INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS

A Priority for the 21st Century

Committee on International Capacity-Building for the Protection and Sustainable Use of Oceans and Coasts

Ocean Studies Board

Division on Earth and Life Studies

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
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I n c r e a s I n g ca pac I t y f o r stewardshIp o f o c e a n s a n d c oa s t s A Priority for the 21st Century Committee on International Capacity-Building for the Protection and Sustainable Use of Oceans and Coasts Ocean Studies Board Division on Earth and Life Studies

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This material is based on work supported by the Gordon and Betty Moore Foundation (Contract/Grant 611), the David and Lucile Packard Foundation (Contract/Grant 2005-28827), the National Oceanic and Atmospheric Administration (Contract/Grant DG133R04Q0009), the National Science Foundation (Contract/Grant OCE-0541186), the Marisla Foundation (Contract/Grant 3-07-142), and the Curtis and Edith Munson Foundation. Any opinions, findings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the National Science Foundation, of the National Oceanic and Atmospheric Administration or any of its subagencies, or of the other organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-11376-2 (Book) International Standard Book Number-10: 0-309-11376-8 (Book) International Standard Book Number-13: 978-0-309-11375-5 (PDF) International Standard Book Number-10: 0-309-11375-X (PDF) Library of Congress Control Number: 2008921427 Cover art created by Ernesto Reyes and Benjamín Flores, members of the art group of Amigos de San Lorenzo (Friends of San Lorenzo) in Achiote, Colón, Panamá. The art group is supported by the Centro de Estudios y Acción Social Panameño (Center of Panamanian Research and Social Action). Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2008 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meet- ing national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examina- tion of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON INTERNATIONAL CAPACITY-BUILDING FOR THE PROTECTION AND SUSTAINABLE USE OF OCEANS AND COASTS MARY (MISSY) H. FEELEY (Cochair), ExxonMobil Exploration Company, Houston, Texas SILVIO C. PANTOJA (Cochair), University of Concepción, Chile TUNDI AGARDY, Sound Seas, Bethesda, Maryland JUAN CARLOS CASTILLA, Pontificia Universidad Católica de Chile, Santiago STEPHEN C. FARBER, University of Pittsburgh (ret.), Santa Fe, New Mexico INDUMATHIE V. HEWAWASAM, The World Bank, Washington, DC JOANNA IBRAHIM, University of the West Indies, St. Augustine, Trinidad JANE LUBCHENCO, Oregon State University, Corvallis BONNIE J. MCCAY, Rutgers University, New Brunswick, New Jersey NYAWIRA MUTHIGA, Wildlife Conservation Society, Mombasa, Kenya STEPHEN B. OLSEN, University of Rhode Island, Narragansett SHUBHA SATHYENDRANATH, Partnership for Observation of the Global Oceans, Dartmouth, Nova Scotia, Canada MICHAEL P. SISSENWINE, National Oceanic and Atmospheric Administration (ret.), Woods Hole, Massachusetts DANIEL O. SUMAN, University of Miami, Florida GISELLE TAMAYO, University of Costa Rica, Heredia (resigned May 2007) Staff SUSAN ROBERTS, Director FRANK R. HALL, Program Officer JODI BOSTROM, Research Associate NORMAN GROSSBLATT, Senior Editor v

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OCEAN STUDIES BOARD SHIRLEY A. POMPONI (Chair), Harbor Branch Oceanographic Institution, Ft. Pierce, Florida ROBERT G. BEA, University of California, Berkeley DONALD F. BOESCH, University of Maryland Center for Environmental Science, Cambridge JORGE E. CORREDOR, University of Puerto Rico, Lajas KEITH R. CRIDDLE, University of Alaska Fairbanks, Juneau MARY (MISSY) H. FEELEY, ExxonMobil Exploration Company, Houston, Texas HOLLY GREENING, Tampa Bay National Estuary Program, St. Petersburg, Florida DEBRA HERNANDEZ, Hernandez and Company, Isle of Palms, South Carolina ROBERT A. HOLMAN, Oregon State University, Corvallis CYNTHIA M. JONES, Old Dominion University, Norfolk, Virginia KIHO KIM, American University, Washington, DC WILLIAM A. KUPERMAN, Scripps Institution of Oceanography, La Jolla, California ROBERT A. LAWSON, Science Applications International Corporation, San Diego, California FRANK E. MULLER-KARGER, University of South Florida, St. Petersburg JAY S. PEARLMAN, The Boeing Company, Kent, Washington S. GEORGE H. PHILANDER, Princeton University, New Jersey RAYMOND W. SCHMITT, Woods Hole Oceanographic Institution, Massachusetts ANNE M. TREHU, Oregon State University, Corvallis Staff SUSAN ROBERTS, Director SUSAN PARK, Program Officer SHUBHA BANSKOTA, Financial Associate PAMELA LEWIS, Administrative Coordinator JODI BOSTROM, Research Associate vi

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Preface Ocean and coastal ecosystems are inextricably linked with humans. Nearly 40% of the world’s population is concentrated in the 100-km-wide coastal zone of the continents, and many coastal residents in developing and developed countries depend directly on ocean and coastal ecosystems for their livelihood. Seafood is the primary source of pro- tein for over a billion people, mostly in developing countries. The extraordinary natural productivity of ocean and coastal waters and the strategic benefits of a coastal location for trade, defense, industry, and food production have made oceans and coasts uniquely important. The needs for the ocean and coastal ecosystems’ goods and services are likely to increase substantially as the human population continues to grow, as more people move to coastal areas, and as people strive to improve their standard of living. As a consequence, the degradation of coastal and marine ecosystems is expected to worsen. That degrada- tion necessitates the building of capacity, especially in developing countries, to ensure the future of ocean and coastal communities, the cultural heritage of indigenous peoples, and ecosystem-based services. Capacity-building for stewardship of the oceans and coasts is a complex multidimensional challenge and needs to be addressed as such. It requires interdisciplinary and multidisciplinary approaches to ensure that stakeholders develop the proper knowledge, skills, and attitudes to be effective stewards of the environment. Capacity for ocean and coastal stewardship has been growing around the world as governments, development banks, donors, and the private sector have funded projects on various scales to address many issues. Those efforts have infused knowledge in people, transferred technology, and strengthened institutions. However, it is clear that the efforts need to be increased and be more effective in the future. Stewardship of ocean and coastal ecosystems that include people require highly interdisciplinary, flexible, and adaptive approaches to deal with transboundary issues in situations fraught with logistical, politi- cal, and conflict-resolution issues. vii

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viii PREFACE The study reported here was funded by the Gordon and Betty Moore Foundation, the President’s Circle of the National Academies, the David and Lucile Packard Foundation, the National Oceanic and Atmospheric Administration, the National Science Foundation, the Marisla Foundation, and the Curtis and Edith Munson Foundation. To conduct this study, the National Research Council assembled a committee of international experts to examine current and past efforts in building the scientific, technological, and institu- tional capacities that countries need for developing and implementing effective ocean and coastal resource policies and to identify barriers to effective management that coastal nations encounter. This report presents the committee’s deliberations and findings with respect to special challenges in achieving sustainable use of oceans and coasts, the evolu- tion and limitations of past and current capacity-building, barriers to and constraints on effective capacity-building, and the way forward to increase capacity for effective gover- nance and stewardship. The committee is indebted to the staff of the Ocean Studies Board for their valuable services and willingness to work out complex meeting and workshop arrangements, obtain additional background material, and provide report editorial services. Frank Hall served as study director. His valuable insights, perspective, and lively sense of humor were much appreciated. We are especially indebted to Jodi Bostrom, who provided the day-to-day support of the committee and through her can-do attitude ensured that the deliberations of this international committee, spread across many time zones, were fruitful and constructive. Mary (Missy) H. Feeley and Silvio C. Pantoja, Committee Co-Chairs

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acknowledgments This report represents the efforts of many individuals and organizations. The committee thanks Alan Sielen and the U.S. Environmental Protection Agency; they were instrumental in developing the conceptual basis for this study. While Mr. Sielen was a visiting scholar at the Ocean Studies Board, he worked with the U.S. Department of State to convene a symposium1 in Washington, DC, on capacity-building for oceans and coasts that contrib- uted greatly to the design and initiation of this study. The report was greatly enhanced by the participants in the committee meetings and the workshop held as part of the study. The committee acknowledges the efforts of those who gave presentations at meetings and who submitted written statements: Glenis Binns, Genevieve Brighouse, Peter Burbridge, Loke-Ming Chou, Patrick Christie, Biliana Cicin- Sain, Clara Cohen, Harlan Cohen, Barry Costa-Pierce, Charlotte Elton, Mirei Endara de Heras, Julio Escobar, Henrik Franklin, Jeremy Harris, Marea Hatziolos, Lorna Inniss, Takashi Ito, David Kingsbury, Rosa Montañez, Orlando Osorio, Zuleika Pinzón, Ira Rubinoff, Kristin Sherwood, Richard Spinrad, Líder Sucre, Elizabeth Tirpak, Stella Maris Vallejo, Richard Volk, and Edward Urban, Jr. Their input helped to set the stage for fruitful discussions in the closed sessions that followed. The committee also thanks the following for providing an enriching experience during the field trip to Achiote, Panamá: Orlando Acosta, Almyr Alba, José Angulo, Ana Isabel Araúz, Gilberto Barrio, Jeila de la Cruz, Julián de la Cruz, María Inés Díaz, Carlos Darinel Domínguez, Carlos Fitzgerald, Benjamín Flores, Carlos Gómez, Daniel Holness, Manuel Jaén, Felipe Martínez, Daniel Moreno, and Michelle Pobjoy. This report has been reviewed in draft form by persons chosen for their diverse perspectives and technical expertise in accordance with procedures approved by the 1U.S. Department of State. 2004. Capacity Building for the Protection and Sustainable Use of Oceans and Coasts. Proceedings of a Symposium held November 8–9, 2004, in cooperation with the Ocean Studies Board of the National Academies, Washington, DC. ix

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x ACKNOWLEDGMENTS National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards of objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the delibera- tive process. We thank the following for their participation in their review of this report: MARGARET BOWMAN, Pew Charitable Trusts, Washington, DC MARIA DE LOS ANGELES CARVAJAL, Conservation International (ret.), Sonora, México EHRLICH DESA, Intergovernmental Oceanographic Commission, Paris, France DAVID FLUHARTY, University of Washington, Seattle HENRIK FRANKLIN, Inter-American Development Bank, Washington, DC WILLIAM FREUDENBURG, University of California, Santa Barbara LORNA INNISS, Government of Barbados, St. Michael STEPHEN G. MONISMITH, Stanford University, California SEBASTIAN TROENG, Conservation International, Washington, DC KARL K. TUREKIAN, Yale University, New Haven, Connecticut STELLA MARIS VALLEJO, United Nations Train-Sea-Coast Program (ret.), Cascais, Portugal RICHARD VOLK, U.S. Agency for International Development, Washington, DC Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was over- seen by Michael K. Orbach, Duke University, Beaufort, North Carolina, appointed by the Divison on Earth and Life Studies, and John E. Dowling, Harvard University, Cambridge, Massachusetts, appointed by the Report Review Committee, who were responsible for making certain that an independent examination of this report was carried out in accor- dance with institutional procedures and that all review comments were carefully consid- ered. Responsibility for the final content of this report rests entirely with the authoring committee and the National Research Council.

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contents Summary 1 1 Introduction 11 Origin of the Study, 12 Key Concepts, 13 Report Organization, 15 2 The Challenges of Achieving Stewardship of Oceans and Coasts 16 Ocean and Coastal Ecosystems and Services, 16 Challenges to Our Ocean and Coastal Ecosystems, 19 Moving Toward Ocean and Coastal Stewardship and Ecosystem-Based Management, 22 Findings and Recommendations, 27 3 Growing Capacity for Stewardship of Oceans and Coasts: A Work in Progress 29 Investors and Investments in Capacity-Building, 30 How to Grow Capacity, 33 Findings and Recommendations, 48 4 Moving Toward Effectiveness: Identifying Barriers to and Constraints on Effective Capacity-Building 50 Barriers to and Constraints on Capacity-Building, 50 Principles for Effective Capacity-Building, 60 Findings and Recommendations, 61 xi

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xii CONTENTS 5 What Aspects of Capacity-Building Need More Emphasis? 63 Needs Assessments for Capacity-Building, 64 Sustaining Capacity and Capacity-Building Efforts, 64 The Need for Effective Program Assessment, 68 Professional Standards, 70 Information for Decision-Making, 71 Investing in Regional Centers, 73 Investing in Networks, 74 Considering All Aspects of Governance, 76 Components of Effective Governance, 77 Leadership Development, 81 Increasing Capacity for Enforcement and Monitoring, 82 Findings and Recommendations, 83 6 Building Capacity in Ocean and Coastal Governance 89 The Relationship between Science and Governance, 90 Governance Mechanisms and Building Capacity, 90 Assessing Governance Capacity, 92 Instilling the Tools, Knowledge, Skills, and Attitudes Required to Practice Ecosystem-Based Management, 93 Codifying Good Practices and Developing Certification Standards, 100 Building a Culture of Learning and Self-Assessment: The Basis of Adaptive Management, 102 Findings and Recommendations, 104 7 The Path Ahead: Strategic and Long-Term Approaches to Capacity-Building 106 A Vision for the Future, 106 Recommendations, 108 References 113 Appendixes A Committee and Staff Biographies 123 B Panamá Conference 2006: Are We Meeting the Challenges of Capacity-Building for Managing Oceans and Coasts? 129 C Major Changes in Capacity-Building Since 1969 133 D Acronyms 140