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BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE

HIGHLIGHTS

This chapter:

  • Focuses on aspects of governance related to ecosystem-based management.

  • Describes the core tools, knowledge, skills, and attitudes that should be imparted by capacity-building efforts.

  • Discusses steps that can be taken to encourage a culture of self-assessment and adaptive management.

Effective and long-lasting ocean and coastal stewardship can occur only when a predictable, efficient, and accountable governance system is in place. There are many descriptions of the phases in which ocean and coastal governance initiatives evolve (Chua and Scura, 1992; United Nations Environment Programme, 1995, 2006; Joint Group of Experts on Scientific Aspects of Marine Environmental Protection, 1996; Cicin-Sain and Knecht, 1998; Olsen et al., 1999; Olsen, 2003; Chua, 2007). The Joint Group of Experts on Scientific Aspects of Marine Environmental Protection (1996) selected the most essential steps, emphasizing that the process is a “cycle of learning” that proceeds from awareness of a set of problems and opportunities to their analysis, formulation of a plan of action, and implementation and evaluation of the plan. Successfully executed governance initiatives establish dynamic processes that are maintained by the active and sustained



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6 BuIldIng caPacIty In ocean and coastal governance HIGHLIGHTS This chapter: • Focuses on aspects of governance related to ecosystem-based management. • Describes the core tools, knowledge, skills, and attitudes that should be imparted by capacity-building efforts. • Discusses steps that can be taken to encourage a culture of self-assessment and adaptive management. Effective and long-lasting ocean and coastal stewardship can occur only when a predict- able, efficient, and accountable governance system is in place. There are many descrip- tions of the phases in which ocean and coastal governance initiatives evolve (Chua and Scura, 1992; United Nations Environment Programme, 1995, 2006; Joint Group of Experts on Scientific Aspects of Marine Environmental Protection, 1996; Cicin-Sain and Knecht, 1998; Olsen et al., 1999; Olsen, 2003; Chua, 2007). The Joint Group of Experts on Scientific Aspects of Marine Environmental Protection (1996) selected the most essential steps, emphasizing that the process is a “cycle of learning” that proceeds from awareness of a set of problems and opportunities to their analysis, formulation of a plan of action, and implementation and evaluation of the plan. Successfully executed governance ini- tiatives establish dynamic processes that are maintained by the active and sustained 89

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90 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS involvement of the public and stakeholders that have an interest in the allocation of coastal resources and the mediation of conflicts. The various components of governance are described in this chapter with suggestions for infusing knowledge into the practice of capacity-building. THE RELATIONSHIP BETWEEN SCIENCE AND GOVERNANCE In the early days of coastal zone management in the United States and of integrated coastal management internationally, it was generally assumed that increasing the scientific underpinnings of planning and decision-making would lead directly to improvements in the stewardship of oceans and coasts. It has since become clear that that was an oversim- plified view of the complicated processes of governance that incorporate many, at times conflicting, interests of governments and other stakeholders. The processes by which options are identified, conflicting interests and values are mediated, and courses of action are negotiated are as important as the application of scientific information (Walters, 1986; Lee, 1993). When conflicts arise during the gov- ernance process, opponents often point to scientific uncertainty to justify their positions. Scientific analyses include levels of uncertainty that varies with the complexity and degree of understanding of the system and the amount of information available. Adaptive man- agement, in which uncertainty is reduced through an experimental approach to manage- ment, has been recognized as an effective method for managing resources in complex ocean and coastal ecosystems (Hollings, 1978; Walters, 1986; Imperial and Hennessey, 1993; Hennessey, 1994). GOVERNANCE MECHANISMS AND BUILDING CAPACITY The power and influence of each of the three governance mechanisms that were discussed in Chapter 5—markets, government, and civil society—fluctuate. But these dynamics are seldom featured in training and advanced-degree programs that prepare people for careers in ocean and coastal conservation, resource management, or development. In most capacity-building programs, it is assumed that government plays the dominant role in ocean and coastal governance. In many regions, however, particularly in developing nations, the power of the government is quite limited, and it is the market—increasingly the global market—that determines how ocean and coastal resources are used and how associated individual development decisions are made. In contexts where informal rules dominate, it is especially important that those working in ocean and coastal management understand the features and dynamics of the three governance mechanisms. Investments in public education and efforts to involve all affected stakeholders in planning and deci-

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91 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE sion-making are most effective when awareness of the likely consequences of different courses of action is complemented by well-informed appreciation of what it takes to use the three governance mechanisms to achieve desired outcomes. Until the 1990s, ocean and coastal management efforts, particularly in develop- ing countries, focused on developing the roles and responsibilities of the government. Frustration with the many difficulties and recognition of the value of harnessing capability and commitment in civil society led to the channeling of many investments in ocean and coastal management to nongovernmental organizations (NGOs). They also led to pro- grams that involve decentralization of authority and responsibility to local communities and stronger relationships of comanagement between local resource users and govern- ment agencies (Olsen and Christie, 2000). More recently, donors, doers, and practitioners have recognized the power of actively involving business and of working through global markets to improve outcomes. The fair- trade movement, the certification of sustainably fished seafood, the tuna boycott, and the threat of a farmed shrimp boycott show that progress toward improved stewardship can be made by working through market mechanisms. Those well-documented examples of suc- cess and failure in the governance of ocean and coastal ecosystems provide valuable les- sons for building future programs. Training the capacity-building workforce in the power of market forces will be most persuasive and effective when it draws on case studies and encourages a problem-solving approach rooted in experience in the region of interest. As discussed in Chapter 4, effective governance requires strong links between the dif- ferent mechanisms of governance outlined above. If there is no appropriate government policy or regulatory framework for private investment, markets may not work efficiently. Lack of political will to promote a favorable investment climate with a transparent fis- cal regime will discourage responsible members of the private sector from investing in sustainable use of ocean and coastal resources. Private investment is necessary to pro- mote growth and reduce poverty in poor coastal nations. Private investors will support regulatory, monitoring, and enforcement initiatives in ocean and coastal areas when it is in their interest. They also invest in capacity-building as an expression of corporate responsibility. A low government capacity for monitoring and enforcement will constrain the imple- mentation of more sustainable uses of the ecosystem and its resources (see Chapter 5). In the same vein, when civil-society institutions are weak or fail, enforcement of the rule of law becomes a serious challenge for government. Failures of civil society can imperil the security of natural and social resources at local, national, and regional levels and have potential geopolitical effects. The collapse of civil-society organizations and government in Somalia, for example, has increased the environmental stresses on Somalia’s ocean and

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92 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS coastal areas, the territorial sea, and the exclusive economic zone of neighboring Kenya. Increasing numbers of migratory fishers and warlords from Somalia are threatening the fishery and other marine resources under Kenyan jurisdiction and creating conflicts in the coastal communities. In addition, markets fail to function well in places where there is an absence of political security because of the failure of government and civil-society organizations. ASSESSING GOVERNANCE CAPACITY In Chapter 5, the committee identified the need for developing and using standardized assessment criteria. Here, that discussion is extended from the perspective of how stan- dardized assessments contribute to governance. Ocean and coastal governance initiatives begin with a series of scoping questions designed to identify major resource management issues, the affected and responsible stakeholders, and the long-term goals of the initiative. A review of the past and current performance of the governance system can be used to establish a governance baseline that complements the initial assessment of resource and ecosystem conditions (Juda and Hennessey, 2001; Olsen et al., 2006b; United Nations Environment Programme, 2006). It is increasingly unusual for an ocean or coastal management initiative to start with a clean slate. Usually, previous efforts will have either failed to be implemented or had dis- appointing outcomes. A governance baseline documents the conditions that contributed to previous failures or disappointments and indicates strategies that could improve future efforts. It analyzes the response, or the lack of response, of the governance system to past events and to changes in the ecosystem that are relevant to the initiative. For example, if one issue is overfishing and another is degradation of water quality in an estuary, a gov- ernance baseline would show how the three mechanisms of the governance system have responded as contributors or solvers of those two problems. Understanding the traditions and features of the existing governance system requires a long-term perspective on events (see, for example, Putman, 1993). Establishment of the governance baseline requires an analysis of past and current responses to ecosystem change, identifies the interested parties, and involves people in the affected communities, related businesses, and government. As an initial step, it is useful to develop a chronology of the major events and to examine the effectiveness of the responses. An event might be a collapse of a major commercial fish stock, a decrease in water quality, or a major storm. Experience with this approach has revealed that civil servants in central government departments are often unfamiliar with local events, and community leaders may be unaware of actions and concerns at regional or national levels.

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93 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE Within an organization, people often differ with their colleagues on whether a particular policy or action is being successfully implemented or whether past decisions have had the desired impact. It is therefore important to bring together stakeholders from different administrations, organizations, agencies, and interest groups to develop the baseline. Additional perspective is gained by soliciting feedback and comments from diverse observers and participants, noting topics on which there is a strong divergence of opinion (United Nations Environment Programme, 2006). United , Many years of effort are required to build institutions and governance processes that inspire the trust of and earn commitment from the stakeholders and communities whose support will be needed throughout the stages of the governance cycle. Accountability helps to build trust and requires that the program have clear short-term and long-term goals that address the issues of concern to stakeholders. Useful goals are quantifiable, time-limited, and based on a realistic assessment of existing capacity. Although capac- ity-building efforts should instill knowledge and skills in the target community, effective governance may also require a shift in attitude toward resource stewardship rather than only resource exploitation; this usually requires many years of sustained effort. For all those reasons, developing a governance baseline is an important preliminary step to be taken before investments in capacity-building are made. In many cases, base- lines reveal shortcomings in governance that could prevent the successful implementation of ecosystem-based management. An ocean and coastal governance baseline indicates where specific, place-by-place adjustments need to be made in the design of future gov- ernance initiatives thus avoiding the pitfall of imposing standardized designs and goals on initiatives implemented in different governance contexts. For example, expectations for progress in large marine ecosystem management initiatives, such as those sponsored by the Global Environment Facility (GEF), would be different for the Yellow Sea, the Baltic Sea, and the Benguela Current in large part because the preexisting governance contexts are so dissimilar. INSTILLING THE TOOLS, KNOWLEDGE, SKILLS, AND ATTITUDES REQUIRED TO PRACTICE ECOSYSTEM-BASED MANAGEMENT Many tasks are necessary to develop and sustain an ocean and coastal ecosystem manage- ment initiative, and they require expertise derived from a variety of disciplines, such as natural science, geology, climatology, economics, law, anthropology, and public educa- tion. Typically, professionals are trained in a single discipline and have little exposure to or experience in the other fields. They not only use distinct “languages” but tend to have different world views and values, which are shaped by their educational and professional experience. Stewardship of oceans and coasts requires an ability to integrate diverse per-

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94 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS spectives and disciplines. Analysis of the condition and dynamics of an ecosystem, the forces of change, and ecosystem resilience requires a broad knowledge base and the abil- ity to integrate what is known into a framework that addresses problems, builds on oppor- tunities, and takes an area’s culture and traditions into consideration. Capacity-building programs will need to instill the tools, knowledge, skills, and attitudes that address the following issues: • How ecosystems function and change. • How the processes of governance can influence the trajectories of societal and ecosystem change. • How strategies can be tailored to the history and culture of a place. • How to assemble and manage interdisciplinary teams. Those requirements were discussed in an international symposium, “Educating Coastal Managers” (Crawford et al., 1993), and in later conferences and papers that have reflected on what is being learned from integrating ecosystem-based approaches into ocean and coastal management in developed and developing countries (see, for example, Olsen et al., 1998; Olsen, 2000; Olsen et al., 2006a; Chua, 2007). The goal of this approach to capacity-building is to generate practitioners of ecosys- tem-based management who can examine ecosystem processes and responses to change caused by anthropogenic and natural forces. They will need to understand the implica- tions of scientific uncertainty in making management decisions and will need to work with interdisciplinary teams to avoid reactive decision-making and instead formulate effective policies based on the best available science (Pew Oceans Commission, 2003; National Research Council, 2004). The capabilities required by professionals working toward effective ecosystem stew- ardship can be taught in a sequence of well-structured training programs or a tertiary degree program using adult learning techniques that rely heavily on case studies. The four major elements of such a future capacity-building program are described below. Knowledge of How Ocean and Coastal Ecosystems Function and Change Science provides an understanding of the status and trends of ocean and coastal ecosys- tems and the causes and consequences of change. Although science can be used as a rationale for particular policy options or lines of argument, it is not the only determinant in the decision-making process. Traditional knowledge and experience-based knowledge contribute to decisions not only as a reflection of local practices and values but also as

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95 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE sources of information when other data are scarce. Practitioners therefore need skills to involve local people to participate in collaborative research and education. Knowledge of how ocean and coastal ecosystems function and change and particu- larly of the combinations of conditions that make an ecosystem more or less resilient is necessary to address such critical decisions as the selection of the boundaries for an ecosystem governance initiative. Stresses on marine ecosystems arise from activities at local, national, and international levels that may be driven by market forces, government policies, or cultural traditions. Conflicts between competing activities—such as tourism, industry, fisheries, and recreation—may be amenable to actions on a community scale, but issues posed by freshwater allocation and water pollution typically require consid- eration of an entire watershed and its associated estuaries. Inasmuch as the great major- ity of existing policies, plans, and regulations were designed to operate within political boundaries, difficult legal and institutional challenges can be identified and resolved in establishing the boundaries of an ecosystem-based management initiative. It is not a trivial task to select appropriate boundaries for an ocean or coastal management initiative, and the decisions will have a major influence on the eventual effects of the program. Design and Management of Ecosystem Governance Processes Designing structures for effective capacity-building requires a holistic perspective that includes understanding the actors who are working within the community and the com- munity structure itself. The skills germane to the design and management of governance systems are discussed below. Strategic Analysis The cycle of governance, described in the beginning of this chapter, requires skills in strategic analysis and the policy process. Strategic analysis involves the ability to identify problems and their causes, assess potential solutions, and develop a plan of action. The policy process includes bargaining and negotiation, used to resolve concerns at local, regional, and national levels and to launch new policies. Many of those involved in ocean and coastal management are unfamiliar with the dynamics of the governance cycle and so may be ill prepared to shepherd initiatives through the different stages of plan- ning, winning political support, implementing a plan of action, and evaluating progress. Practitioners of ecosystem-based management require all those skills.

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96 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS Leadership Without exception, ocean and coastal management programs that have been shown to be successful have benefited from capable leadership (see Chapter 5). Leaders combine a thorough understanding of how to be an effective actor in governance systems with the technical capabilities necessary to lead a multidisciplinary team. They have the ability to articulate a vision and inspire the collaborative action required to achieve a program’s objectives. Leadership, to some degree, is an innate feature that some have and others do not; but leadership is also a skill that can be enhanced through training. The teaching of leadership skills and the mentoring and rewarding of those who demonstrate leader- ship need to be important features of future capacity-building for ocean and coastal stewardship. Leaders have the ability to communicate with a multitude of constituents, including donors, scientists, NGOs, and the targeted community itself. The most effective leaders make themselves parts of the communities in which they work. Although it is not neces- sary that they be from the communities themselves, external leaders may not be accepted by a community, especially if it is known that their presence is only temporary. Central to the issue of leadership is the recognition that when leaders leave their posi- tions, gaps will naturally develop in the overall structure. The continuing training of new and future leaders is central to the effectiveness of a governance system. Academic and other training programs (see Chapter 3) are critical components of leadership training. Administration Administrative skills are essential in the building of complex programs that require col- laborative planning and action by diverse government institutions, business interests, scientific organizations, and stakeholders. Negotiating skills are essential because much of the day-to-day business of administering an ocean or coastal management program is dedicated to analyzing and mediating among institutions, groups, and individuals with different interests and diverging values. Such programs need to work to negotiate con- flicts and avoid inequitable allocation of coastal resources or degeneration into violent conflict—a situation not uncommon along some coasts (Olsen et al., 1998). As institutions mature, they progress through a predictable sequence of stages, each of which has its own particular features and challenges. The practitioner needs to have an appreciation for this maturation process; this is a common topic in public and business administration.

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97 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE Public Education and Public Involvement Public education and involvement of the public in governance processes lie at the center of all successful ocean and coastal management initiatives. In a time of accelerating global change, it is essential to educate the public and stakeholders about the activities that cause changes in ecosystems, the implications of these changes for society, and the options for managing ecosystem effects. Instilling a stewardship ethic in the public is essential for improving ocean and coastal governance, but stewardship cannot be fostered if the public is ignorant or misinformed. Without an acknowledgment of the effects associated with established patterns of behavior and a willingness to take the necessary action, achieving a collective commitment to more responsible lifestyles and new policies will be difficult (Pew Oceans Commission, 2003). Public input is critical for the planning and decision- making process if all interests are to be fairly represented. Education can make the populace more aware of the finite and fragile condition of the oceans and the destructive aspects of some types of resource extraction and other human activities. The public is less familiar with environmental issues related to the ocean than issues related to land. The linkages between economic sustainability and ecological sus- tainability need to be more widely appreciated if a stewardship ethic is to take root and flourish (Pew Oceans Commission, 2003). Educational programs for students and adults and for the mass media can help to build a better informed public. Values and Ethical Dimensions Many of the effects of human activities are so complex and far-reaching that alternative courses of corrective action may have important ethical implications. They include con- cerns about equity, with debates over which groups or regions will benefit and which will lose, and the overarching issue of not depriving future generations of the benefits of productive ocean and coastal ecosystems. An effective and responsible leader provides moral leadership, as well as professional competence. The ethical dimensions of ecosys- tem stewardship need to be addressed explicitly in capacity-building programs designed to generate well-rounded professionals and responsible leaders. Cultural Literacy A manager, with much effort and investment, could do well in the skills and knowledge outlined above in the first two categories (how ecosystems function and change and the design and management of governance processes) but still fail as an effective practitioner if he or she does not, or cannot, appreciate the importance of the culture and traditions

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98 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS of the people who are to be served. Cultural literacy—an appreciation of the formal and informal rules of the system, the key players in the system, and the perspectives and constraints of those living within that system—allows programs to be designed to fit the target community. Understanding the local context requires listening to and building on existing expertise and knowledge and recognizing the constraints on growing capacity. Capacity-building programs that do not draw on the experience of the people and places represented by the participants tend to have at best a marginal effect (Olsen, 2000). A well-prepared professional ideally has a realistic appreciation for the many years of sustained effort necessary to move an ocean or coastal management program from initia- tion to formal adoption and implementation. Duda (2002) points out that experience in the management of such large ecosystems as the North American Great Lakes, the Baltic Sea, the Rhine basin, and the Mediterranean Sea shows that it took 15–20 years for use- ful commitments to joint management improvements to be secured from the countries involved. Responses to changes in management take longer in large water bodies stressed by the multiple effects of pollution, overfishing, eutrophication, and habitat alteration caused by the activities of neighboring states. It may take more than 20 years to attain environmental and societal goals in ecosystems on this scale. As a consequence, GEF investments in large marine ecosystem management “will often have ceased before actual water body improvements can be detected” (Duda, 2002). In the case of the Benguela Current Large Marine Ecosystem, the most advanced of the GEF programs supporting large marine ecosystem management, it took seven years to complete the issue analysis and planning process. Transition into an initial phase of implementing the management program formally approved by the participating countries began in 2002. Access to the Necessary Tools To be effective, a practitioner of ocean or coastal governance needs access to a large “toolbox” and the knowledge and skills to select and apply the ones that are appropri- ate for the locale and the issues to be addressed. Personal computers and access to the World Wide Web have in the last two decades revolutionized access to information and to a growing variety of communication mechanisms.1 Such tools have reduced the isola- tion that previously created a major barrier for those working in developing countries, in remote regions, and without access to major libraries, sources of data, or professionals with similar interests. Additional tools, such as knowledge management systems and spe- cialized Web sites, are needed to manage the seemingly limitless amount of information that has become available through the Internet. 1Access require basic infrastructure, such as a reliable source of electricity.

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99 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE Other tools that are often useful or necessary in an ocean and coastal stewardship initiative are in several broad categories. The first category consists of tools that make it possible to monitor change in key environmental variables. They range from relatively low-technology instruments—such as a thermometer, salinometer, and secchi disk—to sophisticated but increasingly available automatic sampling and recording instruments that can be installed to monitor changes in such fundamental variables as temperature, salinity, nutrient concentrations, and even specific pollutants of concern. A second category consists of tools that characterize human populations and moni- tor changes in socioeconomic variables. A wide array of rapid-assessment protocols and surveys that provide information on needs, values, perceptions of issues, and socioeco- nomic variables are readily available and can be matched to the specific issues, technical capabilities, and funding availability. The practitioner also needs to be familiar with the toolbox of regulatory and nonregu- latory tools that can be applied to influence or regulate human activities. They include land and water zoning schemes, such as a variety of marine protected areas; fishery man- agement tools; permit programs; regulations of many kinds; and the equally important nonregulatory measures, such as incentive programs, investments in capacity-building, and public education techniques. Geographic information systems (GISs) have become a powerful tool for displaying spatially expressed variables on electronic mapped overlays (see chapters 3 and 5). GISs can be used to visualize and integrate across the environmental, social, economic, and institutional dimensions of an area. GISs are particularly useful in preparing scenarios that illustrate the potential outcomes of different courses of action. An array of decision-sup- port tools can be very useful in integrating the available science and helping to evaluate alternative courses of action. Yet another category of tools consists of the case studies, simulation exercises, and small-group problem-solving that are valuable in capacity-building and engaging with stakeholders in a given locale. Effective capacity-building activities create familiarity with those tools, including the ability to select and access the most appropriate ones for a given locale at a given stage in the evolution of a stewardship initiative. Assembling and Managing Interdisciplinary Teams Effective stewardship requires capacities that are multidisciplinary—incorporating obser- vations of the physical and chemical environment; ecosystem properties, processes, impacts of human activities, and biodiversity. Building capacity entails such factors as human-resource development through education and training, institutional and infra-

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100 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS structure development, and the creation of favorable policy environments that encompass an array of public and private stakeholders. Interdisciplinary teams of experts whose missions include addressing management responses to human uses of the oceans and coasts may focus on the various stages in the sequence of strategic environmental plan- ning. Interdisciplinary teams of professionals draw on the experience and perspectives of a broad spectrum of disciplines to address complex ocean and coastal management issues. For example, development of a coral reef management plan initially requires char- acterization of the reef’s natural and physical environment (for example, ecology, fish populations, water quality and currents, and spatial relationship to other ecosystems), the human uses and pressures on the reef ecosystem (for example, tourism, fisheries, water pollution from adjacent areas, and effects of global climate change), and the institutional and legal framework (government institutions with authority over various aspects of the reef system—coral colonies, water quality, fisheries, and other human uses). Implementation of a coral reef management plan requires expertise to develop strategies and vehicles to communicate effectively with different groups, enforcement, and public-education cam- paigns. Natural scientists contribute knowledge of techniques for observing ecosystem changes, and social scientists provide expertise for assessing social impacts and the costs and benefits of the strategies. Thus, solutions to problems will depend on the coordinated participation of specialists in many fields and disciplines. In many situations, the “nontraditional expert”2 has important information about the state of a resource, potential environmental and social effects of a development, and effectiveness of actions and strategies. Nontraditional experts may be fishers, community leaders, naturalists, or vessel operators; they may have a stake in the outcome, but their participation in the project team may provide unique and valuable information. CODIFYING GOOD PRACTICES AND DEVELOPING CERTIFICATION STANDARDS The practices of ocean and coastal governance have matured to the point where it is possible and useful to codify what has been learned and is emerging as internationally accepted good practices. Good practices may be codified in many ways. The institutions that fund ocean and coastal management programs, for example, have standards and criteria to guide the selection of projects, the monitoring and evaluation of project perfor- mance, and the choice of benchmarks of achievement. Similarly, institutions responsible for the implementation of ocean and coastal management programs codify how they will 2“Nontraditional experts” are people who do not possess academic credentials but have extensive direct experience.

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101 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE operate and what they require of their partners and those whose activities they oversee or regulate. Those forms of codification are internal to the institutions. Another approach to codification of good practices is the Code of Conduct for Responsible Fisheries (Food and Agriculture Organization of the United Nations, 2007c). The code has had considerable impact as a benchmark against which to gauge the behavior of individual fisheries worldwide. The Marine Stewardship Council (MSC) is an example of a nongovernment initiative to develop standards for sustainable and well- managed fisheries. MSC was started as a partnership between Unilever, a seafood buyer, and the World Wildlife Fund, an international conservation organization, and is now an independent organization with a broad funding base. MSC took two years to develop its standards based on “worldwide consultation with scientists, fisheries experts, environ- mental organizations and other people with a strong interest in preserving fish stocks for the future” (Marine Stewardship Council, 2002). The standards are used to encourage responsible fishing practices through market forces by providing consumers with the option to purchase seafood preferentially from MSC-certified fisheries. One strategy for strengthening capacity for ocean and coastal governance is to develop a professional certification program (see chapters 3 and 5). This approach to the codification of good practice sets explicit standards for professionals and has been found to be beneficial in many professions, including law, medicine, engineering, and the sci- ences. The professional certification programs of the American Fisheries Society and the Ecological Society of America are well-developed and respected systems for recognizing levels of professional knowledge and competence. The objectives of such professional certification are to provide government and nongovernmental agencies and organizations, private firms, courts, and the general public with standards of experience and education for qualified professionals and to recognize professionals as educated, experienced, and ethical and as acting in the best interest of society and the public. In addition, professional certification promotes and encourages the further development of a field’s professional standards. Certification is awarded through peer evaluations of the qualifications of appli- cants by defining: (1) the qualities of a professional, (2) the educational standards and experiential requirements associated with each level of certification, (3) the ethical stan- dards for the profession, and (4) the standards for continued professional development. Future capacity-building for ocean and coastal governance could be enhanced by the development of professional certification programs. That could go far toward codifying and promoting wider recognition of the unusual combination of tools, knowledge, skills, and attitudes described in the previous section.

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102 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS BUILDING A CULTURE OF LEARNING AND SELF-ASSESSMENT: THE BASIS OF ADAPTIVE MANAGEMENT As mentioned above, ecosystem-based management and ecosystem stewardship often take many years to be established and to yield results. Hence, success depends on the design and implementation of marine environmental programs that can adapt to social and environmental change and can adjust their approach on the basis of experience. All too often, the difficulties of practicing adaptive ocean and coastal management and the short-term and fragmented approaches to both governance and capacity-building (see chapters 3 and 4) have hindered implementation, especially in developing regions. Although ocean and coastal management programs may be good to excellent in technical quality, they typically fall short in implementing their action plans. The response to that situation in many cases has been to impose increasingly com- plex monitoring and evaluation systems that consume considerable time and resources and create frustration in all involved. The fundamental problem is that most investments in ocean and coastal governance in developing regions take the form of short-term, often disconnected projects. The results of the infusions of funds, technical assistance, and capacity-building are typically measured by such outputs as reports produced, meetings held, people trained, equipment purchased, and activities completed. However, the con- nection of such outputs to progress toward the fundamental goals of improved ecosystem and natural resources management is tenuous or absent. One alternative is results-based management and a demand that projects and pro- grams produce tangible evidence of change in society and in the ecosystems of concern. In the long-term endeavor to establish governance systems for ecosystem-based manage- ment, it is necessary to define a sequence of outcomes that signal progress toward goals that can be achieved only over the long term. The “Orders of Outcomes” framework illus- trates the approach (Figure 6.1; Olsen, 2003). The ultimate goal of sustainable develop- ment is disaggregated into a sequence of tangible levels of achievement. The focus is on outcomes rather than processes. Sets of markers or indicators that can be used to assess progress in an ecosystem-based management initiative are identified. The framework has been applied to programs that seek to integrate management of river basins, coasts, and large marine ecosystems (United Nations Environment Programme, 2006). United , The first order is achieved by assembling the enabling conditions for the sustained practice of ecosystem-based management. It culminates in negotiation of commitments to implement a plan of action directed at a set of high-priority management issues. The implementation of a plan of action is addressed in the second order, as changes occur in the behavior of institutions and relevant user groups and as success grows in generat- ing the funds required to sustain a program over the long term. The third order marks the

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103 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE Global Scale Regional National Local End Outcomes Intermediate Outcomes First Order: Second Order: Third Order: Fourth Order: Enabling Conditions Changed Behavior Attainment of Sustainable Program Goals Ecosystem Conditions and Uses Government Changes in Maintenance of, A desirable and commitment— behavior of restoration of, and dynamic balance authority, funding institutions and improvement in sustained between stakeholder groups some targets for social and Institutional capacity social or environmental conditions to implement Changes in environmental qualities behaviors directly Unambiguous goals affecting resources of concern Constituencies present at local and Changes in national levels investment strategies Time FIGURE 6.1 The four Orders of Outcomes in ecosystem-based management. Source: Modified from odified Olsen, 2003; reprinted with permission of Elsevier Limited. fig 6-1 achievement of the specific social and environmental quality goals that prompted the entire effort. Such an approach is useful in that it focuses investments in capacity-building on the distinct thresholds of capacity to practice ecosystem-based management relative to a governance baseline. If such a framework were widely applied, it would simplify moni- toring and evaluation by focusing attention on the outcomes that are relevant and achiev- able at a given stage in the evolution of a program and within a defined timeframe. Periodic self-assessments (see Chapter 5) that draw on the Orders of Outcomes frame- work and similar integrating heuristics can provide the basis of adaptive management. The objective of self-assessment is to internalize the learning process and encourage adjust- ments as an initiative matures, responds to its own experience, and adapts to changes in the social, political, and environmental context in which it is operating. Such a culture of

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104 INCREASING CAPACITY FOR STEWARDSHIP OF OCEANS AND COASTS self-assessment would constitute a major change in the practice of ocean and coastal gov- ernance and mark a substantial increase in the capacity of the organizations involved. FINDINGS AND RECOMMENDATIONS A central assumption of past coastal zone management initiatives was that the principle barrier to improving stewardship was the generation of scientific knowledge and its appli- cation to planning and decision-making, but barriers also arise in the governance process because changes in management affect the diverse and often conflicting interests and val- ues of people and institutions. Therefore, the governance dimensions of stewardship need to be at the heart of both needs assessments and capacity-building investments. Capacity-building for ocean and coastal management should seek to improve gov- ernance at all levels, targeting civil society and markets in addition to government. No formulaic approach can be universally applied, but a strategic approach that assesses gov- ernance baselines and identifies barriers to implementation will provide a sounder basis for designing programs to encourage environmental stewardship. A governance baseline that describes the strengths and interactions among the three governance mechanisms (markets, government, and civil society) revealed by past and current performance should be established. Capacity-building programs should be tai- lored to address the specific strengths and weaknesses of a region’s ocean and coastal governance system. Governance baselines and associated capacity-building assessments should be assembled in close consultation with stakeholders drawn from the full array of governance mechanisms and levels, for example, local, state or provincial, and national government; the private sector with economic interests in the ecosystem and its resources; and civil society as represented by academia, NGOs, and social groups. Assessments should be developed, with opportunities for the interested public to offer perspectives, concerns, and recommendations as that is feasible and appropriate. The development of a gover- nance baseline is an important preliminary step to be taken before investments in capac- ity-building are made. The committee strongly encourages organizations that are undertaking capacity- building programs to develop common frameworks for analyzing trends and events in ocean and coastal ecosystems and evaluating the responses of the governance system. The Orders of Outcomes framework offers one option for such an integrating system. It can be used to develop parsimonious sets of indicators (see, for example, United Nations Environment Programme, 2006) that gauge the capacity in a given place to practice eco- system-based management, assess progress in implementing a plan of action as reflected

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105 BUILDING CAPACITY IN OCEAN AND COASTAL GOVERNANCE in behavior changes in actors and institutions, and suggest a basis of tracking changes in the condition of an ecosystem that are relevant to the goals of a stewardship initiative. Assessments based on such common frameworks should be readily accessible and widely distributed to encourage the development of a common knowledge base. Shared experi- ences and successes help to strengthen constituencies for a stewardship ethic and gener- ate the political will required for sustained, purposeful action.