159I4 Auus[ 199% :..~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~. ... ...... GUIDELINES FOR INTEGRATED COASTAL ZONE MANAGEMENT Jan C. Post and Carl G. Lundin, Editors . . - - ! . W. a,.~ - w A~~~~~~~~~~~~~~~~~~~~A Envi 911taly Sustainable Development Stt4-"' ESD - - # , r ~~~~~~~~~~~~HIc ESD Proceedings Series 1 Culture and Development in Africa: Proceedings of an International Conference (Also in French) 2 Valuing the Environment: Proceedings of the First Annual International Conference on Environmentally Sustainable Development 3 Overcoming Global Hunger: Proceedings of a Conference on Actions to Reduce Hunger Worldwide 4 Traditional Knowledge and Sustainable Development: Proceedings of a Conference 5 The Human Face of the Urban Environment: A Report to the Development Community 6 The Human Face of the Urban Environment: Proceedings of the Second Annual World Bank Conference on Environmentally Sustainable Development 7 The Business of Sustainable Cities: Public-Private Partnerships for Creative Technical and Institutional Solutions 8 Enabling Sustainable Community Development 9 Sustainable Financing Mechanisms for Coral Reef Conservation: Proceedings of a Workshop 10 Financing Environmentally Sustainable Development: Proceedings of the Third Annual World Bank Conference on Environmentally Sustainable Development (Forthcoming) 11 Servicing Innovative Financing of Environmentally Sustainable Development 12 Ethics and Spiritual Values and the Promotion of Environmentally Sustainable Development (Forthcoming) ESD Studies and Monographs (formerly Occasional Paper) Series I The Contribution of People's Participation: Evidence from 121 Rural Water Supply Projects 2 Making Development Sustainable: From Concepts to Action 3 Sociology, Anthropology, and Development: An Annotated Bibliography of World Bank Publications 1975-1993 4 The World Bank's Strategy for Reducing Poverty and Hunger: A Report to the Development Community 5 Sustainability and the Wealth of Nations: First Steps in an Ongoing Journey (Forthcoming) 6 Social Organization and Development Anthropology: The 1995 Malinowski Award Lecture 7 Confronting Crisis: A Summary of Household Responses to Poverty and Vulnerability in Four Poor Urban Communitites (Also in French and Spanish) 8 Confronting Crisis: A Comparative Study of Household Responses to Poverty and Vulnerability in Four Poor Urban Communities 9 Guidelines for Integrated Coastal Zone Management 10 Enabling the Safe Use of Biotechnology: Principles and Practice Related ESD Publications Monitoring Environmental Progress: A Report on Work in Progress Nurturing Development: Aid and Cooperation in Today's Changing World Toward Sustainable Management of Water Resources Water Supply, Sanitation, and Environmental Sustainability: The Financing Challenge The World Bank Participation Sourcebook GUIDELINES FOR INTEGRATED COASTAL ZONE MANAGEMENT Jan C. Post and Carl G. Lundin, Editors Environmentally Sustainable Development Studies and Monographs Series No. 9 ESD The World Bank, Washington, D.C. Copyright (© 1996 The International Bank for Reconstruction and Development/THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A. All rights reserved Manufactured in the United States of America First printing August 1996 This report has been prepared by the staff of the World Bank. The judgments expressed do not necessarily reflect the views of the Board of Executive Directors or the governments they represent. Cover photo by Jan C. Post. Sustainable use of the coastal waters in the Republic of Korea is to a considerable extent in the hands of cooperatives of women, who dive for seafood and may restock the waters with hatchery-raised juveniles, such as abalone. Jan C. Post is the senior ecologist in the Environment Department of the World Bank. Carl G. Lundin is a marine resources specialist in the same department. Library of Congress Cataloging-in-Publication Data Guidelines for integrated coastal zone management / Jan C. Post and Carl G. Lundin, editors. p. cm. - (Environmentally sustainable development studies and monographs ; no. 9) Includes bibliographical references. ISBN 0-8213-3735-1 1. Coastal zone management. 2. Coastal zone management-United States. 3. Coastal ecology. I. Post, Jan C. 1946- . II. Lundin, Carl G., 1964- . III. Series. HT391.G824 1996 333.91'7'0973-dc2O 96-32888 CIP @ Printed on recycled paper. Contents Foreword v Acknowledgments vi INTRODUCTION 1 CHAPTER 1 Issues in Coastal Zone Management: What Is the Coastal Zone? 3 The Value of Coastal Resources 3 Growth in Coastal Populations 4 A New Challenge 4 CHAPTER 2 Principles of Integrated Coastal Zone Management 5 CHAPTER 3 Guidelines for Development of ICZM Programs 7 Triggering the Need for ICZM 7 Who Gives the Go-Ahead? 7 Who Does What? Roles and Responsibilities in the Coastal Zone 8 Formulation of the Plan 10 Program Implementation 12 Monitoring, Evaluation, and Enforcement 12 ICZM and National Development Plans, Funding Considerations, and International Aspects 13 References 15 Foreword In both developed and developing countries the Netherlands, of which the present guidelines are coastal zone is likely to undergo the most pro- an expansion and update. found change in the near future. Already more A published paper, "Africa: A Framework for than 60 percent of the world's population lives Integrated Coastal Zone Management," identi- within 60 km of the coast. By the turn of the cen- fied ICZM as one of the main tools for the imple- tury two-thirds of the population (3.7 billion) in mentation of investment projects. Increasingly, developing countries is expected to occupy the the governments of borrowing countries include coast. Consequently, unless careful environmen- coastal zone planning needs in Bank loans such tal management and planning are instituted, se- as the Sustainable Coastal Resource Development vere conflicts over coastal space and resource Project in China (under preparation), and the utilization are likely, and the degradation of natu- Thailand Coastal Resources Management Project. ral resources will close development options. These guidelines are a conceptual presenta- Recognizing these threats, the 1992 United Na- tion of how Integrated Coastal Zone Management tions Conference on Environment and Develop- may be applied to contribute to the evolving prac- ment (UNCED) in Rio de Janeiro recommended tice of environmentally sustainable development. that Guidelines on Integrated Coastal Zone Man- agement (ICZM) be drafted to minimize conflicts and to provide for optimal sustainable resource Ismail Serageldin use. In response to this request the "Noordwijk Vice President Guidelines" on ICZM were presented at the 1993 Environmentally Sustainable Development World Coast Conference in Noordwijk, The The World Bank v Acknowledgments These guidelines have been prepared from con- andAgricultureOrganizationoftheUnitedNations tributions by a number of consultants, primarily (FAO), and The World Conservation Union (IUCN), Professor Robert W. Knecht, University of Dela- and were supported by a Trust Fund from the Swed- ware; Dr. Chua Thia-Eng, Coastal Management ish International DevelopmentAuthority. Contribu- Center, Philippines; and Dr. Olof Linden, regional tors to the Technical Workshop on Coastal Zone coordinator for the Swedish Agency for Research Management Guidelines, held at the World Bank Cooperation with Developing Countries' Marine in November 1992, are also acknowledged. Sciences Program (SAREC). The guidelines have This volume was edited byAlicia Hetzner and been developed in consultation with United Na- Virginia Hitchcock, and desktopped by Jim tions Environment Programme (UNEP), Food Cantrell. Joyce Petruzzelli designed the cover. vi Introduction oastal zones throughout the world tives for the development and management of the have historically been among the coastal zone. ICZM should ensure that the pro- most heavily exploited areas because of cess of setting objectives, planning and imple- their rich resources. In coastal countries today mentation involves as broad a spectrum of inter- an estimated half of the total populations live in est groups as possible, that the best possible com- coastal zones, and migration from inland areas promise between the different interests is found, to the coast is increasing. Not surprisingly, there and that a balance is achieved in the overall use is also a sharp conflict between the need for im- of the country's coastal zones. mediate consumption or use of coastal resources Coastal zone management as a formal govern- and the need to ensure the long-term supply of mental activity was first undertaken in the United those resources. In many countries this conflict States in 1972 with the enactment by the U.S. has already reached a critical stage, with large Congress of the Coastal Zone Management Act. parts of the coastal zone polluted from local or Results of the U.S. effort are generally thought to upland sources, fisheries severely degraded or de- be positive. stroyed, wetlands drained, coral reefs dynamited A number of other nations initiated coastal and beaches long since ruined for human enjoy- management efforts of one type or another in the ment. If these coastal resources are to be main- late 1970s and early 1980s. In fact, terms such as tained and restored, effective action is urgently coastal zone management, coastal resource man- needed. To answer this need, a management sys- agement, and coastal area management have tem has been designed: Integrated Coastal Zone been used virtually interchangeably to describe Management (ICZM). such efforts. Many of these programs, however, ICZM is a process of governance and consists dealt with a single sector-say, coastal erosion or of the legal and institutional framework neces- shoreland use. Most did not attempt to deal com- sary to ensure that development and manage- prehensively with the entire coastal zone and its ment plans for coastal zones are integrated with full range of resources. environmental (including social) goals and are Beginning in the mid-1980s, as the difficulties made with the participation of those affected. The inherent in using a single sector approach in at- purpose of ICZM is to maximize the benefits pro- tempting to manage something as complex as the vided by the coastal zone and to minimize the coastal zone became more apparent, the concept conflicts and harmful effects of activities upon of Integrated Coastal Zone Management came each other, on resources and on the environment. into being. ICZM differs from the earlier form of It starts with an analytical process to set objec- CZM in that it attempts a more comprehensive I 2 Guidelinesfor Integrated Coastal Zone Management approach-taking account of all of the sectoral urged that it be begun as early as possible to in- activities that affect the coastal zone and its re- crease preparedness to deal with the potentially sources and dealing with economic and social is- far-reaching impact of climate change upon the sues as well as environmental/ecological con- coastal zone. cerns. The goal, of course, is to harmonize these At the onset several caveats are necessary with activities in such a way that all of them are con- regard to these guidelines. First, a single set of sistent with and support a broader set of over- guidelines cannot fit all situations. Although an arching national goals for the coastal zone. effort has been made to reflect varying govern- Encouragement for coastal nations to develop mental, economic, and environmental contexts, their own integrated coastal zone management obviously all of the countless possibilities cannot infrastructures emerged during the preparation be included. Second, given the governmental for the United Nations Conference on Environ- nature of ICZM, these guidelines have been pre- ment and Development (UNCED) that culmi- pared from a governmental/public policy per- nated in the Earth Summit held in Rio de Janeiro, spective. This means that they emphasize insti- Brazil in June 1992. The Agenda 21 Action Plan tutional, policy, legal, and regulatory aspects and, adopted at Rio by all nations assigns a promi- to a lesser extent, economic and ecological fac- nent role to ICZM in the oceans part of the docu- tors. ment (chapter 17). The Intergovernmental Panel It is likely that other, specialized sectoral and on Climate Change (a scientific body) and the In- issue-specific guidelines will be developed later tergovernmental Negotiating Committee on Glo- by other agencies such as for fisheries, agricul- bal Climate Change (a negotiating and policy ture, forestry, port construction, pollution, and body) have also recently endorsed ICZM and tourism. Chapter 1 Issues in Coastal Zone Management: What Is the Coastal Zone? Tr he coastal zone is the interface where * Coastal ecosystems may act to moderate the the land meets the ocean, encompass- impacts of pollution originating from land (for ing shoreline environments as well as ad- example, wetlands absorbing excess nutrients, jacent coastal waters. Its components can include sediments, human waste). river deltas, coastal plains, wetlands, beaches and * The coast attracts vast human settlements due dunes, reefs, mangrove forests, lagoons, and to its proximity to ocean's living and nonliv- other coastal features. The limits of the coastal ing resources, as well as marine transporta- zone are often arbitrarily defined, differing tion and recreation. widely among nations, and are often based on jurisdictional limits or demarcated by reasons of The Value of Coastal Resources administrative ease. It has often been argued that the coastal zone should include the land area from Coastal resource systems are valuable natural the watershed to the sea, which theoretically endowments that need to be managed for present would make sense as this is the zone where bio- and future generations. Coastal zones offer physi- physical interactions are strongest. For planning cal and biological opportunities for human use, purposes this definition is often quite impracti- and ICZM tries to find the optimum balance be- cal, however, as huge areas containing whole tween these uses based on a given set of objec- countries would fall under this definition. tives. Concern is growing in particular about the For practical planning purposes, the coastal destruction of natural coastal ecosystems by the zone is a special area, endowed with special char- demands placed upon them by population and acteristics, whose boundaries are often deter- economic growth. These natural ecosystems have mined by the specific problems to be tackled. Its considerable value for sustainable extractive and characteristics are: nonextractive use which is often undervalued in * It is a dynamic area with frequently changing comparison with other often non-sustainable biological, chemical, and geological attributes. uses. These guidelines therefore emphasize natu- * It includes highly productive and biologically ral coastal ecosystems and sustainable use of the diverse ecosystems that offer crucial nursery coastal zone with maximum preservation of en- habitats for many marine species. vironmental quality. * Coastal zone features such as coral reefs, man- In nature the coastal system maintains an eco- grove forests, and beach and dune systems logical balance that accounts for shoreline stabil- serve as critical natural defenses against ity, beach replenishment, and nutrient generation storms, flooding, and erosion. and recycling, all of which are of great ecological 3 4 Guiidelinesfor Integrated Coastal Zone Management and socioeconomic importance. These natural sys- of crucial importance for the maintenance of the tems are umder increasing threat from unmanaged quality and productivity of the coastal zone, as human activities such as pollution, habitat destruc- indeed of the rest of the planet. tion, and overexploitation of resources. Increased coastal resource use conflicts will in- In coastal rural areas fishing of nearshore wa- evitably intensify social and economic develop- ters and farming of coastal lowlands are the major ment problems. Problems of multiple jurisdiction economic activities supplying fish and agricultural and competition between users of resources with- products for subsistence of the inhabitants and out the benefit of a conflict resolution mechanism, urban centers. Activities that add further value to inadequate regulations for protecting resources, coastal resources include recreation and tourism, and the lack of nationally or locally adapted coastal which have become major sources of domestic and policies for informed decisionmaking, will trans- foreign exchange earnings in many coastal nations. late into a loss of capability for future sustainable The intrinsic economic value of coastal re- development. As the resource base is depleted, sources represents a "capital" investment for conflicts may reach alarming dimensions to the humankind by nature. The goods and services point of threatening human life and public order. derived from them are the "interest" generated by the investment. Hence, the destruction of the A New Challenge resource base means depletion of the "capital" and therefore less interest and the ultimate ex- Storm surges caused by typhoons, cyclones, hur- haustion of what nature has freely provided. ricanes, and coastal storms are familiar natural phenomena that periodically inundate some Growth in Coastal Populations coastal regions. Recently, the international sci- entific community has recognized as real the con- Population growth in the coastal zone is a major cern over human-induced global warming of the concern. The world population is expected to atmosphere, leading to climate changes and sea grow at an exponential rate from 5.8 billion in level rise. The latter will in particular affect low- 1995 to 8.5 billion by the year 2025. It is projected lying coastal regions. Further, an increase in mean to reach 11 billion in a century's time, with 95 sea surface temperatures may increase the fre- percent of the growth occurring in developing quency of hurricanes as well as expand the area countries. More than 50 percent of the world of their influence. population is already concentrated within 60 km The global scientific community is predicting of the coast while there is considerable migration an acceleration in sea level rise associated with of population to the coast from inland areas. In atmospheric warming. The coastal zones and developing countries, by the turn of this century their human settlements may not only be affected two-thirds of the population (3.7 billion) is ex- by changes in sea level, temperature, rainfall, pected to live along the coast. humidity, winds and, perhaps, storm frequency, This growth will exacerbate already severe but also by changes in groundwater level, salin- coastal-use conflicts in terms of land and water ity, ocean circulation, sediment flux, and storm space and resource utilization. The negative im- and erosion patterns. An ICZM system in place pacts of increased human settlement and indus- could prepare for such an eventuality and mini- trial development are also more acutely felt in mize resource and human losses. It can also be the coastal zone since it is at the receiving end of designed to safeguard the natural systems that land- and water-based pollution. Compounding provide protection from high seas by managing the problem, the coastal zone is often subject to indiscriminate development activities that put overlapping governance of local, provincial and greater numbers of people and property at risk. central governments resulting in interagency con- Environmentally sound responses to reduce flicts and unclear policy concerning resource the vulnerability of coastal communities and development and management and environmen- coastal resources to global climate and sea level tal protection. In many countries, large parts of changes require long lead times for planning the coastal zone area are privately owned. Stabi- purposes. Thus, even though the effects of some lizing population through family planning pro- of these changes may be decades away, now is grams as an integral part of ICZM, therefore, is the time to consider appropriate action. Chapter 2 Principles of Integrated Coastal Zone Management C oastal nations should be in a position * Employs a multidisciplinary, holistic systems to develop an ICZM structure that is perspective, which recognizes the intercon- uniquely suited to that nation-to the na- nections between coastal systems and uses. ture of its coastal areas, its institutional and gov- * Maintains a balance between protection of ernmental arrangements, and its traditions and valuable ecosystems and development of cultures and economic conditions. Nonetheless, coast-dependent economies. It sets priorities some currently accepted principles and charac- for uses, taking account of the need to mini- teristics associated with the ICZM concept are mize the impact on the environment, to miti- useful to describe. gate and restore if necessary, and to seek the ICZM focuses on three operational objectives: most appropriate siting of facilities. These are * Strengthening sectoral management, for in- the activities contained in Environmental Im- stance through training, legislation, and staff- pact Assessments. ing - Operates within established geographic lim- * Preserving and protecting the productivity its, as defined by governing bodies, that usu- and biological diversity of coastal ecosystems, lly aslde by coverces. mainly through prevention of habitat destruc- ally include all coastal resources. tion, pollution, and overexploitation * Seeks the input of all important stakeholders * Promoting rational development and sustain- to establish policies for the equitable alloca- able utilization of coastal resources. tion of space and resources in the coastal zone. An appropriate governance structure is essen- ICZM's distinguishing characteristics are that it:. appforisuc de n and oversight. * Moves beyond traditional approaches, which tilfrsc eiinaigadoesgt teMoves beyonctoradlyoritional ap aches, whic * Is an evolutionary process, often requiring it- tend to be sectorally oriented ing erative solutions to complex economic, social, with a single factor) and fragmented In char- acter and seeks to manage the coastal zone as environmental, legal, and regulatory issies. a whole using an ecosystem approach where * Integrates sectoral and environmental needs. possible. ICZM should be implemented through spe- * Is an analytical process that advises govern- cific legal and institutional arrangements at ments on priorities, trade-offs, problems, and appropriate levels of the government and the solutions. community. * Is a dynamic and continuous process of ad- * Provides a mechanism to reduce or resolve ministering the use, development, and protec- conflicts that may occur, involving resource tion of the coastal zone and its resources to- allocation or use of specific sites as well as the wards democratically agreed objectives. approval of permits and licenses. 5 6 Guidelinesfor Integrated Coastal Zone Management * Promotes awareness at all levels of govern- Some of the management actions selected will ment and community about the concepts of involve strengthening of institutional arrange- sustainable development and the significance ments and empowerment of local authorities; of environmental protection. It is proactive reiterating customary rights and strengthening (incorporating a development planning ele- community organization; developing sustainable ment) rather than reactive (waiting for devel- livelihoods as alternative employment; enforcing opment proposals before taking action). regulatory measures to control new entrants to ICZM also embraces certain general principles coastal zone fisheries; curtailing destructive fish- in the course of developing the program by a ing practices; and promoting awareness of the given nation. Note that most of the principles concepts and practice of sustainable development listed here are among the recommendations con- at all levels of government and in the affected tained in UNCED's Agenda 21 action program. communities. These include the following principles: An important part of the ICZM process is to e Precautionary build understanding and a strong political alli- * Polluter pays ance among the various concerned sectors of the * Proper resource accounting coastal communities. Adoption of strong regu- * Transboundary responsibility latory measures such as those involving the "pol- * Intergenerational equity. luter pays" and "precautionary" principles, the A key part of the formulation of an ICZM pro- implementation of user fees, limiting access to gram is the development of the specific policies and exploitation of (mostly living) resources, the and goals that are to be the central objectives of imposition of Environmental Impact Assessment the ICZM program in question. Clearly, there will requirements, and other mitigating measures will be a close relationship between the kinds of requireconvincingjustification. Publiceducation coastal problems that trigger the need for an and community mobilization will be required to ICZM program and the policies and goals se- reduce resistance from some of the potentially af- lected for that program. fected interest groups. While all phases of the process of formulating All the policies, goals, and management ac- an ICZM program should be "transparent," it is tions that will come to make up an ICZM pro- of the utmost importance that the policy and goal gram are not necessarily decided upon and put setting aspects be fully open and easily accessible in place during the initial program formulation to the affected coastal stakeholders and the in- stage. Indeed, ICZM is meant to be a dynamic terested public. Open public meetings that allow process-one that is designed to be as proactive for detailed discussion and questions, supported as possible within the limits of the data and in- by clear and understandable documentation, formation available at the time the program is by' developed. But unanticipated events inevitably should be a part of the deliberations that lead to r * r e the selection of policies and goals. occur: new coastal resources are discovered, new uses of the coastal zone are proposed, urgent The ean adpte toachive he eleted problems and coastal resource depletion sud- goals and policies will include new and strength- denlyemerge. IcZMa fundamenll,isn prcs enedreglatry pogrms,zontionschmesfor denly emerge. ICZM, fundamentally, is a process ened regulatory programs, zonation schemes for and as such it can deal on a reactive basis as well. partitioning the coastal zone into areas for par- Hence, new (or revised) policies and new (or re- ticular uses and activities, new management pro- vised) goals can be set by the body overseeing grams tailored for particular resources (for ex- the ICZM program to deal with such unexpected ample,, coral reefs, mangroves) or particular sites developments as they occur. (a given bay or estuary), action programs aimed Finally, it is important that the plan formula- at correcting and/or restoring degraded coastal tion process be completed in a reasonably short resources (damaged wetlands, for example) or time. The energy and momentum generated in solving coastal problems (coastal erosion), and the early stages of initiating the plan should not action programs targeted at stimulating new be lost. Stakeholders and government agencies types of economic development in the coastal can lose interest if the plan formulation process zone. is overly extended. Chapter 3 Guidelines for Development of ICZM Programs Av ny one of a number of problems can * Perceived economic opportunities associated trigger the need for a more effective, with new forms of development in the coastal etter integrated approach to the man- zone agement of a given coastal area, that is, for ICZM. * Conflicts of interest among user groups. Typically, some major crisis or event precipitates These "triggering" conditions do not have to action by awakening the stakeholders to the ur- be present throughout a nation's coastal zone. gency of a problem or condition. Governments Indeed, more typically coastal resource depletion then become involved and seek ways to remedy or environmental problems first occur at a par- the problem. Unfortunately, given human nature, ticular location and the first recognition of the a decision to embark upon a major management seriousness of the problem may be by local stake- strengthening and improvement effort such as the holders or local government officials in that area. ICZM process is seldom undertaken in advance To the extent that local governments are prepared of the appearance of major problems and/or con- to address the problems in the coastal zone, this flicts, in spite of the fact that the problems are can start the ICZM process before the national likely to be more tractable and the solutions less government gets involved, through the drafting costly at an earlier stage. Many coastal problems of an initial concept paper, for instance. are not calamities but creeping disasters such as pol- lution, erosion and disappearance of biodiversity. Who Gives the Go-Ahead? Triggering the Need for ICZM In virtually all governments formal approvals are required to initiate new programs, especially Below are a few different kinds of coastal prob- those requiring significant realignments of insti- lems, or opportunities, that can trigger the ICZM tutional responsibilities, the establishment of new program: organizations or the expenditure of important * Desire to increase the economic benefits flow- sums of money. Generally speaking, a concept ing from the use of coastal zone resources paper or "decision document" is prepared which * Serious resource depletion problems lays out the need for the new program (the prob- * Increasing pollution of the coastal and ocean lems to be addressed), spells out what it is in- environment tended to accomplish, indicates how the program * Loss of or damage to productive coastal eco- will be developed and by whom, and shows how systems much time and money will be required. At this * Increasing losses of life and property from stage, since the document is only requesting ap- natural coastal hazards and disasters proval to develop an ICZM plan, it will not be spe- 7 8 Gutidelinesfor Integrated Coastal Zone Management cific regarding the final design of the ICZM pro- coastal zone and its resources (stakeholders), and gram itself but rather will specify the approach for the general public. The key to success is in- to be undertaken in the development of such a volvement of all parties and demonstration that plan. The detailed structure of the ICZM pro- the ICZM program is in the long term interest of gram will be decided during the course of the de- as large a number of people as possible. velopment of the plan itself. Ideally, the prepara- tion of the concept paper should be a collabora- The Interagency Coordinating Mechanism tive effort among the government agencies (lo- cal and national) that will be participants in the Several institutional approaches are possible to ICZM plan development process and later, in the perform this task, including the: ICZM program itself. Coastal stakeholder groups * National planning agency should also be invited to review the proposal at * Formal establishment of an interagency or an early stage. It is important that all of the af- interministerial council fected groups be identified early and be invited * Creation of a special coordinating commission into the process from the very beginning of the or committee work. * Formal designation (by the chief executive or The decision to accept the recommendations the legislature) of one of the line agencies or contained in the concept paper and to proceed ministries to act as "lead agency" and to over- with the development of an ICZM program for a see an interagency coordination process. given coastal area needs to be taken by the gov- The main purpose of the coordination mecha- ernment agency(s) having responsibility for the nism is to: planning and management of the coastal areas * Promote and strengthen interagency and in- in question. If the coastal areas of an entire na- ter-sectoral collaboration tion are involved, this will be either a sectoral * Reduce interagency rivalry and conflicts agency (fisheries, natural resources, environment) * Minimize duplication of functions of line agen- acting on behalf of the national government, the cies national planning office, or a still higher office * Provide a forum for conflict resolution among depending on the assignment of responsibilities sectors within the national government itself. At this * Monitor and evaluate the progress of ICZM point regional efforts or international assistance projects and programs can play a catalytic role. * Implement actions resulting from the evalua- tion exercise. Who Does What? Roles and Responsibilities The interagency coordination entity oversees in the Coastal Zone the implementation and operation of the ICZM program and has general management and sup- Much of the coastal zone and the adjacent ocean port responsibilities, particularly with respect to: and most of their resources are usually under * Coordination of planning public ownership. Therefore, programs to man- * Establishment of zonation schemes and imple- age those resources and areas are operated by mentation of other management actions governments for the benefit of their people. Typi- * Environmental impact assessments cally, particular government ministries, depart- * Human resources development ments, and/or agencies are responsible for par- * Transnational issues ticular resources or uses. However, in some coun- * Budget coordination tries much of the coastal zone is privately owned * Political accountability. and attempts by the government to get involved These are functions that are normally beyond in the management of private lands can be a the management responsibilities of individual source of conflict. The military can also be a line agencies. major player in ICZM issues, given its often ex- tensive control of key coastal areas. National (Central) Government In an ICZM program, important roles will con- tinue to exist for specialized agencies at both the While the initial impetus to adopt an ICZM pro- national and local governmental levels, for re- gram can come from various sources, the active search institutions, for users and owners of the support of the national government is crucial to Guidelines for Development of ICZM Programs 9 the eventual success of the effort. Furthermore, in the collection and analysis of data concerning the national government usually provides the coastal resources, environmental degradation, funding to launch the program but sometimes it mitigation strategies, new economic development will be externally funded. The expertise and da- possibilities and the like. tabases for coastal resource and environmental information and some or all of the existing man- Coastal Stakeholders agement and regulatory authority usually rests with individual departments of the national gov- Coastal stakeholders are individuals or groups ernment. of individuals involved in activities which take place in the coastal zone. In many cases, the eco- State Government nomic survival of such stakeholders depends upon the continued health and productivity of In large federally organized countries such as the coastal zone. Coastal stakeholders also in- Australia, Brazil and India, the responsibility for clude individuals or groups who place a high the management of a particular coastal zone of- value on the aesthetic, touristic, and recreational ten rests with the "state" governments and is value of the coastal area. It is important, there- funded by them. In these cases it may be the state fore, that coastal stakeholders become intimately government which initiates and manages the involved in the development and implementa- ICZM process. tion of the ICZM process to the point that they feel an "ownership" in the process. Much of the Line Agencies and Ministries drive and momentum necessary to initiate and sustain an ICZM process must come from this group. lThe stakeholders must help generate the In most cases, the line agencies or ministries with goup. The stakehocders mustghelp generat specialized sectoral missions are at present man- ment policymakersa aging coastal resources. These agencies gener- ally possess the best data and expertise in the General Public nation in their particular fields (for example, fish- eries management, control of coastal erosion, Putting an effective ICZM program in place usu- management of offshore oil and gas operations, ally requires some change in the way certain gov- etc.) and will, therefore, be essential participants ernment agencies do business and change in the in the ICZM process. way certain resources are managed. These changes could be controversial especially among Local Governments certain stakeholders who may see reduced in- comes if the new program is adopted. A well- In nations having several levels of government, informed public supporting the changes called the local level is the one which is "closest" to the for in the ICZM program can be an effective coun- coastal zone and its problems and opportunities. terbalance to such narrowly-based opposition. The local government and community are likely Once the formal approval to develop an ICZM to be most concerned and most affected by the plan is received, a team is formed to undertake ecological and economic health and productiv- the work. Such a team should be multi-disciplin- ity of the coastal zone and most impacted by poor ary and include experts in coastal management, development and/or environmental degradation. regional planning, resource economics, environ- Many of the "stakeholders" in the coastal zone mental management, and ecology. Other special- are constituents of the local government. Clearly ists are needed but can generally be borrowed then, local/provincial governments must also be from sectoral government agencies (for example, fully involved and committed to the ICZM process. fisheries experts, specialists in coastal erosion, coastal engineers, lawyers specializing in envi- Research Institutions ronmental legislation, etc.). A typical ICZM co- ordinating body could include: A sound ICZM program must be based on good Lead agency: President's or prime minister's of- data and information. If appropriate capabilities fice or powerful line ministry (not necessarily are not present within government agencies, uni- the environment ministry/department) or versities or research institutions can often assist possibly a separate agency 10 Guidelines for Integrated Coastal Zone Management Participating ministries: Treasury, fisheries, ag- * Develop recommendations for policies, goals, riculture, transportation/ports, urban devel- and projects to include in the ICZM manage- opment, physical planning, forestry, environ- ment program. ment, oil and gas, navy/military/coast guard, * Design appropriate monitoring and evalua- tourism, energy tion systems. Local governments: Town or city authority, pub- * Establish timetable, approach, and division of lic works company, district, state or depart- labor. ment Stake holders: Fisherfolk, businesses, hotels, agri- Step 3: Formtal Adoption by the Government of the culture organizations, park or reserve manag- ICZM Program ers, nongovernmental organizations (NGOs) of * Establish the interagency coordinating mecha- various types.nim Formulation of the Plan ~*Approve staffing and organizational changes that may be required. The verll efor indeveopig, mpleentng, * Adopt policies, goals, new management mea- and then operating an ICZM program can be ac- sures, and inital projects. * Enact, probably by legislation, coastal zone complished in different ways. An example is magentbudrsad,ipoilet given below. ~~~~this stage, a zoning scheme. * Approve the funding allocation for the ICZM Step 1: Initiating the Effort porm * Recognize the need for improved manage- Step 4: Operational Phase ment through consultative meetings with key agencies and stakeholders. The ICZM program becomes operational * Prepare a concept paper outlining the need when: for ICZM. * An interagency coordinating body begins * Approve development of an ICZM program. oversight of ICZM process and programs. * Create a team to formulate the ICZM plan * New or revised management programs come through review of institutional capabilities, into effect. * Individual sectoral line agencies continue to S;tep 2: Formlulating the ICZM Plan perform their regulatory and management re- sponsibilities but now as a part of the ICZM * Assemble necessary information and data on program. the physical, economic, and social character- * Specific projects are designed and undertaken istics of the coastal zone. in connection with new economic opportuni- * Prepare a plan for public participation in the ties in the coastal zone. ICZM process. * New management mechanisms are enforced * Analyze and assess management problems by appropriate authority. (causes, effects, solutions). * A monitoring and evaluation program is ini- * Set priorities to tackle problems and take into tiated. consideration the technical, financial, and Some of the more important steps listed above staffpower feasibility, are discussed in greater detail below. * Analyze feasibility of new economic develop- ment opportunities. Creation of Plan Formulation Team * Consider coastal zone management bound- aries and formulate recommendations. To the extent possible, the plan formulation team * Consider new management measures, zona- should be composed of in-country staff seconded tion schemes, and strengthened regulatory from key government agencies having important programs. management roles regarding coastal resources * Analyze and assess institutional capacities; and the coastal zone. All of the key agencies, lo- develop options for the interagency coordi- cal and national, should be represented. Ideally, nating mechanism. the team should be directed by someone repre- Gutidelines for Development of ICZM Programs 11 senting a higher policy level in the central gov- * Present use of coastal resources (fishing, rec- ernment (for example, the national planning of- reation, mining) fice, the national development office, the * Present status of coastal resources (including President's or Prime Minister's office). qualitative assessments of water, soil, air eco- Issues such as legal authority, technical com- systems) petence, enforcement mechanisms, and access to * Potential for present and future use. funds should be assessed and addressed. Social Organization in the Coastal Zone Assembly of Necessary Data and Infornmation * Existence and character of human settlements An effective ICZM program must be based upon (villages, towns) adequate information with respect to the physi- * Economic basis for human settlements cal, economic, social, ecological and governmen- * Existence of indigenous peoples and their tra- tal aspects of the coastal region in question. Some ditional coastal activities of this data and information may be available in * Social issues. existing country profiles, national environmen- tal action plans, national development plans, spe- Existing Environm1lent cialized resource inventories, and the like. and Resouirce-Related Programs Sources of such information include government agencies (national, regional, and local), universi- Environmental regulatory programs ties and other research institutions, resource-re- i Fisheries management programs, other re- lated private sector firms, and, in some cases, rel- source management programs evant international organizations. A new initia- 3 Protected area programs e Beach/erosion management programs tive to collect primary data should only be un- - Pollutioniontrol programs dertaken in those relatively few cases where data e Pollution control programs of fundamental importance to the ICZM program * Other environmental management programs. development process are lacking. development procss are lacking.Instittitional, Legal, and Financial Capacity The list below indicates the kind of informa- tion that is required in the formulation of an * Relevant national-level institutions ICZM program. All of this information does not * Relevant regional/provincial-level institutions need to be in hand before the analysis and as- * Relevant local institutions sessment work begins. Indeed, as the ICZM pro- * Survey of legal authorities relative to coastal gram progresses, some of the information and and ocean activities data gaps can be filled on the following issues: * Existing capacity building efforts, including * Management issues that triggered the deci- those funded by external sources. sion to formulate the ICZM program * Potential for new economic development ac- Determination of the Management Area tivities in the coastal zone * Roles, responsibilities, effectiveness, and le- One of the key decisions in formulating an ICZM gal authority of the institutions currently man- program is the size of the area to be managed. aging coastal resources and uses Ideally, the management zone should include all * Nature and characteristics of the broader po- of the coastal resources of interest and all of the litical, economic, and cultural contexts within activities that are capable of affecting the re- which coastal zone activities are conducted. sources and waters of the coastal zone. Such an As the plan formUlation process proceeds, infor- approach could give rise to a zone that extends mation and data of the following types are needed: inland to the upper reaches of the coastal water- sheds and seaward to the limit of national juris- Coastal Resouirce Base diction-generally, the limit of the territorial sea (12 nautical miles). With regard to the inland limit * Existing coastal resources (beaches, wetlands, of the management zone, many governments estuaries, mangroves) have found it more practical to use an existing 12 Guidelinesfor Integrated Coastal Zone Management administrative or political subdivision boundary Program Implementation rather than the watershed boundary. Such an approach may rely on other activities in the up- Initiating the ICZM Process in Stages per parts of coastal watersheds such as water- shed management, erosion control or pesticide Given the time usually necessary to obtain the shd aagmet eoso cnto o psicd required executive and legislative approvals, reduction programs to safeguard the coastal zone required tie and pro vals, v v ~~~~~~~some parts of the ICZM program may start to against poor quality runoff. Similarly, although function earlier than others. Major legislative mi- important marine resources of economic interest tiatives are not always required. In some coun- to the coastal nation may exist within its 200-mile tries a decree or administrative rule is sufficient. Exclusive Economic Zone (EEZ), nations typically Besides, the data base development and inven- find devices to coordinate ocean resource activi- tory work can be done in advance of legislation. ties with coastal management efforts (for ex- Existing zoning and land use management sys- ample, fishing and offshore oil and gas activities) tems can often be used on an interim basis to di- other than by broadening the coastal manage- rect land use in the coastal zone. ment zone to the outer limits of the EEZ. ICZM in Operation Role of thze Nongovernmental Sector With the necessary formal approvals by govern- mental policy bodies and the enactment of re- In countries where government power is limited, qed (, r ' auired ~~~legislation, the ICZM program is formally especially in remote coastal areas, the private sec- 'esalishediand the ImlMentat bins. Most f r ~~~established and the implementation begins. Most tor and local communities may have a major role nations will not have opted for the creation of a in managing coastal resources. In many cases "super" coastal agency into which all coastal and long term planning and sustainability is not the ocean related activities have been placed. primary interest of the private sector. Through The chances for effective implementation of creating incentives for sustainable management an ICZM program are enhanced if: the government can help the private sector and * High visibility improvements can be achieved local communities maintain long term develop- at an early stage of the program. ment objectives. This will usually require estab- * The policies to be followed by the program lishment and legal protection for property rights, are clearly and unambiguously spelled out. appropriate fiscal measures and coastal resource goals of various elements of the program are tenure systems that ensure long term benefits to clearly articulated and expressed in quantita- the users and owners. The government can then tive, measurable terms. concentrate its scarce resources on the implemen- * The institutions involved in the ICZM pro- tation and enforcement of existing rules and gram are given clear assignments of respon- newly formulated management regimes. sibility and are held accountable. * Adequate human and financial resources are Assessment of New Economic Development made available for implementation of the pro- Possibilities in the Coastal Zone gram. * The public has been made fully aware of the Especially in developing countries, this impor- ICZM program and its goals and policies and tant part of the analysis will review and assess supports the overall effort. new economic development possibilities in the * Adequate resources and support are given to coastal zone. Priorities should be set based upon monitoring, evaluation, and enforcement ac- clearly designed studies of markets and poten- tivities. tial demand, analyses of costs of production and Monitoring, Evaluation, and Enforcement competitive aspects, and related issues. The im- pacts and risks of proposed development projects Monitoring and Evaluation on the coastal and marine environment need to be addressed in terms of both possible mitigat- The results of the ICZM program should be sub- ing actions and their associated costs. ject to regular monitoring and evaluation as a way Gutidelines for Development of ICZM Programs 13 of continually improving the process. It is espe- authority, all of which tend to have cross-depart- cially important, therefore, that the goals of the mental functions. overall ICZM effort and the goals and objectives of individual management and/or action projects Funding Considerations be specified as clearly and as quantitatively as possible; otherwise assessments as to how well Large sums of new funding are generally not re- they are being achieved are difficult. quired to put an ICZM program in place. The The monitoring procedure should include: development of an ICZM plan can often be ac- identification of expected performance, assess- complished primarily by staff delegated from ment and/or measurement of the actual perfor- existing agencies, provided that the appropriate mance of the program, establishment of perfor- professional disciplines and experience are rep- mance variances (for example, shortcomings or resented. However, some new funding will usu- excesses), and procedure for communicating vari- ally be required to fill selected new positions and ances that exceed preestablished limits to the ap- to undertake programs to fill particularly impor- propriate management or enforcing and imple- tant data or research gaps. The funding for these menting authorities. purposes should be able to be provided by the national government or with assistance from in- Enforcement ternational agencies. Enforcement of existingrulesadregLarger sums of money will be required for Enforcement of existdig rules and regulations is certain types of projects in the coastal zone. Out- one of the most difficult aspects of government side sources may have to be considered for fund- in developed and developing countries alike The ing such projects. However, external donor and goal should be to have rules that are generally funding organizations may be more willing to accepted by most parts of society and that can be support such requests if they are part of an inte- enforced. Chances for this are dependent on the grated management effort. knowledge level of the public and the credibility of government programs. Strong and objective International Considerations enforcement is often required, however, when parties are clearly benefiting economically from As ICZM programs confront ocean resource is- breaking the rules. sues, they are necessarily drawn into the inter- national arena. Transnational issues related to ICZM and National Development Plans, the coastal and marine environment usually call Funding Considerations, aundi 'nternaionalApcs for the collective efforts of the concerned govern- ments in developing management measures to ICZM programs have implications for pre-exist- resolve resource use conflicts, to reduce or miti- ICZM ~ ~ ~ ~ ~ ~~~~~~t negrm ative imcaln acts of oluton nduma ing national plans and programs as well as inter- gate negahve impacts of pollution and human national jurisdictions. activities, and to develop common standards and procedures for monitoring and assessment. Most Incorporating the ICZM Program transnational issues involving shared fisheries in the National Development Plan stocks and pollution occur in large marine eco- systems, such as large bays, gulfs, and semi-en- From an economic development perspective the closed seas. Near the shore, environmental issues ultimate objective of the ICZM program is that it become transnational when a given ecosystem will become an integral part of economic devel- falls within two or more national jurisdictions. opment plans both at the national and local level. Like migratory fish stocks, marine pollution also Achieving this objective will require the support recognizes no political boundary. Concerned of policymakers and planning and line agency coastal nations must recognize the mutual im- officials. Most national and local government pacts of development activities. Thus, for in- programs are formulated through their respec- stance, the destruction of the nursery function of tive planning agencies such as a town and coun- mangroves under one national jurisdiction may try planning department, an economic develop- affect recruitment of shrimp or fish in a nearby ment unit, or a national economic development fishing ground under another jurisdiction. To the 14 Guidelinesfor Integrated Coastal Zone Management extent possible, the waterbody should be treated the London Dumping Convention (1972), and as whole in a manner similar to an inland water- MARPOL (73/79). shed as far as management is concerned. Co- management among the affected jurisdictions Role of Scientific and Regulatory Bodies should be a guiding principle, although success will depend upon the political and socioeconomic Scientific bodies can provide scientific advice on priorities of the nations concerned, matters related to the utilization and manage- ment of marine resources in given regions. The Global Environmental Agreements International Council for the Exploration of the Seas and the Forum Fisheries Agency provide International conventions and agreements are such advice for the North Atlantic and Pacific playing an increasingly important role in envi- region. Regional programs such as the Regional ronmentl manaincreasingly iportantroe t end, USeas Program of United Nations Environment ronmentalmanagement Toward thisend, United Programme (UNEP) can perform similar func- Nations agencies have been diligent in forging a tions in other regions. Coastal nations could con- number of agreements and protocols which pro- tribute to the effectiveness of such efforts by as- mote international, regional, and bilateral coop- signing qualified scientific personnel to partici- eration and collaboration among coastal nations. pate in regional programs and by applying the These include agreements such as the Law of the resulting collective scientific advice in making Sea Convention (LOS) (1982), the Montreal Pro- policy and management decisions affecting the tocol on Land Based Sources of Pollution (1987), region in question. References Chua, T.E. 1993. "Essential Elements of Inte- Clark, J. R. 1992. Integrated Management of Coastal grated Coastal Management," Ocean and Zones. FAO Fisheries Technical Paper no. 327. Coastal Management 21 (1-3): 81-108. Rome. Chua, T.E., and L.F. Scura, eds. 1992. Integrative Clark, J.R. 1996. Coastal Zone Management Hand- Framework and Methods for Coastal Area Man- book. New York: CRC Lewis Publishers. agement. ICLARM Conference Proceedings 12. Manila: ICLARM. Crawford, B.R.,J.S. Cobb, andA. Friedman. 1993. "Building Capacity for Integrated Coastal ___1991. Managing ASEAN's Coastal Resources Management in Developing Countries." Ocean for Sustainable Development: Roles of Policy- Management 21(1-3): 311-38. makers, Scientists, Donors, Media and Communi- a ties. ICLARM Conference Proceedings 6. Ma- Gaudian, G., and others. 1993. "Establishment of nila: ICLARM. a Coastal Zone Management Program for Tan- Chua, T.E., and D. Pauly, eds. 1989. Coastal Area zania." Consultancy Report to the Commis- Managenent in Southeast Asia: Policies, Man sion of the European Communities, DG VIII. agement Strategies and Case Studies. ICLARM Brussels. Conference Proceedings 2. Manila: ICLARM. Haq, Bilal U. 1993. "Sea-Level Rise and Coastal Cicin-Sain, B. 1993. "Sustainable Development Subsidence Rates and Threats: Implications for and Integrated Coastal Management." Ocean Maritime Communities." Environment De- and Coastal Management 21 (1-3):11-44. partment, World Bank. Washington, D.C. Clark, J.R., ed. 1991. "The Status of Integrated Hayden, B.P., G.C. Ray, and R. Dolan. 1984. Coastal Zone Management: A Global Assess- "Classification of Coastal and Marine Environ- ment." Proceedings of the Global Assessment ments." Environmental Conservation 11(3):199- Workshop, Charleston, South Carolina, July 8- 207. 10, 1989. Rosenstiel School of Marine and At- mospheric Science. University of Miami. Mi- Hinrichsen, D. 1994. "Coasts under Pressure." ami, Fla. People & the Planet 3 (1): 6-9. 15 16 Gtidelinesfor Integrated Coastal Zone Management Linden, O. 1993. Integrated Coastal Zone Manage- Swedish Agency for Research Cooperation with ment in Eastern Africa Including the Island States. Developing Countries. 1993. "Arusha Reso- Coastal Management Centre. Australia Pro- lution on Integrated Coastal Zone Manage- ceedings. Manila. ment in EasternAfrica Including Island States." Lundin, C.G., and 0. Linden. 1993. "Coastal Eco- Issued by the Policy Conference on Integrated systems: Attempts to Manage a Threatened Coastal Zone Management in Eastern Africa Resource." AMBIO XXII (7): 468-73. including Island States. Stockholm. Lundin, C.G., and 0. Linden. 1995. "Integrated Sorensen, J. 1993. "The International Prolifera- Coastal Zone Management in Tanzania." tion of Integrated Coastal Zone Management Swedish International Development Author- Efforts." Ocean and Coastal Management 21 ity and World Bank. Washington, D.C. (1-3):45-80. Ngoile, M.K., and C.J. Horrill. 1993. "Coastal Vallejo, S.M. 1993. "The Integration of Coastal Ecosystems, Productivity and Ecosystem Pro- Zone Management into National Development tection: Coastal Ecosystem Management." Planning." Ocean and Coastal Management 21 AMBIO XXII (7):461-67. (1-3):163-82. Organisation for Economic Co-operation and De- velopment (OECD). 1993. Coastal Zone Man- World Bank. 1994. Africa: "A Framework for In- agement: Integrated Policies. Paris. tegrated Coastal Zone Management." Land, Water, and Natural Habitats Division and Af- OECD. 1993. Coastal Zone Management: Case Stud- rica Environmentally Sustainable Develop- ies. OECD. Paris. ment Division. Washington, D.C. Olsen, S.B. 1993. "Will Integrated Coastal Man- World Bank. 1995. "A Global Representative Sys- agement Programs Be Sustainable: The Con- tem of Marine Protected Areas." A Report by stituency Problem." Ocean and Coastal Manage- Great Barrier Reef Marine Park Authority, ment 21:201-26. World Bank, and the World Conservation Pernetta, J. C., and D.L. Elder. 1993. Cross-Sec- Union (IUCN). Washington, D.C. toral, Integrated Coastal Area Planning (CIAP): Guidelines and Principlesfor Coastal Area Devel- Coastal Zone Management Centre. 1993. "Pro- opment. A Marine Conservation and Develop- ceedings." World Coast Conference. The ment Report. IUCN. Gland, Switzerland. Hague. Distributors of CHINA FRANCE ISRAEL NEW ZEALAND RUSSIAN FEDERATION Wennergren-Wllilams AB DIStributors of Cnona Fioanclal & Economic World Bank Pubbcallons Yzozmo Llleralure Lid. EBSCO NZ Lid. Isdalelsivo P. 0 Box 1305 WVorld Bank Pubihshihg House 66. avenue didna P.O. Box 56055 PfHvale Mall Bag 99914 9a, Lolpacnrul pereulok 5-171 25 Solna 8 Di Fu Si Doiug Jle 75116 Paris Tel Aviv 61560 New Markel Moscow 101831 Tel: (8) 705-97-50 Publicationis Beljing Tel: (1) 4069-30-55 Tel. (3)5285-397 Auckland Tel. (95)9178749 Fax: (8) 27-0071 lel (1) 333-8257 fax: (1) 4069-3068 fax: (3) 5285-397 Tel. 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