Frameworks for the Processes & Outcomes of MSPSimplification in a Context of Complexity

Stephen B. OlsenDirector, The Coastal Resources Center

University of Rhode Island

• Can this complexity be portrayed to – highlight the most essential features of distinct phases?– How best to sequence the many actions?

• Can such frameworks encourage transparency and accountability for all concerned?

• Be applied at a range of spatial scales and socio-political settings?

• And can such frameworks encourage comparison across initiatives and collaborative learning?

Why? For Whom?Marine Spatial Planning (MSP) is 

A complex, lengthy process combining science, stakeholder participation and policy making

Often extending over many years

Politically charged, often rich in conflicts

Two Frameworks

The Ecosystem Governance Cycle The Orders of OutcomesWhyHow

Modeled on the learning cycle

• designed to emphasize differences in the nature of each phase

• essential actions associated with each phase

Disaggregate the ultimate goal of sustainable forms of development into a sequence of more tangible outcomes

Ecosystem Governance

EnvironmentalDomain

SocietalDomain

Ecosystem Good & Services

Socio-Environmental Systems

Ecosystem Governance

• How resources or an environment are utilized

• How problems,opportunities are evaluated, analyzed

• What behavior is acceptable or forbidden

• What rules & sanctions are applied to affect how natural resources are distributed and used

Juda and Hennessey, 2007

The formal and informal arrangements, institutions,and mores that structure and influence:

Human Uses of EcosystemsHuman Uses of Ecosystems

Principle Sources and Mechanisms of Governance

Legal/Political Mechanisms

SocialMechanisms

Economic Mechanisms

Market

GovernmentGovernment

Civil SocietyCivil Society

Progressively larger cycles indicate growth in scope         GESAMP, 1996

MSP is an Issue‐Driven Process

• MSP research should be directed at the problems and the opportunities (issues) that the plan and policies will address

• Stakeholders and the public engage in MSP when it addresses issues that matter to them

• The perceived importance of individual issues often shifts with each step

Three Categories of Issues forEcosystem Governance

Environmental threats or declines in ecosystem goods and services

Societal needs, desires and conflicts

Weaknesses in the governance system

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Good process does not always generate the anticipated 

outcomes!

• Appears when issue analysis, planning, stakeholder involvement, and governmental mandates

DO NOT• Produce the changes in behavior that signal implementation of a policy or plan of action

AND THERFORE DO NOT GENERATE• The anticipated outcomes

The Implementation Gap

The Orders of Outcomes Framework

Assembly of theEnabling ConditionsGoalsConstituenciesCapacityCommitment

Implementation as Changes in BehaviorResource usersInstitutionsInvestments

The HarvestAchievement of Selected Societal and Environmental Goals

The Ultimate GoalSustainable Forms of Ecosystem Development

Time

The Orders of Outcomes

Global

National

Local

First Order:Enabling Conditions

Governmental commitment: authority, funding;

Institutional capacity to implement;

Unambiguous goals;

Constituencies present at local and national levels.

Intermediate OutcomesEnd Outcomes

Second Order:Changed Behavior

Changes in behavior of institutions and stakeholder groups;

Changes in behaviors directly affecting resources of concern;

Changes in investment strategies.

Third Order:Attainment of Program Goals

Some targets for social and/or environmental qualities maintained, restored or improved.

Fourth Order:Sustainable Ecosystem  Conditions & Uses

A desirable and dynamic balance between social and environmental conditions is sustained.

Scale

Time

Regional

Source: Olsen et al., 2006 

The Four 1st Order Enabling Conditions

• GOALS for specified environmental and societal outcomes

• Supportive and informed CONSTITUENCIESsufficient to generate political will

• COMMITMENTS that provide the necessary authorities and resources for implementation

• The necessary CAPACITY is present within implementing institutions

The Frameworks are a Basis for Monitoring and Evaluation

• Graduated indicators have been developed for each element of the 5 step governance cycle and for each attribute of the 1st, 2nd and 3d Order Outcomes (UNEP, 2006; LOICZ, 2010)

• These indicators can be applied to document baseline conditions and then periodically track progress and adaptation

• Designed as “scorecards,” these can – encourage interdisciplinary engagement– promote a transparent process to stakeholders   

Tracking Governance Cycle Actions

Ist Order Preconditions: Goal Definition

Thank You!sbo@crc.uri.edu