PART A:

ISSUES, PERSPECTIVES, POLICY AND PLANNING PROCESSES FOR INTEGRATED COASTAL AREA MANAGEMENT

2. The process of integrated coastal area management

2.1 PURPOSE OF INTEGRATED COASTAL AREA MANAGEMENT

The sustainable development concept commonly strives to maintain or restore a `balance' between the natural and human environments without any agreement on spatial or temporal benchmarks. Besides the fact that it is impossible to freeze the biosphere in its present state for future generations or attempt to restore an equilibrium of the past, changes in world population density and distribution and national or local economies impose a concept of evolution. As a result, the myth of equilibrium is replaced by variability, uncertainty, precaution and irreversibility.

Development involves management in time and space of the interactions between economic and ecological, and social and natural variability, where ecosystems and the lifestyles they support can exist side by side. The purely conservationist approach has given way to a more dynamic, progressive and development-oriented perception, with a view to closer integration between conservation and development. The ecosystem is a matter of concern to a plurality of actors, and has to support a plurality of resources and uses. The issue is therefore a matter of coordination between these uses and the users (Babin et al., 1997).

Meeting of Matale District Group, Sri Lanka

Coastal resources management includes a wide array of management practices such as: land-use planning; legal, administrative and institutional execution; demarcation on the ground; inspection and control of adherence to decisions; solution of land tenure issues; settling of water rights; issuing of concessions for plant, animal and mineral extraction (e.g. wood and non-wood products, fishery resources, hunting, peat); and safeguarding of the rights of different interest groups (e.g. traditional and indigenous people, women).

Coastal area management is too complex to be handled by traditional sectoral planning and management. To be effective, planning for integrated coastal area management (ICAM) must be coordinated between sectoral implementing agencies. A balanced management perspective is needed in which intersectoral relationships are fully understood, trade-offs recognized and anticipated, benefits and alternatives critically assessed, appropriate management interventions identified and implemented, and necessary institutional and organizational arrangements worked out. This is the essence of ICAM.

FIGURE A.5

The different spatial management scales of ICAM

Notes: The boundaries of a managed coastal area may change as different problems are addressed. Influencing factors may be biophysical, economic, social, jurisdictional and/or organizational in character.

^1/ National or subnational level scale: could be a bay, entire archipelago or whole coast under national jurisdiction. Ideally, a national policy (goal and strategy) with different routes of implementation, according to intracountry socio-political and biophysical differences.

^2/ Problem area scale: defined on the basis of prevailing management issues or administrative level of support.

^3/ Local study scale: one or more pilot sites selected for special studies (e.g. specific geographic sites of natural, cultural or economic significance) or for demonstration purposes.

Source: adapted from IOC/ICSU/WMO, 1997.

Integrated management refers to management of sectoral components as parts of a functional whole, with resource users, not stocks of natural resources, as the focus of management. This focus highlights the need for the active participation of communities. Relevant line agencies must be involved so as to mitigate cross-sectoral impacts and adjust sectoral development portfolios to make them consistent with integrated coastal management goals.

ICAM programmes should be tailored to fit the institutional and organizational environment of the countries or regions involved, including the legal, political and administrative structure, cultural patterns and social traditions. It can be started as a strategy for an entire country, or can focus initially on special management areas selected on the basis of priority of management issues, their tractability to management interventions and the level of private or government support locally, regionally or nationally.²⁰

The management programme can be comprehensive or selective in the issues it includes. There is no single correct way to organize and implement ICAM strategies and plans. Each country will develop its own customized plan, as evidenced by the diversity found in existing programmes worldwide. Nevertheless, there are some basic features that are common among them.

The objectives of ICAM, along the lines endorsed by Heads of State at the Earth Summit are in Box A.3.

2.2 THE LEGAL FRAMEWORK

2.2.1 The role of law in ICAM

The role of law in the successful implementation of ICAM is frequently overlooked or inadequately appreciated. The long-term prospects of an ICAM initiative will be seriously jeopardized if, first, it is not based on a clear understanding of the legal and institutional arrangements governing coastal management and, second, appropriate legal mechanisms are not used to implement it.

Implementing ICAM may involve changing the way existing institutions operate, creating new institutions, changing the rights of users of coastal resources, and introducing new mechanisms to regulate human activities within, or that may affect, coastal areas. This will almost invariably require repealing or amending existing legislation and frequently enacting entirely new legislation. The transition may also give rise to new conflicts between implementing agencies, between implementing agencies and other stakeholders in the coastal area, and between stakeholders. In addition, legislation can be used to provide tools and mechanisms to enable and facilitate the integrated management of coastal areas and to establish mechanisms for resolving disputes.²¹

2.2.2 Rights to own and use coastal resources

ICAM policy-makers will frequently have to decide whether to change the regime governing property or user rights in order to attain their objectives. They must therefore understand the nature and function of different property regimes, the existing regimes and how governance arrangements function; without this, serious policy errors can be made.²² 

The concept of ownership has been described as a `container' of a number of rights in relation to the property, for example: the right to possess it, to use it, to enjoy its fruits, and to dispose of it (e.g. Simpson, 1976). The owner may transfer particular rights to other parties for a period on agreed terms (rent a tract of land for grazing for three years, for example) but the container of ownership remains with the owner; even if all rights have been transferred for the time being, ultimately they will revert to the owner.

Map of coastal lowlands of Bangladesh

Source: Manuscrit map by M. Van der Zijp and S. Jelgersma. ARCWORLD for rivers.

Property rights are created and enforced by society for particular purposes. They define the relationship between a person (an individual or a legal entity such as a company) and a thing (which may be physical or intangible). Legal systems typically distinguish between types of ownership by reference to both the subject (i.e. the owner) and the object of the right. The categories vary between legal systems but many legal systems incorporate distinctions between:

• things that cannot be owned, for example, air or the sea which are common to everyone (res communes) and property such as the seashore which is held by the state for the benefit of the public (res publicae);
• things that are unowned but can be owned (such as wildlife before capture);
• things in respect of which full ownership rights exist and that may be freely bought and sold (this `alienable property' is often referred to as `private property' but in fact it may be owned by the state as well as by private individuals or corporations).²³ 

Discussions of property regimes often focus on the various categories of person who hold the rights; they thus sometimes lose sight of the fact that the characteristics of the property regime are determined both by the category of person holding the right (e.g. the state, a group with common rights, or a private individual or legal entity) and by the nature of the property (thing) in question.

When property rights are discussed from an economic perspective, distinctions are often made between state property, private property, common property and open access regimes.²⁴  Legal analyses, however, tend to concentrate on distinguishing between different ownership regimes such as public property, common property, unowned resources and alienable property (private property).

However from the perspective of natural resource management, the identity of the legal owner of a resource is not usually the crucial issue. In addition, the categories used in Box A.2 can overlap. For example, from a factual perspective there may be open access to a resource regardless of whether, legally, it is subject to state, common or private ownership. It is therefore important to ensure that the categories used for analysing property regimes do not obscure the most relevant distinctions from a management perspective.

From an ICAM perspective, rather than classifying property rights in coastal areas on the basis of legal or economic categories, it is usually more useful to identify: a) who has the legal right to manage the resource (which is distinct from, though related to, who the owner is); b) whether or not the use or exploitation of the resource is in fact controlled; c) who the management authority is; and d) on what terms access to the resource is granted.

2.2.3 Evaluating regulatory frameworks for ICAM

An initial assessment of existing regulatory frameworks will usually aim to evaluate the extent to which existing laws, property and use rights and institutional arrangements will promote or hinder the attainment of the objectives of the coastal management programme and identify any required modifications.

Most laws apply primarily to a particular sector or human activity (e.g. fishing) and are administered by the line ministry or government agency responsible for that sector. However, since ICAM is concerned with area management, it will usually be necessary to review a wide range of laws, administrative regulations, institutional practices and customary laws. These would typically include laws that:

• define the rights and duties of owners and users of coastal resources (e.g. the constitution and laws governing land tenure and water use rights);
• govern the management and exploitation of natural resources (e.g. laws regulating land tenure, rural and urban development and planning, land and water use, mining, oil and gas exploitation, industrial development, pollution control, tourism, fishing, forestry and agriculture);
• promote the conservation and protection of the environment, wildlife and biological diversity;
• provide a structure within which human and other resources can be organized and coordinated for the purpose of attaining long-term strategic objectives (e.g. laws relating to national planning and economic development);
• establish mechanisms for averting or resolving disputes concerning the use of coastal resources (e.g. laws or procedures that provide for the use of techniques such as conciliation, mediation and arbitration.²⁵ 

Women training, Hio, Benin

Fishers planning coastal microprojects, Hio, Benin

Landing site development committee meeting, after having obtained legal right to protect the site from encroachment of real estate development, Conakry, Guinea

Fishers' group leaders and fisheries officers setting priorities, Kamsar, Guinea

The obligations, principles, standards and recommendations contained in international agreements and documents provide a useful measure against which to evaluate national legal frameworks for ICAM. In some instances, it will be important for drafters of national laws to take into account the provisions of binding international treaties, such as the United Nations Convention on the Law of the Sea²⁶  and others.²⁷  In addition, useful guidance in preparing ICAM policies and legislation can be obtained from the provisions of a variety of non-binding international documents such as the Earth Summit agreements and the Code of Conduct for Responsible Fisheries (which includes Article 10 on `Integration of fisheries into coastal area management') and others.²⁸ 

Some of the specific issues that should be considered in reviewing laws that affect the management of coastal areas are set out in Box A.4.

In developing a framework for ICAM it is important to avoid simply adding further layers of bureaucracy and legal complexity. The principle of integration should also be applied to the legal and institutional framework, reducing overlaps and producing a more streamlined and effective governance structure. This means that the proposed legal framework itself should be comprehensive, holistic in approach and internally consistent.

The impact of laws on society is largely determined by the way those laws are implemented and enforced. In order to gain a proper understanding of how a regulatory system actually functions, it is essential to analyse the institutional framework in conjunction with the relevant laws.²⁹ 

Mangrove regrowth after introduction of improved livestock waste management measures. Cumulative effects of waste effluents had destroyed the mangrove facing the Strait of Malaya, Malaysia.

Unchecked flash floods carrying away precious topsoil, Tunisia

2.2.4 Legal principles to support ICAM

While it is inappropriate to transplant a law from one legal system to another - particularly where the social context and legal traditions are very different - principles used in one system can often be usefully adapted and applied in other legal systems. A number of principles - most of which are derived from international environmental law - that either have been, or could be, incorporated into national laws in order to promote ICAM are outlined in Box A.5. The focus is on those principles that are likely to provide practical guidance to the drafters of national legislation rather than on attempting to discuss all relevant principles.³⁰

2.2.5 Legal mechanisms used to achieve ICAM objectives

A great variety of legal instruments have been used to promote ICAM objectives. However, identifying appropriate, practical legal mechanisms to give effect to the concepts and principles such as sustainable development that underlie ICAM remains one of the major challenges facing legislative drafters. This section discusses some legal mechanisms that may be useful.³¹ 

Guiding the exercise of administrative discretion. Legislation dealing with natural resource management will often mandate a line ministry or executive agency to prepare management or development plans and establish procedures for granting authorizations. Usually the executive agency or official responsible will have wide discretion as to how these duties are performed. However, in some instances it may be helpful to stipulate various general principles that the executive agency or official must take into consideration. This technique has the advantage of requiring important but legally imprecise principles to be formally considered.³⁷  The disadvantage is that the enforcement of such provisions may be difficult, particularly where non-governmental organizations and members of the public do not have legal standing to challenge the validity of plans and administrative decisions in court.

Changing rights to own and use coastal resources. Property rights are a fundamental component of any system for allocating or managing natural resources.³⁸  If it is clear that the existing property regime in the coastal area will obstruct or prevent the attainment of the desired objectives, it may be desirable to redistribute the relevant rights (where possible). This may give rise to an obligation to pay compensation. Adjusting property regimes can be politically sensitive and legally complex. Therefore, before undertaking any radical restructuring, it is important to ascertain whether or not problems such as environmental degradation are in fact a consequence of an inappropriate property regime or are attributable to other factors, such as poor management.

In many cases it is the management regime rather than the ownership regime that is critical.³⁹  For example, asserting state control over coastal resources may appear to be an obvious way of implementing ICAM. In theory, if much of the coastal area is public land, access to beaches and other coastal resources will be assured and the integrity of the coast maintained.⁴⁰  However, if the public has a legal right to use the area in the absence of careful state management, intensive public use can result in environmental degradation. Furthermore, most analysts agree that the tendency during the 1970s and 1980s to shift control over local natural resources from local user groups to central government has generally not resulted in effective natural resource management (Bromley and Cernea, 1989).

Existing property regimes may have been superimposed on traditional customary law rights which, until recently, were often simply ignored. In recent years there has been increasing recognition of at least some of the traditional legal rights asserted by indigenous people over natural resources and of the fact that the principles that they embody are often useful in promoting sustainable management and equitable allocation.

The distribution or redistribution of rights to own and use coastal resources can have a significant impact on coastal management. Some of the legal mechanisms used in this regard include:

• reasserting public ownership and control over coastal areas or initiating expropriation or acquisition programmes to bring important areas under public ownership or control;
• recognizing customary or indigenous rights over resources and devolving certain powers to manage those resources to traditional authorities or local organizations representing users;
• imposing restrictions on private ownership rights, for example, by providing for public servitudes or easements over private land to facilitate access to the seashore and requiring landowners to obtain official authorization for undertaking certain activities, particularly where these are likely to have a significant impact on the coastal landscape and environment.

Establishing protected areas. One of the most common legal mechanisms used in coastal area management is the formal designation of an area of particular ecological importance as a protected area in which special conservation and management measures will be applied. The protected area may be designated for a particular purpose (e.g. preservation as a wilderness area), but protected areas that permit multiple uses, subject to controls, are becoming more common. It is always preferable to consult current (traditional) users of the area regarding the establishment of protected areas and to associate them with the management of such areas.⁴¹  Excluding them can lead to hardship for them and/or violent reactions. This is an extremely useful mechanism particularly when it is used proactively to conserve important resources before they become degraded. However, legal difficulties are sometimes encountered in establishing protected areas that cover areas of both land and sea, and in managing and controlling activities outside the protected area that have an impact on the area itself.

Zoning and coastal setback lines. Most land-use planning systems rely on designating areas (zones) in which only certain specified activities or land uses (e.g. agriculture) will be permitted. This is a proactive mechanism (as opposed to project-specific environmental impact assessments (see Box A.6) which are reactive in nature) and can be useful in coastal management if plans are regularly updated and development restrictions enforced. A particular type of zoning commonly used in coastal management involves prohibiting or restricting certain activities or uses of coastal resources (e.g. erecting buildings) within a defined strip of land between the shoreline and a `setback line'. This mechanism can be used for a variety of purposes including conserving natural habitats, guaranteeing public access to the shore and promoting tourism. It tends to be favoured by legislators because it is relatively straightforward to enforce, is popular with people inland and is often an extension of existing legal principles related to public access to the coast.

Key issues to consider in evaluating the legal framework for ICAM are summarized in Box A.7.

2.3 THE INSTITUTIONAL FRAMEWORK

During the policy process for ICAM, goals and objectives are determined and the means to achieve them are formulated in strategies and plans. The process will vary considerably from one country to another, depending upon the size of the country, the issues to be considered, the institutional framework, cultural background and many other considerations. In general, however, the setting of area goals and the strategy to achieve them is undertaken by a coordinating agency in conjunction with the concerned line ministries, other government agencies and representatives of other stakeholders. The plans through which the strategy is implemented are formulated by the responsible executing agencies, usually the line ministries and subnational and local governments, often in conjunction with non-governmental organizations. Consultation with local people is highly desirable but rarely undertaken. The line ministries, therefore, are critical to the process, both through their contribution to the formulation of the goals and strategy and to its implementation.

Experience shows that when ICAM plans are prepared as stand-alone plans - distinct from national or subnational development plans and from sectoral development and renewable resource management plans - it is difficult to find the human and financial resources to implement them. In contrast, when ICAM is an integral part of sectoral development and renewable resource management plans, this problem may often be less pronounced.

Fishers ply their trade, Mekong River, Laos

Farmer standing next to a gully that has eaten away part of her property, Lesotho

Polluted waters in Java Harbour, Indonesia

2.3.1 Definition of the boundaries of ICAM

In adopting the principle of ICAM, governments have to decide whether to apply ICAM at the area, subnational or national level. Coastal countries, especially small island countries, will need to adopt a national ICAM policy, and some may opt also to have a national ICAM plan. Many other countries will have specific ICAM plans only for certain threatened parts of the coast.

However, the absence of an ICAM plan does not necessarily imply that coastal resources are not managed; sectoral plans, plans for environmental management or local community management may fulfil coastal management requirements successfully.

In most coastal states, there are differences in climatic, biophysical, economic, social, political, institutional and cultural variety among different parts of the coast. Therefore, different resource allocation decisions and, perhaps, different routes to implementing them will be required. Moreover, with the exception of small island states, the complexity of national coastal areas makes it impractical to manage at the national level.

In most countries, therefore (other than for small states), coastal management is usually undertaken at the area level.⁴²  For the purpose of management, the boundaries of a managed coastal area may change as different problems are addressed. There is much to be said therefore, for area boundaries being determined pragmatically and flexibly. The factors influencing a boundary may be biophysical, economic, social, jurisdictional and/or organizational in character.

Experience of successful integrated coastal management points to the need to ensure that the area under management encompasses the source of the environmental changes that have an adverse effect in the coastal area.⁴³  Some areas defined for integrated coastal management may be relatively small. Others may be larger than some countries.⁴⁴  Although ICAM is usually area-based, it is desirable to have a national ICAM outline plan to ensure a proper legal framework, integration with national development planning, and funding. Funding for ICAM can come largely from adjustments to existing sectoral budgets and investment plans.

It is as well to limit initial attempts at ICAM to small selected pilot sites, which provide an opportunity to explore the broader institutional requirements and demonstrations prior to the expansion of ICAM to larger and more complex sites.

Under an area-based approach, progress in implementation will vary considerably within a country and the final results will differ from place to place. Areas where there is most experience of ICAM will be a number of stages ahead of others where it has been applied at a later date. The severity of issues to be faced and the performance of institutions in applying ICAM will also vary greatly. The main concern is that they all share the same national goals and strategy.⁴⁵ 

Satellite data for coastal map for planners, Calauag and Lopez Bays, the Philippines.
Scale 1:50 000

In the tidal area, the colour orange represents degraded areas, mainly mangroves, which should be rehabilitated. The yellow represents dry bare lands, mostly idle aquaculture ponds which require ground survey. In shallow water, the mapping of areas covered by coral (violet tones) and seagrass (green tones) is very useful for assessing fish habitat and monitoring destruction of coral.

2.3.2 Types of governance and institutional arrangements

Few countries actually start with comprehensive, enabling legislation for coastal area management on a nationwide basis, perhaps because legislation often significantly lags behind problems. Many countries take a more expedient, piecemeal approach in which existing laws and policies are amended or coordinated by means of interagency guidelines, or new, complementary laws are enacted.⁴⁶ 

Few countries have the capacity to deal with nationwide management of coastal areas initially, and programmes need to be adapted to local situations. If organized correctly, pilot site plans can be used as a testing ground for domestic capabilities in technical, institutional and organizational approaches for managing coastal areas.

Effective management intervention is dependent on the existence of appropriate institutions and organizations. A major question is the adequacy of existing arrangements for management planning and implementation. Where these arrangements are found inadequate or constraining, changes can be gradually introduced. For practical purposes, management activities will initially have to be adapted to existing institutions and organizations, and adjustments phased over the longer term.

There is an enormous range of possible institutional arrangements for ICAM. Broadly, the following distinctions can be made:

• Multisectoral integration. This involves the translation of common goals into independent sectoral planning by coordinating the various agencies responsible for coastal management on the basis of a common policy and bringing together various concerned government agencies and other stakeholders to work towards common goals by following mutually agreed strategies.
• Systematic integration. Here, an entirely new, integrated institutional structure is created by placing management and development and policy initiatives in a single institution. This requires cooperative goal definition, planning and action.

Coordination tends to be preferred since line ministries are typically highly protective of their core responsibilities, as these relate directly to their power base and funding. The establishment of an organization with broad administrative responsibilities overlapping the traditional jurisdictions of line ministries - as would be the case where management, policy and development functions are integrated within a single institution - is often likely to meet with resistance rather than cooperation. Integration and coordination should be thought of as separate but mutually supporting.

Integration is an important mechanism in coastal area planning and implementation. Three distinct types of integration are important for ICAM: systems integration, functional integration and policy integration:

• Systems integration relates to the need to ensure that all relevant interactions and issues, regardless of their origins, are considered.
• Functional integration focuses on ensuring that management interventions are consistent with coastal area management goals and objectives.
• Policy integration concerns the need to incorporate management policies, strategies and plans with development policies, strategies and plans.

Coordination is an important mechanism in coastal area planning. It brings together disparate resource users, community groups, non-governmental organizations, research institutions and government agencies at various levels, including central, regional and local. The objectives of coordination are to:

• promote and strengthen multi-agency and multisectoral cooperation and communication;
• provide a forum for negotiation and conflict resolution;
• reduce rivalry by minimizing overlaps and gaps in responsibilities.

FIGURE A.6

Various levels of coordination needed for ICAM

Coordination on several levels - vertical, horizontal and temporal - is needed as illustrated in Figure A.6:

• Vertical coordination refers to cooperation among various hierarchical levels of government: central, regional and local.
• Horizontal coordination focuses on gaining cooperation within a specific level of hierarchy, such as at the local level among local government, sectors and various stakeholders.
• Temporal coordination refers to achieving optimal phasing of management actions.

It is important that planning for ICAM be incorporated into national economic and sector development plans to ensure appropriate institutional and budgetary support, and to ensure that ICAM goals are compatible with the national and sectoral development and management plans. The hierarchical relationship between national, sectoral and integrated coastal area planning is illustrated in Figure A.7.

FIGURE A.7

Hierarchical relationship between national, sectoral, and integrated coastal area planning

2.3.3 Prerequisites for ICAM

Whatever the exact nature of the process, the success of ICAM will revolve around an effective coordinating mechanism⁴⁷  and a number of prerequisites.

Establishment of a twin-track process. Regardless of who initiates the ICAM process, the decision to proceed should be taken by a senior government authority to mark the political will to pursue it. Overall goals determined at government level must then be refined at area level into goals and objectives specific to coastal dwellers' needs. Experience at the area level will highlight the need for action (e.g. legislation) in support of integrated coastal management. Lessons learned in the implementation of policies at the area level will feed into the evaluation and adjustment of national goals and strategies. In other words, the top-down and bottom-up processes mutually influence and feed into each other.

Establishing an iterative policy process. The policy process involves continuous learning. Among the factors are: experience in the application of various policy instruments; new information provided by environmental monitoring and research; developments in economic and social activities; and revised objectives, according to emerging new factors. Given the long-term nature of much of the research, it is recommended to make provision for research in the strategy and plan; the results will be used in subsequent periodic reviews of plans. As confidence in the ICAM process widens, planners may address more complex issues calling for more research and more learning.

Crowded fishing port, Morocco

Processing of dried fish for export, Guinea

Public involvement. ICAM brings together a variety of social actors, ranging from resource users and communities to legal, recognized or customary institutions, from various hierarchical levels. Figure A.8 illustrates the major groups of social actors at play. It is possible to identify various levels or types of public involvement:

• information sharing in the form of dissemination to groups affected or interested in a decision;
• consultation, where feedback is sought from affected groups and interested parties prior to the making of decisions;
• participation by multiple stakeholders in the decision-making process itself.

FIGURE A.8

Social actors in public involvement process

Source: adapted from Davis, 1997.

The latter varies from shared decision-making (consensus building), to collaborative decision-making (co-partnership), and empowerment (self-management). Public involvement can therefore be weak or strong, depending upon the broader institutional context and the nature and degree of transparency and openness of the communication processes between governments and citizens.⁴⁸ 

TABLE A.4

A typology of participation

Source: Pretty et al., 1995.

Participatory approaches fall under two broad categories:

• traditional efforts based on ancient rituals and culture/traditions of people. These efforts are long-lasting structured around human development in harmony with nature and the cosmic world and meet requirements through existing endogenous funding channels;
• facilitated efforts helped in various ways by development agents. These efforts are either coopted (by incentives, policy instruments or demanding free labour in return for development aid) or coerced participation. They are usually successful on a short-time basis but not sustainable in the long term, both in terms of participation of people and future efforts/commitments.

One of the key elements for successful projects (which fall under the second category) is working towards a higher (cosmic) human dimension, where project activities are integrated into the culture of people (for example, by converting, where appropriate, the various operational activities into rituals as a duty to the king and/or a service to the god). The participatory process can develop an innovative mix of traditional and `imported' expertise, according to each specific context (Sharma, 1997).

2.3.4 Institutional coordination for ICAM

Criteria for the selection of the coordinating institution. Experience in ICAM suggests that line ministries with sectoral responsibilities change or adjust very slowly within the framework of an ICAM initiative. Furthermore, formal institutional coordination works well only within relatively narrow limits, especially until experience and confidence in the process are acquired by the line ministries. In these circumstances, the selection of the most appropriate institution is a critical part of the process as a whole. Among the criteria that should be considered in this selection are the following (after Dick Osborne and Associates, 1993):

• compatibility of the institution's mandate with its proposed functions as the coordinating agency;
• capacity to lever funding for ICAM from concerned ministries or a combination of national sources and donor funding;
• institutional experience in multisectoral planning or, preferably, integrated planning;
• long life expectancy and ability to survive changes in government;
• strong constituency base and ability to perform well in negotiations with line ministries in the ICAM process;
• a strong institutional capacity for ICAM driven by the culture, morale and technical competence within the organization, rather than dependence on a few committed individuals;
• a holistic approach to policy issues;
• adaptability to new procedures and policy instruments;
• willingness to involve local communities.

Few coordinating institutions will comply with all these criteria. There are perhaps as many ways for countries to select a coordinating institution as there are countries undertaking ICAM through a coordinated approach. Different examples of countries' approaches are illustrated in Boxes A.8 and A.9.

Requirements for effective coordination. There are many prerequisites for coordination to work effectively. Dick Osborne and Associates (1993) have listed the more important as being:

• adoption of a holistic approach;
• agreement on goals at central, area and sector levels;
• agreement on respective roles, jurisdictional boundaries, provision of resources and responsibilities at different levels of governance;
• provision for effective negotiation (bargaining) between different levels of governance, between these and the line ministries, between ministries, and between government and civil society groups that use and manage coastal resources.

The establishment of effective channels of communication and coordination between line ministries and other stakeholders will, for example, allow for the following:

• information sharing and transfer;
• joint education and training, when appropriate;
• joint assessment and acceptance of costs and benefits of environmental changes and proposed policy interventions, when appropriate;⁴⁹ 
• learning from policy experience;
• joint project and policy monitoring and evaluation;
• participation by all stakeholders;
• balance between top-down and bottom-up processes.

Mulberry fields with fish ponds in the Pearl River Delta are artificial ecological systems in the Chinese tradition, China

Pens for rearing fish, Thailand

Role of line ministries in ICAM. Staff in line ministries are conventionally sectorally oriented. For ICAM, however, they should understand the need for a holistic approach and be professionally equipped to discuss and negotiate with officials in other agencies. In order to achieve this, training courses should be designed for staff on the need for ICAM and the role of their line ministry in ICAM as a whole and in specific ICAM plans.

Ministries will naturally wish to protect and promote the interests of their respective sectors. They have the incentive and are in a good position to observe the impacts in their sector that are generated internally or arise from activities in other sectors.⁵⁰ 

The aims of line ministries should be to:

• minimize the generation of negative externalities originating within their sector and having harmful environmental or social effects in other sectors;
• identify and assess, with the available information, current and potential environmental impacts on their sector that may be generated by economic activities in other sectors;
• create public and government awareness regarding these impacts with a view to their minimization;
• coordinate within their own ministry and with other relevant line ministries at central, regional and local levels;
• through a thorough analysis of censuses and surveys and, if necessary, the carrying out of additional specific surveys, make available quantitative and qualitative assessments of the labour force and total population concerned;
• assess the population-supporting capacity of the sector, and its prospects, in the light of population projections and assumptions regarding productivity;
• review the performance and constraints of the respective subsectors in the light of biophysical and economic conditions.

As well as seeking to remove or mitigate the generation of environmental changes that have harmful effects in other sectors, line ministry managers should seek to remove externalities that are internalized within the sector in which they occur.

Several potential weaknesses in institutional arrangements for ICAM will have to be overcome by the coordinating mechanism. Line ministries will not always have the necessary expertise and resources available and they will naturally tend, in the beginning, to give priority to purely sectoral considerations.⁵¹  Appropriate priorities will become clearer once the objectives and policies of the integrated coastal area strategy have been incorporated into the objectives and policies of each sectoral plan.

Role of resource users and non-governmental organizations (NGOs). There are several prerequisites for the successful involvement of resource users:

• an institutional framework in which property rights are allocated to a group of users who, in turn, have an obligation to manage them sustainably;
• an institution, of which resource users are part, that is able to command their support and loyalty and to exercise management authority over them;
• where necessary, training, scientific and technical advice provided by the relevant line ministry to the users, as well as support for the enforcement of management decisions;
• development of appropriate skills and disciplines by the management institution and adoption, with the support of the relevant line ministry, of sound management principles, rules and regulations;
• a clear definition of the area to be managed, and the involvement of all resource users in the management group.

Local NGOs can be valuable partners by:

• providing useful lines of transmission from the local community to the authorities and vice versa;
• helping to keep management focused on local issues;
• contributing to the formulation and implementation of strategies and plans.

Local management will have all the more chance of success when the area devolved or under co-management is relatively small and clearly defined, with a relatively small number of resource users and where rights of ownership or use are exclusive. Commonly managed fisheries of lagoons or areas of reef, for example, frequently work well when the appropriate institutions are in place (Willmann and Insull, 1993).

In many countries, line ministries with responsibility for the management of renewable resources are entering increasingly into a range of cooperative partnerships with resource users for the management of resources. Such partnerships must be based on clear responsibilities and accountabilities on the part of all those involved. In these cases, line ministries will already be working with the resource users. Wide-ranging and true participation (rather than consultation in a predetermined context) with resource users, and a demonstrable willingness of planners to take account of resource users' attitudes and preferences by involving the users in the management process, will usually give good results.

While devolved management is frequently the most effective approach to management, the burden on government continues to be high. Local managers require a constant flow of information on which they can base their management decisions and, frequently, they require support in the form of enforcement by government, especially to stop encroachment by `outsiders'. In most situations, the institutions responsible for implementation of management require considerable training and technical support. For these reasons, the recognition of the role of line ministries by resource users is important, especially as certain vital functions can be fulfilled only by the public sector. The involvement of resource users in coastal management is relatively more effective where the state is ready to grant exclusive ownership or user rights to a group of resource users and where the conditions outlined above can be met.⁵² 

Women at work in a field in the Tirana plain, Albania

Creating a constituency for ICAM. ICAM often calls for detailed knowledge of conditions in the area, perhaps extending back over many years. This information will rarely be available in quantitative form, gathered over many years. Local knowledge is an invaluable complementary source of information, and institutional mechanisms for ensuring that the knowledge of resource users is properly taken into account should be a concern of line ministries.

The resolution of resource-use issues almost invariably results in losers as well as winners. When resource users are required to reduce or halt activities that they may have been undertaking for generations, it is essential that they fully understand the reasons. This understanding can only come about if they are fully involved in all the processes. Line ministries should ensure that resource users are represented in the planning committees that are established to support the planning process in ICAM.⁵³ 

When resource users are required to surrender resource use, appropriate compensation⁵⁴  should be provided. Line ministries should include adequate provisions in their budgets, along with the necessary legal and institutional adjustments. It is never easy to achieve fairness and equity in such situations.

Successful management of natural resources requires a conviction on the part of those affected by management change that they can influence the process and that the proposed management measures are equitable and fair. Without this perception of legitimacy, or constituency building (Olsen, 1993), there is a strong likelihood that proposed management measures will fail. Indeed, those affected may even sabotage the measures.

Rural radio extension, Madagascar

Creating a constituency for ICAM is one of the chief aspects of the policy process. Support from the private sector, including individual stakeholders, and from communities and special interest groups is essential. Accordingly, community leaders, members of the community and trade organizations should be targeted.

The full participation of resource users will often highlight conflicting interests affecting coastal resources that are difficult to reconcile. Through mediated dialogue, perceptions could be confronted and negotiated among stakeholders to define long-term patrimonial objectives in coastal areas.

Patrimonial mediation⁵⁵  seeks to inverse the process of negotiation by obtaining the common agreement of a group on the long-term future they desire. The quest for agreement about the long-term, as an attempt to put short- and medium-term undertakings into perspective, endows a community heritage dimension where actions can be organized to shape the future along common objectives. The aim is to enable the actors to compare and discuss their perceptions (which are equally legitimate and equally subjective) and the commonly held disagreement on the prolongation of present trends. Once the goal is agreed upon by a group, and thus legitimized, short-term scenarios of use, access and control of resources can be established, including comparative viability and costs. Agreed scenarios thus transform the desired patrimonial objective into possible `constitutional' choices. Ultimately, a management structure is established to implement decisions taken on agreed scenarios. This approach, which requires much patience and skill, ensures interaction and self-mobilization and is based on an endogenous social contract where actors conform to the product of negotiation.⁵⁶ 

Shrimp fishing boats ready for the next catch after some weeks of closed season in order to protect the fry, Hell-Ville harbour, Madagascar.

2.3.5 Building capacities for ICAM

Institutional capacity to manage the ICAM process.⁵⁷  The institutions contributing to ICAM should have the collective capacity to allocate resources according to the goals and strategic approach adopted. The engine to drive the process includes well-trained and experienced staff. The capacity to manage the process can be developed as part of the strategy. Not all individual participating organizations will - or should be able to - satisfy this requirement, but it is important that the system as a whole is able to deliver the following services (Olsen, 1993; Dick Osborne and Associates, 1993):

• an equitable and efficient decision-making process;
• use of the best available knowledge about how the relevant ecosystems function;
• participation of resource users, and all those affected by management decisions, in the decision-making process;
• capacity to resolve differences of interest;
• ability to employ economic policy instruments strategically;
• integrated, simple and effective regulatory instruments;
• public investment for the protection of coastal ecosystems and management of renewable resources.

Government line agencies rarely have expertise in participatory methods and integrated natural resource management. Thus, forming a team that is proficient in strategy and methods requires in-service training. During implementation, local staff should be exposed to a variety of learning experiences, including brief courses, internal workshops and seminars, experience-exchange events and study tours. It is important that training of local staff be included in the terms of reference of consultants (national or international). In addition, the participatory monitoring and evaluation process should have a continuing educational and formative orientation by identifying lessons learned and further learning needs. A mix of hiring ad hoc project staff and mobilizing professionals from relevant line agencies and institutions would allow higher efficiency and wider dissemination of the approach among local institutions.

Because coastal problems involve a range of actors and a multiplicity of complex interrelated issues, an institutional capacity to resolve conflicts and institutional supervision will be required to manage the participation and relationships of interested parties and the different interests represented, as well as to identify suitable options and agree on objectives and means to attain them. Depending on local circumstances (traditional practices and principles) consideration should also be given to establishing funding mechanisms for conflict resolution (in order to cover the costs of appointing mediators or experts, or simply of running negotiations) and providing training and education for third parties to mediate, facilitate or arbitrate in disputes. Administrative procedures and dispute resolution offices or commissions might also be established to anticipate and resolve conflicts arising within and between institutions.⁵⁹ 

The role of research and environmental information. Identifying critical issues in ICAM requires information.⁶⁰  Taking decisions on the most appropriate use of resources usually requires additional information. The contributions of science and, in particular, research, have been specifically addressed by the Joint Group of Experts on the Scientific Aspects of Marine Environmental Protection (GESAMP).⁶¹ 

In most countries, there is scope for developing ICAM strategies without high additional expenditures on data collection and research for information. In the early years of ICAM in many countries, it is better to focus on issues that are resolvable in the short to medium term and do not depend on long research programmes for a solution. Depending on local conditions, a phased approach to ICAM can be adopted, with increasing levels of integration and complexity.

In many countries, ICAM data collection and research can usually be implemented by existing research institutions. Often, however, a redirection of research is necessary and this may present difficult choices. In many of these situations, it is very useful to consult users of research in conjunction with scientists about the process by which research plans are drawn up and on the setting of information and research needs. This should not be done by researchers alone. A consultative process can result in additional research capacity becoming available within existing budgets while, in cases where research is handicapped by lack of laboratory equipment or a travel budget, finding additional funds for ICAM information collection and research may require a shift in budgetary allocations to research.

Equally difficult problems may arise in many countries over institutional responsibilities and capacities, both of which may be linked to the issues of financial resources. With regard to the former, the monitoring of water quality, for example, may be primarily in the immediate interest of the fisheries or the tourism sector and in the longer-term interest of society as a whole. It would be unreasonable, however, and probably beyond the financial resources of the sector institutions concerned, for the fisheries or the tourism line ministries to bear full financial responsibility for water quality monitoring. As mentioned in earlier sections, a part of the coordination process is to reach agreement on respective roles, jurisdictional boundaries, provision of resources and responsibilities.

In many countries, the immediate constraint on ICAM is the prevalence of weak institutional capacities. Shortages of skills and experience are often less severe in subject areas related to sectoral disciplines than cross-sectoral ones (e.g. environmental and social sciences) and therefore it will be difficult to apply holistic and participatory approaches. These comparative strengths and weaknesses reflect earlier perceived needs in line ministries and research institutions when the need for economists trained in, for example, the valuation of natural resources, was not apparent. Staff weaknesses can be solved by retraining of selected staff, either in-country or outside the country and/or recruitment of suitably trained new staff.

FIGURE A.9

Information/indicator pyramid

Note: Measurements of events or phenomena produce raw data. After analyses, primary data produces statistics. Statistics become indicators when they are tied to a specific problem or application. If indicators are aggregated according to a formula, they become indices (e.g. Human Development Index, Air Pollution Index, UV Radiation Hazard Index, Water Quality Index).

Source: WRI, 1996.

A rainbow over the hills of the Blue Mountains, looking north from Keith Hill, Jamaica

2.3.6. Sustainability indicators

Indicators are increasingly used to provide a convenient description of the current state or condition of a resource, as well as to gauge performance and predict responses. They need to be developed according to their perceived applications and this requires reliable statistics and raw data.⁶²  Indicators are used to monitor and evaluate what is changing, the processes by which change is occurring and the sustainability of beneficial changes. Different types of indicators exist, depending on the scale (global, national, local) and the level of aggregation.

Indicators of ecological sustainability (e.g. land suitability, pollution impacts) can be combined with economic data to construct scenarios based on available information. By including in the cost of production the cost of the deterioration in the natural resource base, policy choices can be made aimed at mitigating the negative impacts on natural resources and this will help to allocate resources more efficiently. Placing a reasonable value on the costs and benefits of preserving natural resources is essential in order to make a workable estimate of externalities or indirect costs.

Human development indicators. Indices to measure human development and the quality of human life are proposed by the United Nations Development Programme (UNDP) Human Development Index. The index combines factors such as longevity (associated with health and nutrition) and educational attainment with income, to generate a weighted index of `essential' living standards. Factors of quality of life cover basic human biophysical needs such as food, clothing and shelter, and satisfaction of basic socio-economic needs, such as access to essential goods and services (health, education) and equity in employment, income and wealth distribution. But quality of life also includes activities that have an impact on the environment or on other factors, and that are perceived as benefits (e.g. recreation opportunities, biological diversity or aesthetics), costs or risks (e.g. exposure to, and magnitude of, environmental contamination or hazards).

Environmental indicators. The International Union for the Conservation of Nature and Natural Resources (IUCN) has developed indicators for conserving life-support systems and biological diversity, ensuring the sustainable use of renewable resources, minimizing the depletion of non-renewable resources and keeping within the carrying capacity of supporting ecosystems.⁶³ 

Performance indicators. There is a growing understanding that sustainability depends on the emphasis placed by development programmes on enhancing the capacity of groups, organizations or societies to understand and solve the problems they face. The indicators needed to measure changes in the capacity or the performance of groups, organizations or societies are not well established but efforts are beginning (e.g. the Organisation for Economic Co-operation and Development - OECD) to develop process-oriented indicators as well as effective systems and tools for performance reviews. In the case of monitoring, the question is whether only the `what' should be monitored (i.e. outputs and results) or also the `how' (the process as such - systemic, participatory, consensual - including the role and responsibilities of all the parties involved). Hence, performance indicators might include information on coordination mechanisms, performance incentives and standards, available financial resources, control over allocation, skills, information exchange mechanisms, etc.

Interdependence indicators. Efforts are also under way to develop indicators of dynamic relationships, where the most important indicator is the degree of interdependence between human beings and the natural environment. This approach is based on the recognition of the fact that individuals' `dependence' on local resources is related to the degree of capital mobility. For example, the flexibility entrepreneurs have within the globalized economy to move investments rapidly from one country to another. When capital is not mobile, tenants would tend to preserve the value of an environmental asset in time, and derive the exclusive benefits of their work and investments. When capital is mobile, and social constraints are lacking, the investor has little interest in preserving the ecosystem and the owner would tend, consciously, to continue an unsustainable practice (i.e. maximizing short-term yields) and then move on to another area to exploit (Weber, 1996).

Cow grazing near swamp at Tangalla, Sri Lanka

Sea-salt extraction, Thailand

Pressure-state-response indicators. The most widely used framework for sustainability indicators at present is the pressure/state/response (PSR) indicator⁶⁴  which addresses the chain of events that lead to environmental impacts:

• pressure refers to driving forces that create environmental impacts (e.g. a given agro-industrial process is decreasing water quality);
• state refers to the condition(s) that prevail(s) when a pressure exists (e.g. the result of decreased water quality is that fish die);
• response refers to the mitigation action(s) and levers that could be applied to reducing or eliminating the impacts (e.g. water treatment and technology adjustment would enhance water quality).

FIGURE A.10

The pressure-state-response (PSR) framework

The PSR framework provides a convenient representation of the linkages between the pressures exerted on natural resources by human activities (pressure box), the changes in quality of the resource (state box) and the responses of these changes as society attempts to release the pressure or to rehabilitate resources that have been degraded (response box). The interchanges among these form a continuous feedback mechanism that can be monitored and used for assessment of natural resource quality.

• Pressure indicators can be developed by using statistical (census) databases, often available nationally.
• State indicators can be developed from usually dispersed individual, specialized data banks (e.g. digitized soil maps), supplemented with data from other sources such as estimates obtained from physical process models (e.g. the Erosion Productivity Impact Calculator of the United States Department of Agriculture), remote sensing and related techniques (e.g. aerial photographs, field identification of indicator plants).
• Response indicators can be developed by evaluating activities undertaken in response to the problem identified. Information on these initiatives is available from government departments, the records of NGOs, companies, etc. and also from PRA inquiries.

Because of local requirements and priorities, indicators should be location-specific and geo-referenced at appropriate scales using geographic information system (GIS) techniques.

Source: extracted from FAO, 1997b

In response to the call made in Agenda 21 of the Earth Summit to develop and use indicators of sustainable development, the Commission on Sustainable Development has produced a set of methodology sheets for indicators, following the PSR framework. Those developed or in progress for coastal areas include three driving force-type indicators - population growth in coastal areas, discharges of oil into coastal waters and releases of nitrogen and phosphorus into coastal waters - and two state-type indicators - maximum sustainable yields for fisheries and algae index (UN, 1996). No response-type indicators are proposed but ICAM effectiveness in improving coastal ecosystems and livelihoods could be a useful consideration.

Pressure and response indicators are generally considered at sectoral (or subsectoral) level and therefore relate directly to the policy arena. State indicators relate to changes in the condition and quality of natural resources. The application of the PSR approach to ICAM entails identifying key coastal issues for each cluster of indicators, in particular for the policy-related questions that must be answered. After identifying the shortlist of strategic indicators associated with key issues (which would normally reflect priorities as perceived from the various stakeholders), targets for each indicator should be developed, as well as thresholds where the system may become unacceptable. Monitoring with reference to targets and thresholds makes it possible to assess sectoral performance in relation to coastal maintenance or degradation. In cases where reliable goals and thresholds cannot be developed, trends in performance still provide useful information.

The major shortcoming of the PSR framework is that it does not capture the interactions and trade-offs between the economic and environmental dimensions of the development equation. State indicators fail to capture processes, trends and performance. PSR relates better to the long term (e.g. when addressing long-standing issues, where pressures have been exerted for a long time, leading to a chronic `state of nature' that reflects a degree of dynamic equilibrium between pressure, response and state). The PSR concept does not capture the direction of the trend in the pressure and state, the rate of change of the pressure or state or the time lag between the moment the pressure is applied (or changed), and the moment at which the effect is fully reflected in the state. Garcia (1996) proposes to describe the situation of an exploitable system in terms of pressure, state and response, by indicators of level, change and structure.⁶⁵ 

Selection of indicators. Not everything that happens can or should be monitored. Data collection and monitoring should be pragmatic and based on selection criteria such as timeliness, relevance and cost-effectiveness (See Box A.16). In addition to agreement on selection criteria, consensus is required on the data and derivation methodology to be used in establishing indicators, including a delimitation of the allowable fluctuation of the indicator. Indicators could be directly representative, indicative of, or a proxy for, the factor considered important. Complex changes may be highlighted by choosing a limited number of suitable indicators that are regularly monitored and compared with previous readings back to the baseline for each one. It is therefore essential for baseline conditions to be established at the very outset for people's attitudes (both users' groups and advisory staff) and socio-economic and biophysical conditions. To determine the nature, direction and rates of change, assessments need to be done on a recurring basis and compared with baseline data. After each round of monitoring, the results are compared with the baseline condition, differences (if any) are analysed, trends identified and feedback provided to management.

While the development of sustainability indicators is at a relatively early stage, it is possible to design and implement systems that provide decision-makers with the information necessary for resource management and for anticipating, and acting upon, change. `Menus' of potential indicators have been developed for specific sectors (health, agriculture, environment). However, there is a tendency to put aside those checklists of potential indicators and rely instead on the clear identification of specific problems to be solved in each specific case. The clear and precise identification of criteria used to describe a specific problem should lead to the identification of the specific indicators of change. (Le Blanc, 1997).

One difficulty in selecting (and aggregating) indicators is related to value judgement. Scientific evidence and a precautionary approach, as well as considerations of local cultural preferences, should play a central role in the process of achieving agreement on indicators.

Villagers help to pull a fishing net, which has been set in a semi-circle, from open boats in the Arabian Sea about 500 m off the beach, India

Mapping and analysis of remote sensing data, India

2.4 THE POLICY AND PLANNING PROCESS IN ICAM

The ICAM process evolves through successive completion of cycles. Each cycle addresses management issues, formulates and implements strategies and plans, and monitors and evaluates performance.

The first cycle usually begins with the most urgent issues and has a limited geographical and institutional coverage. Through successive cycles, the scope and scale of the strategy and plan are increased to incorporate new and more complex problems and stakeholders. Performance review (including monitoring and evaluation) is an integral element throughout the process. Performance review not only suggests regular revisions and adjustments during the implementation phase, but represents the motor that moves ICAM plans into successive cycles. Thus, as achievements are consolidated and confidence is gained, there will be an evolution from a small ICAM (demonstration) project to an expanded application leading to a fully fledged, effective, national coastal programme.⁶⁶ 

The end products of the ICAM policy and planning process are the formulation and implementation of a strategy. As stressed earlier in this document⁶⁷  there is no single way to organize ICAM strategies and plans. Whether a given country chooses to start with a local demonstration project, coordinate `expanded' sectoral plans (that contain an ICAM part), or create an entirely new integrated plan, it is important that the process leading to the formulation of the coastal strategy involves all stakeholders so that any implementation route follows agreed goals and objectives.

These guidelines focus on the issues and requirements that lead to plan formulation. The assumption is that an appropriate strategic basis and plan(s) will lead to sound implementation.

FIGURE A.11

ICAM iterative process

The ICAM process should be viewed as long-term, continuous and iterative, as shown in Figure A.11. The process is divided into steps, for which individual definition varies slightly between authorities but that, in principle, are as follows:

• inception;
• performance review;
• data collection and research;
• analysis;
• strategy formulation;
• plan formulation/absorption into sectoral plans;
• plan implementation.

Throughout the process, negotiation will constitute a base for sound participatory decision-making, and conflict resolution should be based on the dominant cultural values. Negotiation, at different levels and involving a variety of actors, will be necessary between: the different views represented by sectoral planners; the different interest groups present in coastal communities; different population groups, with various expectations for solutions, who face a range of different institutional, operational and financial constraints; the needs felt by local actors and the normative needs as identified by the technical staff of collaborating institutions.⁶⁸ 

2.4.1 Inception

Concept paper. In general, ICAM is initiated with a concept paper. In most instances, the originating agency will have an appropriate mandate, for example, for regional planning or, perhaps, for the environment. One of the reasons for this is that such an agency would be likely to have a cross-sectoral mandate to institute the iterative process involving all the stakeholders likely to be involved. However, an inception paper may be produced by, for example, a sectoral agency or a group of individuals outside the public sector with a strong interest in the conservation and management of the coastal area; their aim would be to persuade other government agencies that integrated management is required.⁶⁹  The agency that initiates the ICAM process will not necessarily be the one that will subsequently lead it.

The inception paper should identify the reasons for adopting an ICAM approach, describe in broad terms what it is intended to achieve, identify the main actors (line ministries, local municipalities, resource users, NGOs, etc.), indicate how the proposal will be developed, identify a possible coordinating mechanism, and estimate the cost and time required to develop an ICAM strategy.

The preparation of this paper should be an iterative process in which it is developed and refined by government agencies in cooperation with all other key interested parties. It is important that all of the affected groups be identified early and invited into the process from the very beginning.

The decision to proceed should be taken by the government, including the line ministries with an interest in the planning and management of the coastal area(s) concerned. At this point, regional efforts or international assistance can play a catalytic role (Post and Lundin, 1996).

Committees. After approval has been given by the government, the line ministries involved, together with representatives of other stakeholders, might form a steering committee which will fulfil a guiding and facilitating function throughout the process. In addition to the steering committee, which will include senior officials representing their ministries and civil society group leaders, a management committee might be established, comprised of representatives of those with an active concern in the planning process, which will coordinate work on a day-to-day basis.

2.4.2 Performance review

The pitfalls of the main evaluation methods currently in use (ex post economic analysis, subjective scoring methods, impact evaluation and multicriteria analysis) are that they are usually carried out when programmes/projects have been completed and that they are weak in the evaluation of externalities and the effects on those who bear them, therefore they do not detect the longer-term impact of an initiative. While evaluation is based on results at, or soon after, project completion, externalities often become evident only after several years. Consequently, evaluation does not enable feedback during the implementation stage.

In the case of a long-term programme such as ICAM, it may be appropriate to carry out periodic monitoring and evaluation to provide information for the remaining period of implementation, as well as an input into the next generation of policy measures. To attain the highest level of participation and commitment, stakeholders could gradually become their own monitors and evaluators, after appropriate training. The context will determine the timing and smooth integration into the process evolution, the choice of methods and the contracting of the proper resources.

Performance review comprises participatory monitoring and evaluation⁷⁰. Performance review has two focuses: the assessment of the implementation process, with special concern for participants' and/or sectors' collaborative relationships; and the evaluation of preliminary results, including the technical quality of the work, the cost/benefit balance and the initial outcome of joint efforts to improve natural resource management.

Participatory monitoring is the systematic recording and periodic analysis of information that has been chosen by stakeholders. Its main purpose is to provide information during the life of the project, so that adjustments and/or modifications can be made if necessary. It is important that monitoring starts at the early stage of articulation and implementation. It will assist, initially, in refining the intended achievements expressed in the concept paper and, later in the process, in: redefining goals and objectives; developing monitoring questions; determining direct and/or indirect indicators that will answer the monitoring questions; deciding which information gathering tools are needed; who will do the monitoring and when periodic analysis will take place; modifying organizational arrangements; and reassigning resources. Downstream, it will assist in evaluating the progress of the process itself.

Participatory evaluation is an opportunity for stakeholders to stop and reflect on the past in order to make decisions about the future. It allows stakeholders to plan what is to be evaluated, decide how evaluation will be done, carry out the evaluation, analyse the information and present the evaluation results. Evaluation must involve all those associated in the project and their collective counsel should be elicited regarding the way in which the project can be improved in the next phase. Participatory evaluation takes into account overall and immediate objectives, their continued relevance and the effectiveness of the activities. Stakeholders are also required to review their own performance. As such, evaluation becomes part of the strategy as an immediate mid-course correction. Action is therefore inherent to the process and the evaluator is a process facilitator. In this way, there is an orientation towards the future and towards planning (and the investment of time and effort in change) and evaluation parallel planning.

The whole planning process needs to take account of issues such as: economic valuation of environmental costs and benefits; risk and uncertainty; anticipation of events that might seriously affect performance (including policy changes and other exogenous factors); and identification of the performance indicators to be monitored. Features vital to achieving sustainability include the generation of information during implementation, and building a consensus (or coalition) for change among the stakeholders, as well as creating problem-solving and institutional capacities. Participatory monitoring and evaluation can strongly contribute to achieving these. 

2.4.3 Data collection and research

Coastal profile. The product of the data collection and research stage is termed the coastal profile by some authorities and is referred to below by this term. The purpose of this stage is to collect the baseline information and seek to facilitate an understanding of the relationships between key factors in order to identify and prioritize management issues properly (Scura et al., 1992). A typical coastal profile includes information highlighting the problems and causes for concern in the coastal area, related to the social, biophysical, institutional and organizational characteristics of the area. This information is used in the subsequent stage (Analysis).⁷¹ 

The preparation of a coastal profile is analogous to the sector review, or stocktaking stage, in conventional sector studies. As in sector studies, it is important to focus on essential information.

Based on the criteria set during the initial performance review for information collection and indicator selection,⁷²  the information required may be categorized as being concerned with:

• biophysical characteristics of the area;
• social issues and related economic linkages, including level of investment in coastal areas;
• the governance framework, embracing laws and institutional characteristics.

Biophysical characteristics. The purpose of this part of the profile is to establish the environmental health of the area and its impact upon the coastal communities specifically and upon society at large.

Biological information will include: biological resources (e.g. biomass, primary and secondary productivity, diversity, distribution and abundance of living resources, indicator species); major habitats and ecosystems (including ecological relationships that determine productivity); reproduction sites (e.g. nurseries, exchange zones); and the presence of special species and areas (e.g. rare, threatened, endangered).

Physical information will include: geomorphology (coastal type and nature); coastal oceanography (tides, sedimentary dynamic); coastal climatology (winds, rainfall); hydrography (watersheds, sediment inputs); surface hydrology (hydric balance, soil occupation); topology hydrogeology (flux); and geochemistry (mineral elements).

While much of the above information will be provided by the economic sectors using coastal resources (e.g. agriculture will have readily available information on soil, topography, water supply, land use, climate; forestry will have information on the status of coastal forest resources and the carrying capacity for wildlife; fisheries will have information on patterns and trends in the magnitude and distribution of fish populations, water quality, changes in critical habitats, etc.), a particular effort should be made to provide information on patterns of natural resource use in space and time, flows, variability, resilience, interactions and impacts.⁷³ 

Social and economic issues. In this part of the profile the aim is to evaluate the impact of human activities on coastal ecosystems and the demand put on coastal resources. Human activities in terms of population (de-mographic occupation, employment), infrastructures, economic and qualitative values of resource use patterns (e.g. urbanization, industrialization, tourism, mining, fisheries, agriculture), land and sea tenure, existing types of management, and historic and current use patterns, will be assessed.

Social problems and their causes will be identified. In particular, attention should be focused on problems that arise from actual or potential competition for resources (or conflict over space), resource dependency, the incidence of externalities, and relevant economic linkages. Different user types and priority needs, potential benefits, constraints, the number of people deriving livelihoods from coastal resources and alternatives should also be considered.

Measurement of the contribution of coastal activities to household income could be made by establishing baseline data on: return on capital; return on labour; return on land; gross returns; cash expenditure; labour demand through the year; and assessment of economic viability and risks. These will be used to monitor change through periodic reviews.

The assessment of factors that affect decisions on the use of coastal resources includes: market distortions and the effects of policies (e.g. prices, government intervention, subsidies, trade barriers and exchange rates); income distribution; land and other assets; and political accounting.

Governance characteristics. The purpose of this part of the profile is to identify the legal⁷⁵  and institutional mechanisms that form the governance framework in order to identify constraints and opportunities for ICAM. A tabulation by the Untied States Environment Protection Agency of institutional information that might be sought includes the following:

• components of the institutional structure (e.g. line ministries, other relevant official bodies such as provincial and local administrations and statutory bodies, community organizations, NGOs), including their institutional mandates, financial and human resources applied to the ICAM area and links with other bodies;
• the administrative and decision-making processes, including legislation and regulations, and the level of enforcement;
• public health and water quality standards and regulations;
• management policies for renewable resources (agriculture, forestry, fisheries, habitat protection, water, etc.);
• management policies for non-renewable resource (coastline management, minerals and oil extraction, etc.);
• urban, industrial, transport and infrastructure development policies;
• finance mechanisms relevant to the ICAM area (sources of revenue and revenue management);
• public investment related to ICAM;
• land-use planning.

Specific role of sectoral agencies. The roles of the line ministries in this stage are to ensure that available information is fed into the process and sectoral issues and that concerns are adequately taken into account. Resource planners and managers from relevant line ministries or agencies are valuable sources of information. Sector studies prepared by