parks Service - US..............................................................................................8

5. Parks Canada..................................................................................................................12

6. New South Wales, Australia............................................................................................15

7. Parks and Wildlife Service, Tasmania.............................................................................19

8. Great Barrier Reef Marine Park Authority, Australia........................................................21

9. Ministry of Environment and Tourism, Namibia...............................................................25

10. Ministry of Fisheries, New Zealand.................................................................................28

11. Appendix.........................................................................................................................30

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2. EXECUTIVE SUMMARY AND RECOMMENDATIONS SummaryThis review examines concession mechanisms internationally so as to identify areas of best practice that could be incorporated into the Department of Conservation’s (DOC) system. Resource allocation systems from the United States (US), Canada, New South Wales (NSW), Tasmania, Queensland and Namibia, as well as New Zealand’s (New Zealand) own Ministry of Fisheries (MOF) quota management system (QMS) were examined.

Concession systems in the US and Canada are clearly regulatory, the level of commercial activity in their national parks has generally reached or passed acceptable levels. Therefore the concessions and planning systems are used to administer the current portfolio of opportunities. In Namibia the concession system is actively used as both a development and regulatory tool so the one mechanism often appears to be used for two purposes both development and resource allocation with capped development. Clarity of purpose is useful in this regard. New Zealand’s system can work well in both circumstances, however, in most instances it is used as a regulatory system.

Most Australian states, the US, Canada and the New Zealand fisheries QMS put more effort into their planning of commercial opportunities. For example:

The US produces commercial service plans detailing the business opportunities, levels and standards and then allocate commercial rights by tender.

Namibia undertakes multi-disciplinary tourism planning for new national parks, incorporating the results into national park management plans and then tendering the identified opportunities.

The planning and zoning for activities on the Great Barrier Reef is very clear and easily available online. This provides tourism operators with certainty about where they can and cannot apply for.

There is an acceptance in Tasmania and Namibia that protected areas must play a greater role in economic development. Parks plans are therefore more proactive in identifying business opportunities and also identifying areas that should not be developed.

The New Zealand fisheries QMS focuses on managing the resource - determining the total population of any fish species and from this the sustainable harvest. It then allows the market to determine how best to allocate commercial fishing rights through its tradable, QMS. This approach provides for the management of outcomes rather than inputs.

Parks Canada and the Great Barrier Reef Marine Park Authority (GBRMPA) in Queensland have put considerable effort into planning for low impact activities. This means that it is very easy for applicants who conform to these standards to get their application processed rapidly, at minimal cost both to the applicant and the agency involved.

Better planning for commercial activities allows for more effective management of the actual resource and less time spent reactively looking at individual applications.

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As a rule tenders are an ideal mechanism for allocating scarce rights, raising environmental performance and obtaining a fair market return. Most agencies favour tender mechanisms rather than reactively processing applications. This, however, does not mean these agencies award more concessions. In many cases existing leases are often renewed rather than retendered. In addition, some agencies run tenders for the ‘public interest’ along the lines of procurement practices. However, this can also discourage the private sector in putting forward entrepreneurial ideas (since they are then tendered). The challenge is to encourage innovation and fair allocation. Tasmania and, especially, Namibia have recognised this need and can deal more directly with new, innovative ideas.

GBRMPA have a ‘bank’ of permits set aside that will be proactively allocated when market demand increases. These permits will be allocated via a tender process. A proportion of these are reserved for aboriginal groups who have traditionally used these areas.

The New Zealand fisheries QMS system goes one step further. By allowing quota to be traded, a vibrant market has developed around the ownership of what was formerly a ‘public good’. This is probably one of the best mechanisms in the world for allocating a limited ‘public good’ to the private sector but still maintaining absolute ability to manage the resource.

In many cases (US, Canada, NSW, Tasmania and Namibia) the state is either the owner of the facilities that are then leased to commercial operators or the State becomes the owner of facilities either at the beginning or end of the lease period under a ‘build, operate and transfer’ (BOT) agreement. With the exception of the US, most leases are re-issued to the existing leasees. In the US the National Parks Service (NPS) tender for new operators almost without exception. In contrast Canada has recently moved away from this asset ownership model renewing existing leases in most instances.

The better the planning in a protected area system and the more proactive the allocation mechanisms the less resource is needed to process applications. After having decentralised systems most agencies (US, Canada, Tasmania, Namibia MOF, and NSW) have recognised the specialised nature of this work. They now have centralised processing for all, or at least, large scale applications.

NSW, Tasmania and GBRMPA have recognised the need to better manage relationships with their commercial stakeholders and that this can have considerable benefits to both parties.

The Ministry of Fisheries (MOF) uses a combination of stakeholder groups, catch records and science to determine the sustainable take from fish stocks.

With the exception of the MOF in New Zealand, monitoring appears to be patchy and ad hoc. However, to properly manage a resource monitoring information on the state of the resource needs to be consistent and timely and should directly inform planning and allocation processes.

US, Canada and NSW avoid duel consenting processes by accepting that protected areas are adequately covered through their own management planning and consenting systems. The NPS like to work with local counties and allow them to input into their national park planning.

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The revenue earned from concessions in Canada, the US, GBRMPA and Tasmania is able to be retained and put directly back into maintaining infrastructure or parks.

RecommendationsBased on the practices found in this scan there are a number of recommendations that the DOC should consider. However, these recommendations will differ depending on how bold DOC is ready to be - whether it wants to just improve and align its current system or completely rebuild a new system based on the best contemporary resource allocation practices. There is a risk that if DOC is not bold enough then changes may be imposed on it by others.

It is also important that solutions to perceived slow and bureaucratic processes, address the root cause of the problems rather than just the symptoms. With these issues in mind the following recommendations are made:

Adopting a contemporary approach 1. Centralise the processing for (at least) nationally significant proposals and smaller

(but multi-conservancy) applications, telecommunications agreements, WARO, bus and coach concessions, group hunting and fishing concessions. Accepting that there will be national level sign-off of these concessions, rather than conservancy by conservancy.

2. Employ a multi-disciplinary team to identify, plan for and test the feasibility of 12 new high-value commercial activities per annum on public conservation lands that buffer core conservation areas, for example tenure review lands or crown purchases such as the St James Station. These opportunities should be allocated via open and competitive tenders or auctions or ‘banked’ for future allocation when they may be more viable.

3. Allow concession revenue to be reinvested so as to identify, plan for, test the feasibility of and tender new business opportunities on lands that DOC obtains through acquisitions or the tenure review process. Reinvestment of revenue will soon be offset through concession fees, GST and PAYE income.

4. Apply quota management to as many activities as possible especially for those activities that could, are approaching, or have already reached carrying capacity (those that are limited). For example: aircraft landings, Sub Antarctic island landings, boating and glacier guiding.

5. Commission an economic review to examine the applicability of creating new resource-trading markets and their applicability in the DOC concession context.

6. Considerably boost the planning effort for commercial activities by applying an attitude that conservation areas must contribute to mainstream society. Therefore, plans need to identify suitable opportunities and zone for concession activities. If necessary a commercial services plan approach should be run separately and then be incorporated into the statutory plan.

7. Work harder with stakeholders including iwi, NGO’s and commercial interests to establish levels of acceptable commercial activity at key locations, implementing this via management plans, EIA procedures, and concession allocation mechanisms.

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Improving the current system8. Properly apply the existing conforming processes as originally intended, requiring

conservancies to dedicate significantly more time to pre planning (with national consistency) as many low impact concession activities as possible. Market this to the industry so as to make applications easy for operators who wish to undertake pre-planned activities that fit within environmental constraints and that are compatible with conservation and recreation outcomes.

9. Follow through on the recommendations of past concession reviews for example: allowing for not having to publicly notify low impact ten year permits and establishing shorter notification periods (20 rather than the current 40 working days).

Recommendations for either approach10. Consider adopting the BOT style of agreements for any new structure on public

conservation lands.

11. Develop a clear policy on when, where and how the concession system should be used as a regulatory tool and where it should be used as an enabling, development tool.

12. Create an investment register of pre-approved or partially approved business investment opportunities.

13. Gain political acceptance that some areas are already at capacity so opportunities are limited and fully commercial mechanisms (tenders and quota) are needed to manage these.

14. Continue to actively support operators throughout the term of their concession by working together on common goals such as regular monitoring and evaluation visits, promoting them on DOC’s website, interpretation, joint conservation projects and developing better relationships with the key concessionaires.

15. Collect data on gross income and employment statistics of concessionaires so as to fully size and represent the industry.

16. Undertake a review to identify the skills that concessions staff need, the skills they have and subsequent training and recruitment needs.

Recommendation regarding local and protected area planning approaches17. Consider removing the current duel processing between the RMA and DOC’s

planning and concessions processes by accepting that conservation areas are exempt from the RMA and that management strategies, park plans and concession processes cover this requirement. This is largely the case in Aoraki/Mount Cook Village.

The implementation of these recommendations should only be considered after each idea has been fully investigated and that any new concession system has been properly designed. This will include legislative reform, policy, procedures, staff, structure, resourcing and allocation methods. Any new system should not, primarily, be designed through the legislative reform process.

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3. INTRODUCTIONThe Department of Conservation’s concession business is worth nearly $15 million per annum in revenue, involves substantial numbers of staff and over 3500 concessions.

As part of its commitment to continuous improvement DOC is reviewing its concession management system. As part of that review this scan was commissioned specifically, to look for approaches and practices that could be usefully incorporated into how concessions are managed in New Zealand. There were no limits put on the scope of this exercise and what could or could not be examined. Therefore, all aspects of resource allocation, legislation, organisational structure, staff skills, relationship management through to policy and procedures, have been considered.

This scan looked at the systems and practices from the United States National Parks Service (NPS), Parks Canada, The New South Wales Department of Environment and Climate Change (DECC), The Tasmanian Parks and Wildlife Service (PWS), the Great Barrier Reef Marine Park Authority (GBRMPA), Namibia’s Ministry of Environment and Tourism (MET) and the New Zealand Ministry of Fisheries (MOF). I would like to acknowledge the support and effort provided by key staff in the agencies reviewed (see appendix). Their openness and information has proved very insightful.

Method

The above agencies were specifically chosen because they were known to have developed robust and best practice systems and/or they have features and attributes that are distinct and that contrast with the approach used by the Department of Conservation.

A number of methods were used to complete this scan and to cross check responses. An open ended questionnaire (see appendix) was emailed to key contacts in each agency followed by a telephone interview. Each agencies web material, documents and research reports were reviewed. Reports from other protected area managers who had visited other countries have also been used. These are all referenced in the report.

Due to time constraints, this study has been able to scan and identify a range of issues worthy of further consideration. Before any areas of best practice are considered for adoption, a more detailed assessment is needed to fully test the impact and effectiveness of that best practice.

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4. NATIONAL PARKS SERVICE - USKey facts

Number of concessions: 600 contracts plus 6000 commercial use authorizations

Income from concessions: US$60mStaff employed (FTE): 200, (40 in head office) Timeframes for small concessions: two years (excl. plan changes)Timeframes for large concessions: two years (excl. plan changes)Structure (centralised or decentralised): Centralised over US$3mPreferred allocation mechanism: Tender

Features Concessions are only awarded for necessary and appropriate services that are not

otherwise provided outside the park by the neighbouring community. Very few new commercial stand alone commercial opportunities are awarded each year (less than ten).

Park management plans and commercial services plans are required to identify and outline the level of commercial opportunities in each park. They describe how they will be implemented.

Any development or concession allocation over the value of US$3m is handled centrally.

Request for proposals (RFP) processes are issued to seek the services of operators (i.e. tenders). Prospectus are then issued.

A request for qualification (RFQ) process may be used prior to a closed RFP process This assists the NPS to ensures that bidders have the experience, expertise and financial ability to undertake the venture.

A right of preference to existing operators exists so long as they can match the highest bidder.

Time frames for processing still indicate two year time frames to plan and award concessions.

Annual evaluations of each concession operation are undertaken.

Annual financial reports from the operators are now submitted on line by concessionaires via a secure login on the NPS website.

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The NPS collect concessionaires financial and employment information and are able to advocate regarding the size and importance of this business sector.

The NPS approve the pricing that concessionaires can charge the public to ensure it is compatible with other services offered outside the park.

Staff have an 800 page manual that assists them to manage all aspects of concessions.

The NPS has an excellent website that communicates openly to the public about the systems and process it uses. Logins for operators are provided and new prospectus are featured.

Recognition that 10% of contracts generate 82% of gross receipts, which can then lead to focused client and relationship management with your large stakeholders.

Revenue from leases is reinvested into the park for maintenance of infrastructure.

Valuation of existing operations, prior to those operations being tendered causes significant problems.

The NPS system is good at managing commercial pressure in parks but is not so strong on dealing with new and innovative proposals.

The NPS is soon to embark on a benchmarking review of the fees it charges in comparison with other US jurisdictions.

The NPS is undertaking an excellent review of its workforce. Identifying the skills its concession staff should have, the actual skills they do have and their training needs. NPS managers recognised that concession staff need a cross set of skills in law, financial management, facility management, understanding of what it is like to run a business in a remote area and relationship/partnership skills.

PlanningThere are four levels of planning ranging from general to detailed. The four levels are general management, strategic, implementation, and annual performance planning. The first two focus on why the park was established and what resource conditions and visitor experiences should exist. The last two are focused on how those conditions can be achieved. This is the ‘why, what, and how of NPS goal driven planning.

Commercial services planning begins at the general management planning level. Here the activities, services, and facilities that are necessary and appropriate to achieve the desired resource protection and visitor experience conditions are established. A Commercial Services Plan is an implementation plan prepared for each applicable park. It describes in detail which types and levels of activities, services, and facilities will be provided and how they can be managed by the NPS in the most effective and efficient manner. These plans are formulated through consultative processes.

If a person wanted to build a new lodge in a park two levels of planning in the NPS system would require amendment. These amendments could take up to three years and would involve input from the public. While lands are federal owned, the NPS will involve local counties through concurrent jurisdictions or exclusive federal jurisdictions (depending on the land status). This allows local authorities to have input into the NPS

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planning and development of parks, however, consenting still remains one process with the NPS as the sole decision maker.

ContractingThe determination of what is a ‘necessary and appropriate’ concessions is accomplished through the NPS planning process. Concession contracts are issued under regulations unique to the NPS concession programme. They are issued by parks to qualified businesses to provide a variety of commercial visitor services, these include restaurants, lodging, gift shops, backcountry guides, horse riding, white water rafting, and a variety of other services unique to the NPS. Currently, there are approximately 600 private enterprises operating in approximately 135 parks in the national park system.

LeasesThe leasing programme for the NPS involves the leasing of historic, as well as non-historic properties in parks. A lease may not authorize an activity that could be authorized by a concessions contract or commercial use authorisation.

All leases must provide for fair, market value rent as determined by an appraisal. All net income is re-invested to fund historic preservation, capital improvements of the historic properties, park infrastructure, and other deferred maintenance needs.

The director may issue a request for bids if the amount of rent is the only criterion for award of a lease. The request for bids will be advertised by public notice.

The director must issue a request for proposals when the award of a lease is based on selection criteria other than the amount of rent.

An request for proposals may be preceded by issuing a request for qualifications. The purpose of an RFQ is to select a ‘short list’ of potential offerors that meet minimum management, financial and other qualifications necessary for submission of a proposal in response to an RFP. These requests will be by public notice.

Figure 1. Contract solicitation and award process

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Case study. Notice of tender

“The NPS has issued a prospectus soliciting proposals for up to twelve concession contracts for the operation of guided float trips, fishing trips, multi-day lake trips and/or guided horseback rides within Grand Teton National Park, Moose, Wyoming. The Prospectus explains the business opportunity and the terms and conditions under which the NPS will award the concession contract. The Director, pursuant to 36 C.F.R. Part 51, has determined that the eleven existing concessioners are preferred offerors for the contracts. The Service also intends to award an additional contract for fishing only from Moose down. Since this is a new contract no preferred offeror exists.”

ReferencesMaher (unpublished 2002) US and Canada, Visitor and Concessions Management, What Can We Learn From Them? Department of Conservation

Accessed via web (April 2009) Presentation on National Park Service Concession Program, National Parks Service, US

Accessed via web (April 2009) NPS Management Policies, National Parks Service, US

Accessed via web (April 2009) Prospectus, www.concessions.nps.gov /Prospectus.cfm

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5. PARKS CANADA

Key facts

Number of concessions: 2752 leases, licenses, business licensesIncome from concessions: CAD$8.2mStaff employed: 30Timeframes for small concessions: Three to six monthsTimeframes for large concessions: 60 days effortPreferred allocation method: TenderStructure (centralised or decentralised): Centralised for large scale issues,

decentralised smaller concessions and for relationship management and monitoring

Features There are no new, large-scale concession opportunities available in Canada’s parks

and the floor space available for leasing has been capped. This is due to significant political concerns regarding the over commercialisation of national parks.

Highly prescriptive planning provides certainty for applicants but may not be the best approach to encourage innovation, creativity or diversity.

Tendering is the default position for allocating concession opportunities. Small scale business licenses can be considered on an application basis.

There are a number of concessions in perpetuity issued in the 1920s and 1930s which cause significant problems in a more contemporary time.

Independent and qualified business valuators are used to determine and negotiate commercial rentals. This ensures they are done effectively and that relationships between local park staff and operators are maintained (this is important in remote areas).

Parks Canada has a very prescriptive set of regulations with regard to determining rentals.

The management of concessions used to be decentralised but now consists of a mixture centralised and decentralised system. Regional offices may run tenders but head office handle policy, registry and larger tasks such as major rent reviews.

Rentals have traditionally been based on a land value. As opportunities allow rentals are now being moved to a gross income formula. This is saving considerable time

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and resources on valuations and is likely to result in a better income for Parks Canada.

Parks Canada’s website provides promotional images and assists tour operators to plan their itinerary. Otherwise the web material is poor.

Parks Canada is redeveloping its IT system for the management of its concession system.

PlanningParks Canada has management plans for each park and community management plans for towns within its parks. These plans are legislatively binding and there is no review process during the life of the plan. The plans are highly prescriptive detailing the activity and levels that can be undertaken.

Concession processingFor smaller scale activities such as guiding, there appears to be another level of planning that sets the carrying capacity and levels of commercial activity, even down to the level of walking tracks. These applications are considered by a local board of representatives. Applications for smaller business licences can be considered on an application by application basis. There appears to be a high level of cross subsidy on these concessions with approximately 20 hours required to process them but only $100 charged. Even small guiding operations must produce an environmental impact assessment and an interpretative plan.

Large-scale concessions are all tendered through a request for proposals process. Unlike the US, Canada has moved away from the desire to own and maintain all infrastructure in their parks, so operators are able to own the infrastructure. At the end of the lease periods the facility can be either severed and removed, vested in the crown or the lease may be renewed with the existing operator. Most are renewed provided the operator has complied with the terms and conditions of their concession agreement. Large scale leases are issued for 42 years.

The request for proposal process can be pre-empted by an expressions of interest process. Parks Canada suggested that tender processes tend to encourage the corporatisation of concession opportunities (this is also happening in New Zealand) and leads to a powerful stakeholder group.

Local bodyNational park lands are federally run so even though they are surrounded by provincial lands as soon as you enter the park you are on federally controlled land. This means there are no local government (provincial) planning and consenting processes.

This approach immediately saves one level of consenting in national parks. However, commercial operators may be required to have a lease or licence as well as a business licence.

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Case study - no net negative environmental impact

In his review of concession management in Canada, Maher (2002) noted that the Canadians use a ‘No Net Negative Environmental Impact’ approach (off-setting). This concept allowed Parks Canada to trade effects at largely modified sites on ski areas for conservation gains elsewhere, often off-site. For example, Lake Louise Ski Area revegetated a significant area in the Bow Valley floor, in exchange for consent to modify terrain within their ski area many kilometres away.

ReferencesMaher (unpublished 2002) US and Canada, Visitor and Concessions Management, What Can We Learn From Them? Department of Conservation

Unpublished (2009) Introduction to Parks Canada, presentation, Parks Canada

Unpublished (2009) Parks Canada Agency Commercial Rents, presentation, Parks Canada

Unpublished (2009) Land Management: Relevant Acts, Regulations, Policies, Guidelines and Directives, presentation, Parks Canada

Web site accessed (April 2009) www.pc.gc.ca/voyage-travel/voyagistes-traveltrade/index_e.asp

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6. NEW SOUTH WALES, AUSTRALIA

Key facts

Number of concessions: 1235 incl. leases, licences easements, marine and guiding

Income from concessions: AU$16m and growingStaff employed (FTE): 17Timeframes for small concessions: 4-12 weeksTimeframes for large concessions: 6-18 months for a tenderPreferred allocation method: TenderStructure: Centralised

Features New South Wales Parks and Wildlife Service (NPWS), part of the New South Wales

Department of Environment and Climate Change (DECC) operates in a political environment.  On occasions, the level of community and political involvement in projects has delayed processes (i.e. Quarantine Station - twelve years). This has brought rigour to the state’s concession practices.

There is increasing recognition of the need to work with concessionaires in a partnership role throughout the term of the concession rather than just as a ‘landlord’ when rentals are due or when things go wrong.

Applications can be received or tendered.  However, tenders are preferred for new proposals.  Large concessions are generally issued to run already developed and park owned infrastructure.  If they are built by a concessionaire then this is done under a BOT arrangement, the state becomes the owner of the facilities at the start of the lease period.

Broader expressions of interest proposals can be called for and used in conjunction with either closed or open tender processes.

No tenders are being offered at present, concessions are being renegotiated with existing tenants. This is permissible provided it is undertaken in the ‘public interest’ and subject to requirements of the Audit Act, the Independent Commission Against Corruption Act and government probity requirements.

When there are tenders, they are clearly advertised on the web and there is a very good tender registration email service provided.

NPWS commissioned an open, independent survey of stakeholders to learn what others thought of them and how they could improve (see below).

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NPWS had a top legal company review their contracts and suggest improvements so they knew they were using best practice commercial models.

Large concessions have a term of up to 45 years, medium size concessions such as a café are issued on a five plus five year basis. The tenure term usually reflects the level of capital investment.

There is an online register of concessions provided to the public. Otherwise the web presence is poor when compared with the NPS, GBRMPA or DOC.

Processing, negotiation and management are centralised. Field staff provide day to day monitoring of concession operations. This recognises the specialist skills required for concession work.

Property management IT systems are used to manage these concessions and collect fees.

Commercial tour operator concessions were previously managed by field offices but to improve a new centralised operating unit has recently been established.

Concessions must be consistent with park management plans. Park plans are legal documents.

The DECC is the consent authority in parks so there are no duel processes.

Large scale enterprises can be asked to produce a specific development plan. This approach is sometimes used by DOC with indicative development plans for ski areas.

DECC has an excellent 300 page manual for staff on legislation, policy, procedures and processes in relation to concessions.

Concession numbers by activity

Lease and Licence Types No.

Kosciuszko – accommodation/ski lifts – Leases – includes hotels, commercial lodges, apartments, ski clubs

145

Other DECC areas – leases – includes marinas/boatsheds, cafe/kiosk, caravan parks, field studies centres, hotels, residences(Hill End)

78

Licences/contracts – all DECC areas – cabins, moorings, kiosk/cafe, bed and breakfast, radio/telecommunication facilities, encroachments, vendors,

582

Easements (formally acquired including Head Deed of Easement with Trans Grid which cover several hundred powerlines state wide through the park network)

30

Commercial tour/outdoor recreation licenses 194

Marine Parks Permits (for charter fishing, scuba diving, whale and dolphin watching) (approx)

200

Total (approx) 1235

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Source: NSW Taskforce on Tourism and National Parks

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Planning and tenderingIf a large scale activity is proposed but not recognised in the management plan then a plan change will be required before the concession can be tendered. This provision also exists in New Zealand and was used in the proposed Milford Dart tunnel application process. The process for changing a management plan can be longer than the process to tender a concession, possibly three years.

While tender processes are a good idea they do require proactive and multi-disciplinary planning on the part of the parks agency. If the agency relies on a procurement philosophy and tenders any new proposals, this often has the effect of discouraging the private sector presenting their ideas, because they are then tendered, the intellectual capital incentive is lost to the prospective operator.

Independent reviewAn independent review into NPWS leasing system found that a lease’s ‘success’ seems to be determined by the personality of the operator, their entrepreneurial skills and their ability to work with the NPWS. In order to move towards a partnership approach, the NPWS was challenged to adopt a holistic and strategic approach to is relationship-management, in line with the principles outlined in the case study below.

The review found that there is a perception by NPWS that lessees operations sit in conflict with its core business to manage its protected areas. It was found that this is a valid and important concern. However, once NPWS legally commits itself to lease agreements the organisation and its staff need to fully recognise their role in managing and supporting the partnership so that both parties can meet their respective goals in a mutually beneficial, and rewarding, manner.

Case study – principles for partnerships

Excerpt from: From Lessees to Partners: Exploring the Relationships between the NSW National Parks and Wildlife Service and their Private Visitor Facility Providers (2007). To aid the NPWS to take their relationships ‘from lessees to partners’ seven principles have been promoted:

Principle 1: A strategic, coordinated and organisation-wide approach is taken to the identification and development of lease arrangements.

Principle 2: The sourcing and selection of potential lessees is facilitated in a manner which is clear, inviting and encouraging, and provides applicants with good insight into the nature of partnerships with NPWS.

Principle 3: Partnerships with lessees are publicly and openly recognised and promoted, on an ongoing basis.

Principle 4: Lessees’ simple requests are responded to in a timely and efficient way, so that their businesses can continue to operate in a professional manner.

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Principle 5: NPWS is proactive in strategically predicting lessees’ more complex requests and provides a clear structure for their resolution.

Principle 6: NPWS capitalises on their lessees’ skills, knowledge and services, and utilises these assets.

Principle 7: The personal commitment of lessees to their businesses is recognised, and their long-term business goals facilitated.

References

DECC (2009) Taskforce on tourism and national parks in NSW report, Sydney, Australia

Nielsen, N. Wilson, E and Buultjens, J. (2007) From Lessees to Partners: Exploring the relationships between the NSW National Parks and Wildlife Service and their private visitor facility providers, Sustainable Tourism CRC, Australia.

DECC (2003) Property and leasing manual, Parks and Wildlife Group, Department of Environment and Climate Change, New South Wales.

Web sites accessed (April 2009) DECC, www.environment.nsw.gov.au/ commercial /Commercial Activity.htm

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7. PARKS AND WILDLIFE SERVICE, TASMANIA

Key facts

Number of concessions: 720Income from concessions: AU$1.15millionStaff employed (FTE): 10.5Timeframes for small concessions: three weeks in parks up to 12 weeks

when across other jurisdictionsTimeframes for large concessions: 6-18 monthsPreferred allocation method: Applications (small) and tenders (large)Structure: Centralised processing and contract

management. Field staff monitor and manage day to day relationships.

Features The PWS is placing increasing focus on managing relationships with operators to

resolve issues and to avoid situations that may lead to adversarial approaches.

The state maintains an investment register of predetermined opportunities and infrastructure, including opportunities in protected areas.

A one-stop-shop exists in PWS for applicants who wish to operate across a range of state land tenures (see below).

Small scale concessions are issued for five years. The average timeframe for larger concessions is twenty years but banks are pushing for fifty year terms in order to offer finance.

A two-tiered approach exists for small-scale, low-impact concessions and large-scale, high-impact concessions. The PWS believe that its small-scale processes can still be more efficient.

Large-scale exclusive use proposals are generally tendered, however the PWS can work directly with applicants who have new, innovative ideas.

Baches have recently been moved to a rental formula based on land value. These are independently assessed and is saving the PWS considerable administration time negotiating rentals.

A register of approved operators is available on the PWS website.

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Applications for guiding activities are generally dealt with on an application by application basis. Guide to client ratios are pre set for walking tracks depending on their ‘recreation’ class.

Park plans are binding. A review process is provided for if a plan change is needed. This can take ten months. The attitude towards planning for commercial activities is generally more proactive, identifying areas that can be expanded upon or developed.

A one-stop-shop for state land owner approvalsThe Tasmanian Parks and Wildlife Service provides a one-stop-shop approach for those wanting to operate on State lands managed by PWS, Forestry Tasmania, Mount Wellington Trust and Hydro Tasmania. Persons wishing to conduct tourism based commercial operations in these areas can apply to the PWS who will manage the application process with the other agencies on behalf of the applicant. Generally, this works well but, for each agency involved, processing timelines increase and this can reflect poorly on the PWS who manage the processes.

Land manager and local body approvalsLarge-scale projects in parks require approval of both the PWS and the local council. If they are in the Tasmania South West World Heritage Area then the approval process is more rigorous. There is an acknowledgement that both local government and PWS require the same information and an acceptance by both that the applicant need only provide this information once. The duel processes are run concurrently but decision making is separate. The state can ‘call in’, for centralised processing, significant proposals or proposals that span several local body areas.

Federal government may also become involved through the Environment Protection and Biodiversity Conservation Act (1999). Therefore, it is possible that three layers of government could be involved in a significant proposal.

ReferencesPWS (2004) Guide for Operators, Parks and Wildlife Service, Tasmania www.parks.tas.gov.au/file.aspx?id=6468

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8. GREAT BARRIER REEF MARINE PARK AUTHORITY, AUSTRALIAThe Great Barrier Reef Marine Park is looked after by the Australian Government's GBRMPA in co-operation with the Queensland Government's Environmental Protection Agency and other management agencies.

Key facts

Number of concessions: 940 (approx) tourism permissionsIncome from concessions: AU$8m (approx) through an

environmental management chargeStaff employed (FTE): 22Timeframes for small concessions: 8-10 weeks, four months to run an

expressions of interest process (EOI)Timeframes for large concessions: Approval for major projects such as a

pontoons may take considerably longerPreferred allocation method: Application on a first come, first served

basis. Capped opportunities through EOIStructure: Centralised processing and contract

management, field staff do compliance

Features Before any activity is undertaken in the marine park it is essential to check the Great

Barrier Reef Marine Park Zoning Plan 2003 to see if the activity is allowed, and whether the activity requires a Marine Parks Permit. The zoning is very clear and available on the website (see below). The Queensland Government has complementary management for  the Great Barrier Reef Coast  Marine Park that  is adjacent to the Great Barrier Reef Marine Park.

In addition to the above zoning, plans of management are prepared. These cover intensively used or particularly vulnerable groups of islands or reefs and the protection of vulnerable species or ecological communities. Plans of management complement zoning by addressing issues specific to an area, species or community in greater detail than can be accomplished by the broader reef-wide zoning plans.

Continuous political support over thirty years and specific legislation for the Great Barrier Reef Marine Park have allowed GBRMPA to develop sound planning and allocation mechanisms and has lead to these clear and robust outcomes. The need

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to protect the reef has always been supported by the Australian community and politically.

If a concession proposal restricts reasonable use by the public, GBRMPA can require public notification of the proposal and can invite public comments. These comments will then be considered in assessing the application. The onus is on the applicant to establish that the environmental impacts of the proposed operation are acceptable.

Application considerations for ‘normal’ marine park permits are effects based.

The allocation of ‘special tourism permissions’ is undertaken through EOI processes. The EOI process was set up to deal with future demand. EOI are assessed against four broad criteria; demonstrated ability, protection of the resource, presentation (interpretation) and direct or indirect contribution to the management of the park.

Where operators have had ‘special tourism permissions’ (i.e. capped) and not used them these operators are awarded a standard permit on expiry of the special tourism permission. The special tourism permission has then become spare. The spare and any new special tourism permissions are held in reserve (approx 90). These can then be allocated proactively when the market grows. Thirteen of these special permissions are reserved for indigenous groups.

In the event that a proposal is considered to have national environmental significance, it may be referred to the Federal Government under the Environment Protection and Biodiversity Conservation Act 1999.

Marine park permits are usually two permits in one document. They grant permission for activities in both state marine parks (under the Queensland Marine Parks Act 2004) and the Great Barrier Reef Marine Park (under the Commonwealth Great Barrier Reef Marine Park Act 1975).

Existing permit holders who apply to continue the same operation and satisfy the assessment requirements are generally granted a permit for 6-15 years, depending on the activity and the operator’s level of independent certification.

Certification with Ecotourism Australia allows operators to be granted 15 year terms and to be profiled on the agencies website. Operators must be certified at the two highest  levels of Ecotourism or Advanced Ecotourism to be recognised by the GBRMPA as a High Standard operator eligible for these benefits.

GBRMPA provide excellent guidance and resources on their website to tourism operators who interpret the values of the reef to visitors. Thirty ‘responsible reef practices’ guide activities on the Reef.

Operators are actively encouraged to be part of looking after the resource. They do this through research and monitoring partnerships, the ‘unusual sightings’ program and the ‘eyes and ears’ compliance program.

GBRMPA have an impressive web presence that is very helpful to operators and the public. Zoning and planning documents are found easily, application forms are provided including information on application costs and processes. The online operators hand book ‘Onboard’ is an excellent approach.

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Case study - Zoning

Figure 2. Example of park zoning map easily assessable on the GBRMPA website

The Great Barrier Reef Marine Park is a multiple-use area. Zoning helps to manage and protect the values of the marine park that users enjoy. Zoning plans define what activities can occur in which locations, both to protect the marine environment and to separate potentially conflicting activities. Revised zoning of the Great Barrier Reef Marine Park was introduced in 2004 as part of the GBRMPA’s representative areas program. The zoning plan requires operations to hold a  tourism permission to conduct a tourism operation in the Marine Park.

Zoning was developed following extensive research and the most comprehensive community consultation process undertaken on an Australian environmental issue. The current zoning plan was introduced in 2004 and helps secure a better future for 344,000 square kilometres of natural wonderland. It supports vital social and economic benefits including tourism and recreation, commercial activities and fishing.

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References

GBRMPA (2005) Onboard, the tourism operator’s handbook for the Great Barrier Reef, Queensland, Australia, www.gbrmpa.gov.au/onboard/home

Tourism and Transport Forum, Natural Tourism Partnerships Action Plan, Supplementary Report accessed from Transport and Tourism Forums www.ttf. org.au/Content/ntpqld08.aspx, May 2009

Web site accessed (April 2009) GBRMPA, www.gbrmpa.gov.au/corp_site/ key_issues/tourism Web site accessed (May 2009) GBRMPA, www.gbrmpa.gov.au/corp_site/ management/zoning

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9. MINISTRY OF ENVIRONMENT AND TOURISM, NAMIBIA

Key facts

Number of concessions: 45Income from concessions: N$19 million (approx New Zealand$5

million)Staff employed (FTE): ThreeTimeframes for small concessions 3-12 monthsTimeframes for large concessions 12-24 monthsStructure CentralisedPreferred allocation method Direct award to communities, tender,

auction and directly with applicants

Features Namibia has a new concession policy, approved by Cabinet in 2007, which is fairly

radical when compared with other park agencies. It combines a number of best practices from around the world.

Concessions are used as an economic development tool to benefit conservation and economically empower communities living in or around parks who otherwise have to live with the negative effects of wildlife.

Because of this, there is some acceptance that there will be a level of sensible commercial development in most parks. Not planning for some sensible development is effectively spelling the demise of the park.

The preferred position is to tender concessions or award a head concession to a previously disadvantaged community living in or near a park. The Ministry of Environment and Tourism’s (MET) new concession unit then assists the community to find a joint venture partner, often through a tender process. Hunting concessions have been awarded via a commercially run auction process.

MET will consider exclusive use concessions for blue chip operators who can then offer high levels of exclusivity to clients (i.e. fly in safari lodges and tended camps). Fees and income to communities are beginning to reflect the value of these opportunities.

Namibia favours a BOT approach to asset ownership but it is very open to other arrangements as well. At times the BOT will cede to the local community rather than the state.

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Hunting concessions are auctioned over preset areas with a predetermined quota of animals. A recent auction raised double the expected income, even in the existing economic climate. Bidders in the auction had to meet a number of qualifications in order to participate.

While MET have processed a number of concession applications from applicants or renewals from existing operators, the preferred approach is for MET to lead or commission experts to plan tourism activities in the parks using multi-disciplinary teams.

Applicants are required to present their applications to a concessions committee who, after consideration, make a recommendation to the Minister on whether the concession should be awarded.

Concessions are managed centrally and closely by MET.

Case study

New business opportunities and the expansion of existing opportunities were identified for tender or further investment. A proportion of income goes directly to communities, who, in some cases, may also become equity partners in a joint venture and will benefit from employment opportunities.

Figure 3 - Tourism operators, multi-disciplinary teams of consultants and local communities undertake tourism planning for the proposed new Kunene People Park.

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.

ReferencesMET (2007) Policy on tourism and wildlife concessions on state lands, Ministry of Environment and Tourism, Windhoek, Namibia.

MET (2009 unpublished) Concession management progress report & action plan for MET’s concession unit, Ministry of Environment and Tourism, Windhoek, Namibia

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Figure 4 - Offer made and accepted - Chief Max Haraseb, of the Damara people, and Chief Langman Muzuma, of the Herero people, teach all the ‘experts’ a lesson in diplomacy and vision regarding tourism planning and the sharing of future benefits from tourism.

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10. MINISTRY OF FISHERIES, NEW ZEALAND

Key facts

Revenue: NilAmount (quota): 573,000 tonnesCommercial quota holders: 628Centralised/decentralised: Inshore-regionalised, deep water,

allocations are handled by head office

Features The MOF is well regarded internationally because of their application of the fisheries

QMS. This system has turned a public good into a valuable private commodity.

The fisheries industry is New Zealand’s fifth largest export earner.

The QMS puts the focus on managing the resource rather than the allocation of who uses the resource.

Elaborate processes are used to determine the levels of fish stocks and the amount of sustainable harvest from this. This involves stake holders, catch information and science. Ultimately the Minister has the final say on what can be harvested. This is applied annually to 96 species.

A precautionary principle is applied to the setting of the quota.

The total allowable take is then divided into commercial, recreational and customary quota.

The commercial quota is divisible and tradable and is able to be mortgaged by a business.

From time to time the Crown may release, via a tender run by a third party, further Crown allocations.

Larger boats and companies are tending to dominate the ownership of commercial quota.

Only New Zealanders can own fishing quota.

The key weakness of the system is based around the lack of research and knowledge needed to determine the status of the fisheries and the sustainable take.

MOF has centralised accountability for processing all applications to gain authority to harvest fisheries resources. In addition, a national standards team has been established to set standards and guidelines for regulatory processes and monitor compliance with those guidelines.

MOF has an excellent web presence detailing how the process works, its history and its weaknesses.

Like the US NPS the value of the industry to the economy, in terms of income and jobs, is understood and advocated.

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There are no resource rentals paid to the crown from the allocation of fishing rights. There is a small contribution from the fishing industry toward research where this research may benefit the industry.

It took MOF three to five years to bring everything into the QMS system.

MOF has been grappling with allocation mechanisms since the 1970 before the QMS was designed and implemented in 1986 with final full implementation in 2004.

Case Study – Press release

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New Zealand’s World –Leading Fisheries Management System to be Completed in 2004 (5 Jan 2004) The introduction of 36 new species into the quota management system (QMS) in 2004 means most commercially valued species will be included in New Zealand's internationally acclaimed management regime.The implementation of the QMS was integral to New Zealand avoiding the massive over-investment in fishing vessels and gross over-fishing that has destroyed commercial fisheries in many parts of the world during the last three decades according to Ministry of Fisheries senior manager, Mike Arbuckle.The QMS has also enabled New Zealand to protect the marine environment and the quality of recreational fishing. New Zealand is now one of the few nations in the world where citizens can go fishing close by coastal cities and towns and have a reasonable prospect of catching fish.The face of the New Zealand seafood industry has changed dramatically since introduction of the QMS, Mr Arbuckle stated. Quota management has created an environment in which our fisheries have changed from high use of overseas vessels to a commercial resource owned by New Zealanders, and increasingly fished by New Zealand vessels using New Zealand crew. Significant development of more sophisticated marketing and branding of New Zealand seafood has also occurred. The introduction of new species into the QMS offers an opportunity for more New Zealanders to become involved in a major local industry. Compared to other areas of primary production, such as farming, fishing offers a significantly lower entry cost. Considerable amounts of quota will become available to New Zealanders through an open tender process.Mr Arbuckle said the QMS was introduced in 1986 and has since played a pivotal role in putting New Zealand's seafood industry on a sustainable and viable path that has enabled it to compete in the international marketplace.The sector which was worth just $200 million in the 1970s yet now contributes over $1.5 billion in annual export earnings, employs more than 10,000 people and is New Zealand's fourth largest foreign exchange earner behind dairy, meat and forestry products. The seafood industry is poised to surpass the $2 billion mark in foreign earnings by 2010.On a world scale, New Zealand makes up less than two percent of the seafood market. About 90 percent of all seafood caught here is exported.Two thirds of current exports were untapped resources 20 years ago. Now they form the nucleus of a vibrant and growing sector. Crustaceans are particularly sought after in Asia, as are live crayfish and other shellfish in Japan while stocks like Hoki have big appeal in the United States and Europe. New Zealand's main markets include Australia, Japan, North America and Europe."While New Zealand is perceived to be small by global standards, of greater significance is that New Zealand fisheries are internationally recognised as a sustainable source of high-value fish products. That is not the case for all, or even the majority of countries," Mr Arbuckle said."Back in the 1970s prior to the introduction of the QMS, New Zealand's fisheries were without a quality, sustainable model. There were too many boats chasing too few fish and New Zealand was in danger of being over-fished, which had serious implications for the livelihood of many commercial fishers."The QMS ensures that our waters do not get over-fished and there is a plentiful supply to meet yearly and ongoing demands. The QMS also provides security of investment in fisheries against uncontrolled fishing activities.""A further advantage is that the QMS is a relatively inexpensive management system. The ratio of net government expenditure on fisheries management to the annual landed value of the resource is just four percent in New Zealand. This ratio is low compared to the 1997 average of 17 percent estimated by the Organisation for Economic Co-operation and Development.While New Zealand's QMS was perceived by some countries to be experimental in the 1980s, Mr Arbuckle said it is now recognised internationally as a highly successful fisheries management regime."Since the QMS was established, most stocks in which biomass and productivity data were well known are now above sustainable levels. The QMS is a proven platform for sustainable fishing, economic development, and the settlement of Maori Treaty claims." Under the 1992 Deed of Settlement, Maori are allocated 20 percent of the commercial fishing resource as it is introduced to the QMS.The system was started in 1986 when 28 species were brought into the QMS, and it has gained new momentum since the Fisheries Act 1996 was fully implemented in 2001.In the past year seven species were introduced into the QMS, and the remainder will be introduced on 1 April 2004 and 1 October 2004. The QMS continues to be the primary management system for New Zealand's fisheries. As at 1 October 2003, 62 species were managed within the QMS. By 1 October 2004 nearly 100 species will be managed within the QMS.

Figure 5. Press release from MOF website explaining the QMS system

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11. APPENDIX

People and organisations consulted

I would like to thank and acknowledge those who gave us their time and expertise, especially:

Person Position Agency

Jo Pendry Chief, NPS Commercial Services Program

National Parks Service, United States

Lorrie Marlow Acting Chief, Realty Services

Parks Canada

David Roman Manager Visitor and Business Programs

Department Of Environment & Climate Change, NSW, Australia

Andrew Roberts Manager Business Strategy and Services

Tasmanian Parks and Wildlife Service, Australia

Vicki Bonanno Manager Projects, Tourism and Recreation

Great Barrier Reef Marine Park Authority, Queensland, Australia

Ray Voller Fisheries Analyst Ministry of Fisheries, New Zealand

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Questionnaire

Concessions review international scan – questionnaire

Generic questions:

1. Total revenue:

2. No of Concessions:

3. No staff dealing with concessions:

4. Is your system centralised or decentralised:

5. Type of concessions (guiding, recreation/tourism, mining, energy):

Improvements

6. What initiatives have you taken to improve the efficiency and effectiveness of your systems for either small or large scale concessions?

7. What improvements would you suggest to DOC’s concession system?

Processing regimes

8. How are small scale concessions managed?

9. What type of small scale activities don’t require a concession (i.e. short guided walks)?

10. Timeframes, cost of processing small concessions, duration of small concessions?

11. Strengths of this process?

12. Weaknesses of this process?

13. How are large scale (new and existing) concessions managed?

14. Timeframes, cost and for processing large scale concessions, duration of large scale concessions?

15. Strengths of this system?

16. Weakness of this system?

17. Does the government own the infrastructure you tender opportunities for, or, BOT or buyout compensatory deals apply?

Planning

18. Are your planning documents prescriptive i.e. identifying what concession activities at what levels are permitted where?

19. How strictly must you follow your planning documents for concession decisions?

20. What happens when an entrepreneur identifies a large scale idea that isn’t in your plan?

Allocation

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21. When demand exceeds supply how do you allocate concessions?

22. Application, consideration, approval OR identification, tender, selection OR markets (quota) OR voucher OR ballot OR auction OR expressions of interest then tender

Consent processes

23. If I wanted to build a new lodge in a national park what are the local, regional and national government consents that I would need?

24. Does your government make any attempt to combine these processes or run them together, if so, how?

Final comments

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