Capacity Building through Socially Responsible Tourism Development

Abstract

Tourism was introduced in Elmina and Cape Coast, Ghana, Africa, in the late 1980s in part to assist in the reduction of poverty. However, more than 15 years later, the sector has not developed to the extent needed to significantly reduce poverty. A participatory approach to research indicated that the cause was a lack of capacity building. Existing definitions of capacity building are complex and elusive and so far it has not been used as a development objective but as a measurement to realize short-term results. A new clearer definition of capacity building is proposed that is based on the concept of four types of capital: social, human, physical, and financial. It is contended that this definitional clarification allows capacity building to be measured and assessed and therefore legitimately used as a development objective

Keywords

capacity building tourism development Ghana Africa developing countries poverty reduction

Introduction

This research, undertaken in Ghana, indicates that capacity building (CB) can make a significant contribution toward achieving the development of viable and socially responsible economic activities and it is therefore argued that it is desirable to incorporate CB into any endogenous approach to development. The aim of this article is to introduce an innovative approach to conceptualizing CB and to assess the ways in which the operation of this conceptual approach can relate to tourism development, particularly in situations where tourism may have the potential to act as an agent of poverty reduction. This aim was achieved through addressing the following objectives:

Undertaking a critical review of the relationship between the local communities, the national institutions (Ministry of Tourism, Ghana Museum and Monuments Boards [GMMB], Ghana Tourism Board [GTB], the local university [University of Cape Coast], the tourism intermediaries [tour operators], external state development institutions [donor agencies], and the managers of the slave Fortification Castles of Elmina, St. Jago, and Cape Coast), in order to establish the nature of the controlling interests in the projects carried out in the locales of Cape Coast and Elmina

Investigating the ways in which the existence or absence of CB affects tourism development at a grassroots level

Existing definitions of CB have been described as complex and “elusive” and so far have not been used as a development objective but as a measurement to realize short-term results (Alemny et al. 2005) and “reflect different perspectives” (UNDP 2007, p. 2). For example, they can refer to the narrow concept “of staff development through formal education and training programs to meet the deficit of qualified personnel in the short term” (Enemark 2003, p. 1) or to “the process by which individuals, groups, organizations, institutions and countries develop their abilities, individually and collectively, to perform functions, solve problems and achieve objectives” (UNDP 2007, p. 2), among others.

It may be argued that the term CB is as amorphous as the much abused terms that seek to suggest sustainability such as Sustainable Tourism. A range of authors have proposed that one valid way of conceptualizing sustainability is to think in terms of managing and balancing the different forms of “capital”; economic, social, and environmental, recognizing that each of these sets of capital resources are finite and that if they are depleted below a certain critical threshold are unlikely ever to recover. Although appealing in its simplicity and logic, the term capital is almost inevitably perceived in financial terms, raising the vexed question as to how monetary values can be ascribed to social and environmental capital, particularly in market economies. At the same time as recognizing the difficulties inherent in the valuation of different forms of capital, this research adopts a similar reductionist analytical perspective of CB in considering that the capacities referred to comprise a number of different forms of “capital resources,” namely, social, human, and physical, and financial, such a perspective enables researchers to conceptualize and operationalize it as a development tool rather than as a measurement instrument.

Accordingly, a refinement of the 2007 UNDP definition is proposed in that CB should be considered as investments in social, human, physical, and financial capital and is the outcome of the interaction between the following interests: individuals, businesses, networks, organizations, and policy institutions, both at national and supra-national levels. Hence the notion of different forms of capital are discussed and defined in order to conceptualize a new definition of CB that reflects the context and characteristics of tourism development in a developing country; specifically, tourism development in the two towns of Elmina and Cape Coast in Ghana is reviewed. The roles of the stakeholders are investigated and reviewed in order to determine how stakeholders perceive tourism based on their personal experiences and contact with it. Before presenting the analysis of the research findings, the methodological framework is defended to explain the way data were collected and analyzed.

According to the originator of the grounded theory, Glaser and Strauss (1967), the researcher can conduct a literature review before embarking on the fieldwork. However, Glaser (1992) also argues that the theory develops after the collection of the data. Consequently a brief review of the concept of capital is given as an introduction to the research undertaken.

Theoretical Considerations

Social, Human, Physical, and Financial Capital

Social capital

According to Lochner, Kawachi, and Kennedy (1999), social capital is not homogeneous and so has more than one definition. However, many authors agree that it is directly focused on the domain of the “community” and is defined as comprising “social interactions, trust and reciprocity (considered to result in) a collective outcome” (Grootaert and Van Bastelaer 2001, p. 1). Enhancements in social capital have long been considered to contribute to economic and social development (Putnam, Leonardi, and Nanetti 1993).

The definition used in this research is the one adopted given by Coleman (1990), Putnam, Leonardi, and Nanetti (1993), and Fukuyama (2001), which recognizes that social capital is the element that keeps together the inherent networks found in institutions, along with the trusts and norms that encourage cooperation and coordination between individuals and assist collective action for reciprocal benefit. Consequently, high levels of social capital can facilitate successful civic institutions (Lochner, Kawachi, and Kennedy 1999) and ultimately the sustainability of law and order (Sampson 1996). The potential contribution of enhanced social capital is firmly linked to encouraging and facilitating community participation to work with institutions to tackle economic inefficiencies that are exacerbated by the effects of globalization (Grootaert and Van Bastelaer 2002), to achieve development objectives (Uphoff and Wijayaratna 2000). Putnam, Leonardi, and Nanetti (1993) propose a number of indicators by which social capital may be measured; these include the size of voluntary associations, the degree to which citizens trust one another, and the way citizens perceive the availability of mutual aid. Putnam, Leonardi, and Nanetti’s (1993) observation that slavery was a system that led to low levels of social capital is particularly pertinent to Ghana, which was one of the major points of departure for the African slave trade.

Human capital

Improved Human capital has been recognized for more than 200 years as being a key determinant of economic growth and success. The OECD (1998, p. 9) defines human capital as “the knowledge, skills and competence and other attributes embodied in individuals that are relevant to economic activity.” Becker (1993) emphasizes the application of education and training as important elements that endorse growth and efficacy but also decrease inequality. Education can significantly assist people from underprivileged backgrounds, particularly those from developing countries, to climb the economic ladder. The accumulation of knowledge and skills increases productivity and earnings both at an individual and societal level.

However, in developing countries a significant number of people are deprived of the right to institutional education and this affects their character, behavior, and opportunities in the labor markets. Some authors however counsel caution, suggesting that it is not always the case that in rapidly developing economies there is a good match between the numbers of highly educated individuals emerging from educational and training programs and appropriate employment opportunities (Bronchi 2003). Equally, it is necessary to recognize the importance of human capital not only in terms of economic advancement but also for societal and cultural advancement as they are interrelated and the inadequacy of human capital can be detrimental to both society and culture.

Physical capital

Physical capital refers to any nonhuman asset made by humans and then used in production. Often it refers to economic capital in some ambiguous combination of infrastructural capital and natural capital where infrastructural capital consists of nonnatural support systems and natural capital refers to natural climatic, ecological, and landform support systems that are inherent in ecologies and are protected by communities to support life (e.g., a river, which provides farms with water). It includes both the infrastructure that benefits the general community such as water supply and treatment, highways, airports, telecommunications, and more specific sector-related infrastructure. It may be appropriate to consider in locations where tourism is well established and is a significant contributor to the local economy, the existence of sector-specific tourism capital in order to represent both the current and actual potential contribution of hotels, and purpose-built visitor attractions etc. to enhancing the capacity of the location to achieve its economic and social aspirations. For the purpose of this study, physical capital is considered to be the natural support systems together with its infrastructure, superstructure, carrying capacity, cost/value, and safety and security.

Financial capital

Financial capital refers to the capacity to access funds from bank deposits, created through investments or through micro finance/credit mechanisms, financial linkages, and partnerships. Such funds allow the purchase of necessary materials, and the engagement of labor among others to enable the establishment of, or expansion of, a business. In the past few years, microfinance has become a means of making credit and financial services available to poor individuals who had no access to credit but who aspired to establish a micro or small-scale company in an effort to get out of poverty (Koutra 2007a).

There are challenges, and micro and SMEs¹ including “access to credit is one of the challenges to be met when establishing local micro-enterprises” (Koutra 2008, p. 6). Steel and Andah (2004; cited in Koutra 2008, p. 6) argues “the existence of micro finance/credit mechanisms is very important in Ghana since rural and commercial banks, are few and far in between, and there is no NGO whose prime task is the provision of micro finance/credit. In the past, funding given by USAID helped many people to open small businesses.” Andreasson (2005) argues that investments by multinational corporations are required to fuel growth on a long term. However, emphasis should be given to the nature of investment as economic growth usually depends on the level and quality of investment. Otherwise, in the case where production is more capital intensive than labor intensive, unemployment and poverty will increase (Ellerman 2001). “It is essential that investments are carried out in a way that will ensure the long term sustainability of the sector” (Koutra 2008, p. 2).

Tourism Development

Clayton (2003) suggests that in developing countries, national tourism development policy is not usually integrated with macroeconomic policies and linked with other economic sectors that influence its process; neither does it take into consideration social and environmental factors. Tosun and Timothy (2001) argue that most of the problems in developing countries derive directly from the macroeconomic, sociopolitical, and economic system, which is characterized by bureaucracy, corruption, favoritism, and centralized planning. In effect, this leads to development that serves the interests of the few and disregards the actual local conditions. As a result, tourism does not lead to development; on the contrary, it is development that leads to tourism. Thus, so far, the focal objective of tourism development has in many developing countries been to multiply foreign receipts and increase growth, rather than to act as a means of poverty reduction. Tourism has developed according to individual needs and has not been treated as a system by nations and communities alike. Nevertheless, negative experiences indicated that because of the fragmented nature of tourism, community participation and cooperation between all stakeholders concerned is regarded as essential during the planning process.

The Role of Stakeholders in Tourism Development

Bramwell and Sharman (1999) suggest that stakeholder collaboration in tourism could prevent antagonisms, legitimize final decisions, enhance harmonization of policies, and add value through a diverse gamut of expertise and knowledge. Nevertheless, in many developing countries, because democracy is not yet entirely institutionalized, collaboration among stakeholders may face difficulties. The major obstacles may come in the form of inadequate government, weak civil society institutions, the communities themselves, or external agencies, which usually dictate the terms of participation. On the one hand, local and/or national governments, because of deficiencies in knowledge and expertise, usually fall short of realizing the importance of involving communities in tourism planning (World Bank Group 2003).

In addition, Tosun and Timothy (2001) suggest that issues related to the distribution of power and resources lead to governmental decisions that disregard community participation issues, or they meticulously restrain efforts for progress and change. On the other hand, the communities themselves, and especially those at the grassroots level, either have limited understanding of the tourism industry (World Bank Group 2003) and lack commitment or lack the resources and confidence to enable them to voice their concerns as equal partners and work with government to develop policies that are in their favor (World Bank Group 2003). There is often either no strategic planning or a lack of consensus during the perception and implementation of the planning process. As a result, funding is often used to support private business whereas decision making is rarely influenced by the community even when there are resources available (Gartner 2001).

Brohman (1996) suggests that lack of meaningful participation might lead to the empowerment of some elite groups, who could influence tourism development to their benefit. This marginalizes disadvantaged groups and civil society actors even more, while posing a threat to the protection of the environment. However, the achievement of sustainable development demands good governance, which can only be achieved if the industry takes responsibility for its own actions. This is because good governance is synonymous to responsibility and accountability of one’s actions. Therefore as Trousdale (1999) suggests, ethically strong political and community leaders need to come together to address issues of power, to provide strategic guidance, and to establish local commitment, all complemented by the technical knowledge needed for implementation. It may be stressed that a prerequisite for the achievement of poverty reduction is the equal distribution of benefits, which can be better realized if tourism is incorporated into other sectors of the economy—for example, industry, transportation, services, agriculture, fisheries, and timber. So far, experiences mainly in developed countries indicate that failure to adopt a holistic approach to tourism policy can lead to short-term profits and endanger sustainability (Clayton 2003). The right tourism product can only be developed if planners and developers are synchronized with the local communities, especially those at the grassroots level, and the decisions taken are in harmony with values that reflect the culture and traditions of the society.

Moreover, human resources training, both in the public and private sector and especially at the very top level would be a step in the right direction, since these people are the ones who make decisions that influence the tourism phenomenon. A thorough knowledge of planning, marketing, information, dissemination, and evaluation is essential for empowering tourism professionals to act effectively as cultural advisers (Hunter 1995). Tourism is also a very competitive industry and therefore infrastructural development in developing countries is regarded as essential for them to compete in global markets. Specifically, the need is for the provision of sanitation, water supply, drainage regulation, telecommunication facilities, and affordable and accessible transport.

Lack of skills, formal education, and training can also be important deterrents in the development of tourism and the realization of tourism benefits. Small businesses in particular do not have either the skills or the experience to compete with standards set by international markets in terms of quality and consistency of service, or the knowledge to set the price right and market the product accordingly (Victurine 2000). Donor agencies, who are the main initiators of these schemes, must realize the need for commitment, constant supervision, monitoring, and evaluation and focus on ways to reach those at the grassroots (Victurine 2000). In this instance again, short-term solutions and availability of funds without investing in building capacities at a local, regional, and definitely at governmental level will not bear fruit. Taking into consideration the constantly changing face of tourism, the needs of consumers and those of local communities, the flexibility and adaptability of any scheme to local level conditions is of utmost importance. Consultation, and any form of advice, has to reflect the global environment, be translated into the local “language,” and have a long-term vision. Passion is the outcome of vision, which in turn leads to action; and long-term vision is required for any plan to succeed.

Tourism Development in the Towns of Elmina and Cape Coast, Ghana

Ghana’s development has been determined by the European nations that first set foot in the country to trade in gold and progressively in slaves, starting a slave trade that lasted for almost 400 years. The influence of the colonizers, especially the British, was such that Western culture, values, and institutions penetrated Ghanaian culture to the extent that the country’s diverse and rich heritage was disregarded (Buah 1998). From a political and economic point of view, the country became used to producing what is not for consumption and to consuming what is not produced, since policy was determined by external needs. This situation continues to the present since the country has been unable to recover from the dependency syndrome and is not in a position to function independently without external aid (GGNDPC 2005).

The development of tourism in Ghana and, for that matter, in the towns of Elmina and Cape Coast has never been a straightforward process and is regarded as a relatively new phenomenon, tourism having been introduced to the country as an organized activity at the end of the 1980s (Gartner 1996). Therefore, the country’s political economy, along with people’s traditions, customs, and culture, structured the birth and successive process of tourism. A review of tourism development in the country demonstrates that it was predominantly devised and orchestrated by foreign developers. This was manifested in the form of elaborate “master plans” (MTG, UNDP and WTO 1996), which were either not implemented or were “ill conceived,” because they did not reflect local realities and the local technical or financial capacities were not there to implement them (Koutra 2007a). This is especially the case in Elmina and Cape Coast where, despite efforts, tourism activities have not delivered the expected “development” effect (Koutra 2008). The Central Region where the two towns are based (see Figure 1) is the most well-known destination in Ghana, because of its diverse cultural and nature-based attractions.

Figure 1.

Map of the central region

According to the official Ghanaian tourism website, the region, apart from the castles, is renowned for its palm-fringed beaches, fishing villages, historic towns, and abundant natural environment. The most popular and well known are located in the region’s capital, Cape Coast (Carolusburg), and the neighboring town of Elmina (St George’s). These two and Fort St. Jago (which together comprise the research area of this article) were judged unique and declared World Heritage Sites by UNESCO in 1972 (Ghana 1995). They served initially as European slaving posts and eventually as slave dungeons during the transatlantic slave trade. Tourism in the region was not an organized activity until the end of 1988, when the Ghanaian government began to decentralize its bureaucracy (Crawford 2004).

As a result of this strategy, various regions across the country were assigned more autonomy. One of these was the Central Region, which established the Central Region Development Commission (CEDECOM) in order to assist the formulation of policies and programs for the region’s integrated development. Tourism was an important component of its strategy for development. For the implementation of their plans, CEDECOM approached several donor agencies for funding. Among those that responded were the UNDP and the USAID, which contacted the Debt for Development Coalition (DDC) for a “debt swap” arrangement. The DDC in turn contacted the Midwestern Universities Consortium for International Activities (MUCIA) and it was eventually agreed that MUCIA would be the project organizer (ICOMOS 1999).

For the implementation of the project, four subcontractors were hired: the University of Minnesota, the Smithsonian Institute, the United States Committee of the International Council on Monuments and Sites (US/ICOMOS), and Conservation International. At a national level, Shell Oil (Ghana) Limited and Ghana Museums and Monuments Boards (GMMB) (custodian of the castles) have also contributed to the funding of the project while the Universities of Ghana at Legon and Cape Coast have assisted in the supervision of “the design and installation of exhibits and the training of museum personnel” (Richards 2002, p. 372). As a result of this cooperation, the Natural Resource Conservation and Historic Preservation (NRCHP) project was implemented, which entailed the rehabilitation and transformation of the castles and the fortress into heritage attractions; the creation of Kakum National Park from two neighboring forest reserves; the promotion and marketing of the place; and the training of local staff (ICOMOS 1999). At a macroeconomic level, the initiative was successful since tourism to Cape Coast Castle increased. However, the maintenance and restoration undertaken was minimal and at the microeconomic level the initiative failed to contribute toward local economic development and eventually poverty reduction (Koutra 2007b).

Methodology

Study Methods

The research was undertaken during a five-month period in the towns of Elmina, Cape Coast, and Accra (major tour operators are based in Accra, the capital city, and therefore interviews were conducted there). A qualitative, epistemological, interpretive approach was followed because it is considered that interpretations of reality are not fixed, unlike the positivist paradigm of a “fixed reality” that corresponds to truth; knowledge is considered to be socially constructed; it is acknowledged that there are many views on a subject; the study does not aim to test a hypothesis but rather to make available theoretical knowledge of the phenomena under study; and finally, the use of a qualitative approach enables the views of participants to be included. Given that this specific research is inductive in nature, the employment of participatory methods was considered imperative, because they enabled the collection of data through participant observation, unstructured interviewing (with an emphasis on interviewing illiterate, semiliterate, poor, and unskilled local people), video recording and photographs (thus providing some visual evidence and data for further analysis), either directly or as a participant engaged in conversations with local people or at venues such as weddings, funerals, or festivals. Thus, we tried to ensure that the “voices” of local people were heard.

A hybrid research method named rapid situation analysis (RSA) was designed based on elements borrowed from Rapid Rural Appraisal (RRA)² and Participatory Rural Appraisal (PRA).³ That was partly due to limitations of “both RRA and PRA which handicap their application to tourism” (Koutra 2010, p. 1021). Optimal ignorance was omitted in the research because the “‘saturation’ approach was adopted where data collection ceased when a certain pattern of repetition occurred” (Koutra 2010, pp. 1021-22). A modified version of the Destination Competitiveness and Sustainability model developed by Ritchie and Crouch (2003) was adopted to support this multiperspective approach. Although triangulation was also omitted from this study, the multimethods (Denzin and Lincoln 1994) approach was used, thus avoiding any form of “methodolatry” (Janesick 1994) where the method always has to be justified, thus compromising the focus. The hybrid nature of the research approach allows for flexibility and adjustment according to the needs of the research (Koutra 2010, p. 1022).

Grounded theory was used because of its inductive nature and its ability to build theoretical propositions and a core theory (Glaser and Strauss 1967). In addition, it can be incorporated with other research methods when handling and interpreting data. In this study, it was used partly to collect but mainly to analyze the data. Given that the researcher was not a member of the communities studied, it enabled respondents to assist with the selection of the sample.

To eliminate bias that might possibly have arisen through the nomination of informants by people who only knew one another, relevant people from the local university were consulted and research assistants who originated from the area were recruited. This made use of the experience and background of subjects from the tourism sector. Nevertheless, the selection process also abided by grounded theory’s theoretical sampling principles (Glaser and Strauss 1967). Fifty-two people were interviewed in total—27 of them on a one-to-one basis—and they were categorized as (1) tourism experts, (2) key informers, (3) academics, and (4) local community people at the grassroots level. The other 25 people took part in focus groups. For those interviewed on a one-to-one basis, the sample was chosen according to the knowledge and involvement of the interviewees about and in the tourism sector.

However, the sample size for local communities at the grassroots level was the same because the intention was for the views of local people to be as representative as possible. To eliminate any bias that might arise from interviewing only men or women, or young or old people, three groups of people were formed: (1) women between 19 and 58 years old; (2) men between 35 and 80 years old; and (3) young people between 19 and 23 years old, both men and women. This gave more room to ponder issues faced only by young people. The groups were chosen from both locales, three from Cape Coast and three from Elmina. This enabled key comparisons to be made in order to present an unambiguous picture of tourism development in the area.

Two sets of questions were designed, one for academics, tourism experts, and leaders/representatives and one for the local community. The questions for the first group reflected the range of the varying determinants of competitiveness proposed by Crouch and Ritchie’s model, including the Qualifying and amplifying components, Core Resource components, Supporting Factors, Resources Destination Policy, Planning, and Development and Management Components. The questions for the second groups were about perceptions of life in the past and currently, of tourism development, of cultural heritage and castles, of the extent of community participation, of their environment, their satisfaction as to the way government, tour operators, donor agencies, the local university and polytechnic, and the GMMB look after the town.

Data Analysis

The process of data analysis is based on the grounded theory approach because it is systematic and follows a standard format. Grounded theory is a technique developed by Glaser and Strauss in 1967 to collect and analyze data and generate concepts and theories inductively. It relates to a particular situation by employing a constant comparative method. Its procedures are neither statistical nor quantitative. This situation is based on individuals’ interactions and actions, as well as their engagement in a process in response to a phenomenon (Strauss and Corbin 1994). To identify these actions and reactions, the researcher collects data derived from interviews and field observations, and then analyzes the data using coding and theoretical sampling procedures. Afterwards, the theories are generalized, with the assistance of interpretive procedures before they are finally written up and presented (Cresswell and Brown 1992). The theory developed has the form of a narrative statement (Strauss and Corbin 1990), a visual picture (Morrow and Smith 1998), or a series of propositions and hypotheses (Creswell 1998).

Once the transcripts and field notes were produced, all interviews and focus group data were integrated and reported on. This was after comparisons were made to identify similarities and differences among the respondents’ answers and the field notes. The final account details the most representative responses and eliminates possible repetitions. Given that the findings indicated that tourism is not perceived as being developed in either of the locales, the analysis was not a comparison between the two towns. Rather, the comparison was between the views of the various stakeholders who reside, operate, or take decisions that influence tourism development in the locales. In addition, the data collected as part of the participant and direct observation and those arising when the fieldwork data were merged and fed back to the local communities. Even though they were not coded, the resulting feedback from the community was used as additional information to emphasize and complement the reported data.

The data were coded following Glaser’s (1992) approach, which recommends coding according to the direct relevance and substance of the research, and not as Glaser and Strauss (1967) originally suggested by coding every single word or sentence. The codes were identified in accordance with their significance to the research. They were highlighted in italics and represented by a word, a whole sentence, or even a small paragraph. Once the codes had been identified, a comparison between similar incidents described by the codes was undertaken by asking questions such as what, where, when, how, and subsequently a conceptual label that sought to represent the underlying concept identified was given to them.

The concepts were further compared and contrasted and assigned to one of the four categories of capital—social, human, financial, and physical, which were used in order to link and categorize the concepts. The rationale for using these particular notions of capital is that, first, a limited number of categories had to be generated, so that the outcome of the research is more focused; and second, the process of reviewing the concepts, and making comparisons to highlight similarities and differences, brought the realization that they describe social, human, financial, and physical phenomena.

Then, reflecting on the data and exploring new literature to support the newly found categories, it was realized that the best way to describe the above-mentioned notions is to discuss them under the central theme of capital as all these categories are regarded as interrelated and interconnected because the physical, financial, and human capital presupposes a network of social organization and therefore social capital. The social capital, in turn, as Putnam, Leonardi, and Nanetti (1993) argue, enhances the benefits in physical and human capital. It also enhances the benefits of financial capital and the natural capital, which is incorporated in physical capital, because they are the outcomes of social synergies and networks. Once the categories were established, the concepts and categories were further reviewed to formulate propositions for each individual category, which denote a generalized conceptual relationship between a category and its concepts. The propositions were formed after the following factors were considered: (1) times of repetition, (2) similarities in content between concepts, (3) uniqueness, and (4) relevance to the literature reviewed.

At this stage, all objectives were dealt with simultaneously since the first stage of preliminary analysis indicated that all three objectives are interrelated and interconnected and therefore a more thorough picture would be presented if all three of them were discussed together interchangeably. The data analysis was based on extensive consultation, comparison, and analysis of the literature, field notes, and personal scholarly knowledge and thoughts.

Findings

The analysis of the data identifies seven “capital” factors that contribute toward the building capacity in the communities in Elmina and Cape Coast to engage in and contribute toward the development of tourism. Three of these are factors of social capital, two relate to financial capital, one to human capital, and one to physical capital.

Social Capital

Community Participation Is a Prerequisite for Sustainable Tourism Development

A leading member of the communities said, “Local people do not have a say in decision making. Most people still have to fight for inclusion. The government collects all revenue accrued; there was this case where the Chief,⁴ who are traditionally the owners of the land, demanded their share from the government but nothing has been accomplished. As a result people do not care, and they defecate around the castles.” Chambers (1992, 1997) calls for empowerment of the poorest of the poor through development that puts their needs first; however, this can only be achieved through the adoption of participatory approaches, because if a substantial number of the population benefits from tourism and especially if this proportion considers tourism as an alternative means of survival, then the sense of local ownership increases and subsequently the community’s desire increases for tourism’s further development. Ubels, Yocarini, and Zevenbergen (2005) suggest that community participation in the process of planning, implementation, and monitoring facilitates the development of ownership of a given project, which ultimately ensures its sustainability. However in Ghana, “the policy structure and content does not reflect the local views and this is mainly attributed to insufficient collaboration between policy makers and local people,” said a tourism expert.

Weak Institutions Are Detrimental to Developing Sustainable Tourism

Corruption is an issue directly associated with weak institutions in Ghana and especially in these two locales. Appiah-Kushi (2005) suggests that corruption is regarded as one of the most serious social and ethical problems in Ghana. A key informant characteristically said, “There is too much corruption; the agencies are not responsible because they cooperate directly with the government and the money never reaches the local communities. There is a need for the local agencies to cooperate directly with us the local people. [T]he system needs to be decentralized but for now everything is arranged by the government in Accra and everything goes back to Accra . . . the structures that we have in place in Ghana since independence have gone through a lot. It was only recently that the district assemblies have been given power. It is better now than it has ever been but these things take time. But we have to put into it more effort.” The African Union (2005) suggests that decentralization of decision making as well as assignment of central budgets at a local level is crucial for a more horizontal approach to the decision-making process because it facilitates full participation and social mobilization. In this manner, transparency and accountability increase and motivate the local communities to play an active role in their own development.

According to Crawford (2004), decentralization did not succeed in Ghana because the financial position of local authorities is weak and they depend largely on the central government, thus also undermining their “operational autonomy.” Local community people and key informants said alike, “There is lack of funding. We need money to maintain artefacts that are more than 200 years old, to paint the castles, increase salaries and allowances. . . . The regional director currently is running the two regions with less than three million Cedis (US$300). All the bills have to be paid with this money as well . . . only hotel and restaurants benefit and those who are employed by them but not to the extent that it would be if we had a better structure, more localized benefits from the revenue generated . . . the tourism boards are not decentralized down to the district level. So everything is wrong, and to change tourism you have to change the legislation. What we can do is one part of the money that the tourism board collects for taxes from hotels, to be given to the local community or the Regional Tourism Board to strengthen them to do their work . . . for now everything is arranged by the government in Accra and everything goes back to Accra. So the local community cannot benefit.”

Networks and Partnership as Essential Elements in the Development and Sustainability of Tourism

Lowe (2005) stresses the importance of social networks as facilitators of cooperation and prerequisites for success at personal, societal, and entrepreneurial levels. “We don’t know what people are looking for; we are selling but we don’t know for whom and what products are in demand,” said a tourism expert, while an academic added, “People either do not think right or they do not collaborate; either they are ignorant or there is too much secrecy and mistrust.” The starting point for the establishment of partnerships and networks in the locales should be an open and constructive dialogue based on trust. The current practices of mistrust and working in isolation do not work in the era of globalization; cooperation at all societal and community levels is needed.

In addition, a tourism expert said, “We need a very strong link between us and the government, between the castles and the people. We need to package information and then help disseminate it.” However, a key informant added, “The tour operators are not prepared to cooperate. To them it is about making money; there is a financial motive to whatever they do. Most of the tour operators are based in Accra, so they come, they tour around, and go back to Accra.” The formation of partnerships and networks can lead to access to information and knowledge in a short time scale and in a cost-effective manner. It is only then that the knowledge acquired will work for the benefit of the locales and the sustainable development of tourism. In the locales of Elmina and Cape Coast, networking among the various stakeholders might prove beneficial for the further development of tourism because networks can bring into contact people from different levels, backgrounds, disciplines, and organizations. Under other conditions, this would not be possible because of societal, cultural, economic, and political barriers. Thus people can act together, increasing their competence and confidence (Lowe 2005).

Given that the local institutions (GMMB, GTB, district assembly, regional traditional leaders, university and polytechnic) are the ones that comprehend the needs of the local communities better than any other external agents and that currently the ties between them are weak, the partnerships and networks can facilitate their reinforcement. Some of local people and tourism experts said, “We need a very strong link between us and the government, between us and the people. We need to get trained so we know how to package information and then help disseminate them . . . so far the benefits are meagre because there is not a link between the community and the castles . . . the people who manage the castle cannot see that they have to marry the history of the castles with the whole history of Elmina and cooperate with private tour guides and tour operators. At the moment, tour operators from Accra drive tourists into the castles and then they go away.” Hence, when a tourism development project is implemented, the local organization will be equipped with the training and knowledge needed to ensure its sustainability. Sustainability is best achieved both with the cooperation of government and that of the community (De Harveskercke et al. 2003).

Financial Capital

Lack of Investment Can Be Detrimental to Sustainable Tourism Development

Currently in these locales there is insufficient domestic and international investment needed for tourism development and therefore poverty reduction. One of the tourism experts said, “The indigenous people do not participate, the infrastructure is not at place, and the government does not invest. The castles have not seen investment for a long time.” Easterly (2001) maintains there are various sources of growth that however are “elusive” and that economic growth requires opportunity and acts of entrepreneurship by several actors. The state and the donor agencies have a role to play in this, by increasing their commercial activities, labor, skills, knowledge, and public services of various types. This would provide the economic basis needed for the development of micro and small and medium enterprises and attract both domestic and foreign direct investments.

However, there is lack of funds, training, and education. One of the members of the local communities said, “At times we have projects but they collapse, we call them ‘one day wonders’ because they are not funds to sustain them.” The most frequent tourists to the locales are people from the diaspora who come to Ghana to find their roots. One of the members of the local communities said, “The majority comes from the Diaspora; the Ghanaians do not tour much because the economy is not good enough for them to tour.” These tourists could become potential investors if they are provided with accurate information regarding opportunities in the region.

Given that investment promotion is a costly process, developed countries should take it on themselves to promote opportunities in the region. Emphasis though should be attributed to the nature of investment because, as some of the academics state, “Donor agencies have created a dependency system because they do not invest in people . . . the donor agencies serve their own interests . . . aid does not work. . . . I will tell you the Chinese proverb . . . if you want to feed somebody you do not give that person fish but you teach the person how to fish. If somebody gives you money there is this dependency system which creates superordinate– subordinate relationship and therefore they will dictate you some of the ways about certain things that must be done. Then that means that you don’t do things the way you want them to be. So you are indebted to them and the way that the money is used is not dictated by you. We need a system of trading to make us generate our own income.” Ellerman (2001) suggests economic growth depends on the level and the quality of investment, while Hammer, Healey, and Naschold (2000) stress the importance of efficient use of capital for investments. Where production is more capital intensive than labor intensive, unemployment and poverty increases (Ellerman 2001), as is currently the case in Elmina and Cape Coast.

Micro-Finance/Credit as a Tool of Involvement in Tourism Activity

Tourism has so far benefited the privileged few, while the poor majority has mostly been deprived of any part in the activity. A tourism expert said, “the initiative was not successful because it did not even involve people of the area; only hotels and restaurants benefit and those who are employed by them. We gave funding but only to people who were already in the business. We did not support anyone who wanted to start a business from scratch. The employment was short-lived because after the rehabilitation the community did not benefit at all people were left on their own to struggle. It is like survival of the fittest, if you are strong you survive.” Barrett (2003) suggests lack of access to simple financial products condemns people to chronic poverty.

According to Gow (2001), experience of access to credit indicated that people become more economically secure, they are able to make their own purchases, they are more politically and legally aware, their participation and control over decision making is increased, and as a result their self-confidence is also strengthened. However, even though the aim of micro-finance/credit is to assist those who are poverty stricken, in many cases poverty itself is an obstacle to accessing those loans, since the poor are required to provide collateral, or repay the sum with high interest (Grameen Dialogue Newsletter 1999; UNWTO 2005). At times, for these reasons the financial institutions themselves are reluctant to lend (Chalmers and Wenner 2001). Participant observation indicated that this is also a problem identified in the locales under investigation. One of the local community people said, “We are poor and because of that no one wants to lend us money.” The experience of the Grameen Bank in Bangladesh, however, indicates that the use of joint loans may be a way round the problem (Kanbur and Squire 1999) and, therefore, since there are already tried and successful cases, micro finance/credit is worth considering in the locales of Elmina and Cape Coast.

Moreover, the assistance of micro finance/credit can also empower women. In the communities, there is conscious realization that women’s basic role is to raise a family. Despite the fact that there are ambitious women who would like to be independent, unemployment and therefore poverty reinforces their belief that marriage is the only way to proceed in life. Access to credit would improve the bargaining power of women within their households (Kabeer 1994) and increase their part in decision making. This is an issue that was identified in the locales, where women feel that their limited role in production also limits their role in decision making and that they only serve as “breeding machines,” as is frequently commented by local women. Institutions and policies have to create these opportunities for them so that they become empowered and are enabled to escape the vicious circle of poverty.

Human Capital

Tourism Development Is Hindered by Insufficient Tourism Awareness, Insufficient Skill Development and Inappropriate Education

The most important element needed to build human capital is education, both institutional and societal, which is also perceived as the main prerequisite for development. However, in developing countries a significant number of people are deprived of the right to institutional education and that affects their character, behavior and opportunities in the labor markets. This is also the case in the locales of Elmina and Cape Coast. Because of the prevalence of poverty in the locales, there are a great many illiterate or semiliterate people, many of whom are young. Poverty is a condition that is a prohibiting factor for development and especially tourism development. Education in this instance has to be delivered at a societal level through dissemination of information so that awareness is increased. One of the tourism experts said, “When people are poor, their mind is not stretched beyond finding food and a shelter. So you have to train them in order to engage them. You need to sensitize and educate them. You need to tell them what to do apart from selling the food. You have to tell them to sell souvenirs, to perform. In South Africa for example ordinary artists come and play music and they make money from it. Here they cannot see it until we train them and educate them.” Tourism sustainability depends on people and it can be better and more quickly achieved if people know the importance of sustainability.

One of the local community people said, “Sustainability means continuity, creativity, and commitment. It can be achieved with sensitization, education, awareness. Without those elements we have no commitment no sustainability . . . they allow people to come inside and do anything they please. . . . People are scooping the stones around it and using it to prepare fish.” Therefore, increased awareness, especially among disadvantaged and marginalized groups, is crucial. However, it is the participation of these groups in the process that can ensure successful dissemination of information and knowledge and their social mobilization. It is only then that their problems will be identified and the solutions given will represent realistic needs and targets.

Given the depth of poverty in the communities and the fact that people cannot even afford to buy a TV or a radio, the employment of community leaders can accelerate awareness and information dissemination. One of the key informants said, “People would talk about education on the radio and newspapers. But how many people can buy a newspaper? They cannot afford it. How many people own a radio and a TV? So how can they hear and be educated? It can be realistic in a limited sense. . . . It is possible but we need assistance to make it happen.” Mitchell and Eagles (2001) suggest that awareness ultimately brings unity and power and therefore local independence and control. Additionally, knowledge has to be adapted to the local culture and be transferred from the bottom–up. Alemny et al. (2005) suggest that despite the fact that information can be culturally neutral, social, political, and cultural suppositions can have an impact on the transmission of knowledge. That is why adaptation is crucial so that people feel that knowledge complements, rather than interferes with, their own culture. It is only then that knowledge becomes their own and people begin to mobilize.

Physical Capital

An Inadequate Infrastructural Base Can Be a Hindrance to Environmental Sustainability and Tourism Development

According to the interviewees in the designated communities, the infrastructural problem is identified by “inadequate road transport and dependence on taxis; inadequate and costly air transport services and lack of a national air carrier; inadequate telecommunications networks; inadequate water supply and sewage facilities; regular power failures and bad roads; lack of cultural and information centers; lack of museums and tourist rest-stops; poor signposting and printed material; and most importantly, poor maintenance of the castles.” A leading member of the communities said, “Things are better in Cape Coast but in Elmina they do not even have telephone lines.” As a result, not many tourists visit the area and hence local businesses and especially those at the micro-scale are deprived of revenue. Infrastructural development and especially communications and transportation are preconditions for development since tourism requires physical resources and utilities to facilitate business transactions.

In addition, inadequate technology hinders local entrepreneurs’ prospects for marketing improvement and further expansion of businesses by establishing sales-related contacts that are essential to compete in local, regional, national, and international markets. The tourists themselves are also deprived of the chance to fully appreciate tourist attractions and to assist with conservation.

Ashley, Roe, and Goodwin (2001) suggest that tourism can positively influence natural capital by providing incentives for conservation and lobbying against the degradation of the environment. Communities are mostly unaware of the need for conservation and its potential contribution to economic and cultural enhancement. One of the academics said, “We have a sanitation problem and soil erosion, the hillsides have been eroded by local people and they cannot see it. Serious treatment is all that is needed. We don’t have a program for tree planting this is done only for timber. In the urban areas you hardly hear of any tree planting.” Given that tourists like to visit places that are attractive, clean, and unpolluted, preserving the environment is important since it can prolong tourists’ stay and hence their spending in the locales.

Participant and direct observation indicated that currently the absence of a proper solid waste system, in both locales, and the messy state of the beaches has a severe visual and health impact. The need for sewerage and waste management is of the utmost importance since its absence contributes to malarial infections and presumably to other health risks too. One of the academics said, “The sanitation problem also characterizes the neighboring regions, which throw their litter into the rivers and the lagoon, where the current carries them all the way to Elmina.”

Conclusion

Rousseau (1986, p. 60) in his book the Social Contract pondered “how to find a form of association, which will defend the person and goods of each member with the collective force of all and under which, each individual while uniting himself with others, obeys no one but himself and remains as free as before.” It could be argued that a way to achieve this goal is for all members of a community, to work for the benefit of that community, without taking into account individualistic and egotistical needs. A prerequisite for this is for the people to have total control of the community, and to have secured some basic freedoms regarding fundamental daily needs, for example, food and shelter.

However, in Ghana, and specifically in the towns of Elmina and Cape Coast, this study indicates that these freedoms are hindered by the prevalence of poverty, which in effect is a hindrance to sustainable tourism development. Poverty is the outcome of lack of CB in the form and shape of weak capital of human resources, social and financial institutions, and the physical environment, which ultimately lead to the unequal distribution of benefits. As well as the inadequacy of all stakeholders concerned in accepting responsibility toward the society and communities in which they either live or operate. The castles have managed to bring some tourist activity into the towns, especially following USAID’s effort to rehabilitate the structures, but tourism has barely developed because the initiative did not succeed in empowering the local community by building capacities.

As it is illustrated in the analysis, all the key issues of the proposals attached to social, human, physical, and financial capital aim to build capacities for the purpose of tourism development and ultimately poverty reduction. Hence in this study CB is defined as “investment in social, human, physical and financial capital and is the outcome of the interaction between the following factors: individuals, businesses, networks, organizations and policy institutions, both at national and external state development institutional level.” CB can differ among regions hence there is no unique method that applies to every destination since the affiliation that tourism has to development is not straightforward but rather complex.

As Held (1995) suggests, tourism development depends on the interlinkage of the local and global environments and the complex relationship identified between the global and local nexus. Therefore, its application should depend on the distinctive characteristics of a specific place such as geographical location, history, culture, political conditions, and economic advancement. Comprehending the needs of a place in terms of CB means comprehending the needs of the stakeholders and the way they interact within and between multiple “nested” scales (Milne and Ateljevic 2001, p. 374). This in turn can lead to the right developmental strategies to be implemented and the repercussions at all levels—economic, societal, political, and environmental—that are to be avoided.

Lack of coordination and communication at all levels—and specifically among the Central Ghanaian Government; the Ministry of Tourism; the GTB, both national and regional; the GMMB, that was left with responsibility for the maintenance of the castles and the fort; the local University and Polytechnic; the donor agencies that mostly funded the project for tourism development in the region; the tourism intermediaries (tour operators); and the local communities themselves—resulted in the neglect of the sites, and community exclusion, and hence deterred the sustainable development of tourism. CB is an active and continuous rather than a static process.

Consequently, there has to be coordination between the decision-making players, and the right mechanisms have to be in place in order to facilitate them. The situation could be reversed if socially responsible and appropriate adjustments were made at an institutional and policy level so that the priority shifted toward developing tourism as an instrument for poverty reduction and not only as a catalyst for development. Top–down mechanisms should be replaced by bottom–up ones; tokenistic participation should be replaced by real participation, where the voices heard are of the indigenous people at the grassroots level and not of those representing exogenous interests and elite classes.

Implementation

CB is not measurable in monetary terms. However, the existence (as this research indicated) of financial capital in the form of financial networks, microcredit/finance mechanisms, and investments; social capital in the form of strong institutions, networks/partnerships, and community participation; human capital in the form of education, training, and awareness; and physical capital in infrastructure, safety, and security, could enable researchers to conceptualize it as a development tool, rather than a measurement instrument.

Therefore CB could be incorporated as a research objective since deficiency in of any of the two areas will indicate deficiency in a certain level of capital, which needs to be developed in order for tourism to develop in a sustainable way, thus leading to poverty reduction. The research could be implemented to other geographical areas with similar characteristics that mainly can be found in developing countries—especially for research focusing on investigating the reasons behind tourisms’ seeming inability to deliver development that contributes to poverty reduction at the grassroots level as it is the case in the towns of Elmina and Cape Coast.

Further Research

Given that the analysis suggests that tourism development in the region is inhibited by lack of CB in the form of economic, social, human, and physical capital, further investigation is proposed into building capacities at all four levels in order to empower the local communities as a prerequisite to tourism development and its role/connection with poverty reduction in the designated locales.

Footnotes

Declaration of Conflicting Interests

The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

Funding

The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article:

Christina Koutra has received funding from UNWTO (doctoral research) and ESRC (post-doctoral fellowship) for the research and authorship of this article.

Notes

Bios

Christina Koutra is lecturing in Global Corporate Social Responsibility and Human Resource Management in the Business School of Bournemouth University. Her research interests are in the areas of Corporate Social Responsibility, tourism development and policy, developing countries, political economy and Human Resource Management among others. Her main research countries are Ghana, Peru, Vietnam, China and Cyprus.

Jon Edwards is a senior lecturer in the School of Tourism of Bournemouth University. Jonathan has been involved in the development of research and taught courses in tourism, agri -food and rural development at BU from the outset. He has always sought to add a European/international dimension to our activities and he is particularly interested in the actions and attitudes of societies as they respond to change.

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