An implementation model for integrated coastal management in South Africa : from legislation to practice

Taljaard, Susan (2011-03)

Thesis (PhD (Geography and Environmental Studies))--University of Stellenbosch, 2011.


ENGLISH ABSTRACT: In South Africa the government’s progress in developing policy in support of people-centred Integrated Coastal Management (ICM), as expressed in the Coastal Policy and the Integrated Coastal Management Act, is commended. However several challenges pertaining to policy implementation remain which constitute the primary need for this research. Indeed, South Africa already has many pieces of the ICM implementation puzzle, but a structured framework or model to assist in achieving a workable, integrated system is still lacking. The aim of this research is to design an implementation model for ICM within the South African context and to propose a novel and innovative generic process for the design and refinement of such models. This aim is achieved by addressing four research questions, namely: (i) Can contextual, country-specific knowledge be harnessed to design a prototype ICM implementation model for South Africa?; (ii) Is the prototype design workable (or compatible) in the existing coastal marine statutory and governance system of South Africa (i.e. a practical validation)?; (iii) Is the prototype model for South Africa scientifically credible and how can insights into the uniformities contributing to improved integrated environmental management (IEM) and ICM be applied to assess such credibility as well as inform refinements to the model (i.e. a theoretical validation)?; and (iv) Can a generic process for the design and refinement of country-specific implementation models be derived from the research methodology applied in this study? Design science was selected as the primary strategy of inquiry for this study and a mixed-methods approach was used, claiming that the specific focus is real-world practice. Qualitative and quantitative methods are used to execute this research. This research demonstrates a method where experience and country-specific knowledge are harnessed to design a prototype ICM implementation model for South Africa and, in doing so, experientially capturing important emerging paradigms for improved ICM implementation – as identified in the scientific literature – namely the ecosystem-based management, spatial planning and cooperative environmental governance paradigms. In the prototype design, the ecosystem-based management and spatial planning paradigms are combined with traditional problems- or issues-based approaches, applied in many of the earlier ICM models. Personal experience also confirmed the importance of informed and well-established actor involvement in coastal management (cooperative environmental management) which manifested in the inclusion of the important avenues of actor involvement (i.e. the support elements) in the prototype model. Moreover, South Africa’s sector-based governance system is accommodated in the design by anchoring the management programmes component (remaining largely sector-based) between the resource vision, objectives and zoning component and the monitoring and evaluation component, implying that management programmes remain grounded in an ecosystem-based approach and subservient to the agreed vision and objectives, and needs of the coastal ecosystem. A practical validation, using the management of land-based activities as case study, reveals that approaches to coastal management in South Africa, grounded in the current statutory framework of the country, can largely be aligned with the approach proposed in the prototype implementation model. Indeed it is inefficiency or a lack of operationalisation of existing legislation that may pose the biggest challenge for effective implementation of this model. Because the prototype model is designed to accommodate sectorbased management programmes, it can be extended to accommodate sectors or activities other than those presented in the case study, such as conservation, transportation (shipping) and fisheries. Consequently, the prototype model can be applied in South Africa without any substantive adaptation of the existing statutory framework. Clearly, the challenge of effectively operationalising existing statutes remains. A critical review of relevant scientific literature provides information on and understanding of uniformities in IEM, the broader domain within which ICM is nested, using the key paradigms that contribute significantly to the improved implementation of IEM, to express such uniformities. It became apparent from studying the evolution of ICM over the last two decades that many of the key paradigms that significantly contribute to improved implementation of IEM have also proved valuable in the implementation of ICM. The insight gained from scientific literature was applied in determining fourteen evaluation criteria with which to assess of the scientific credibility of the prototype design. The subsequent assessment of the prototype design confirmed that the collective learning in IEM (and ICM) implementation over the last two decades is consolidated in this prototype design, apart from two aspects, namely scientific support networks and sustainable financial support. These were not initially defined as key components for ICM implementation in South Africa, but in retroflection proved to be valid; South Africa has established independent scientific networks outside the realm of government that coordinate scientific research in support of coastal management, and the explicit recognition of these scientific support networks in the prototype model will highlight their importance to ICM. Also, the inclusion of a sustainable financial support mechanism as a key component in the model will significantly enhance the importance and necessity of having a sound funding strategy associated with ICM implementation in South Africa. Considering the prototype design and its practical and theoretical validation, two interdependent but distinctive adaptive cycles emerged. The refined model therefore incorporates these dual, adaptive cycles coined the resource and actor cycles. The resource cycle is much in alignment with the original components of the prototype design, but a distinct modification is the inclusion of the demarcation of the geographical boundaries of coastal management units as a separate component in the model. In essence, the components in the actor cycle represent the key actor groups involved in the governance system for ICM. These components reflect the original support elements in the prototype design but include the two additional components identified in the theoretical validation, namely scientific support and financial support mechanisms. The revised model with its dual, adaptive cycles contributes an implementation perspective to the growing body of scientific literature on social-ecological systems. In this literature, the ecological system is viewed as intricately linked with and affected by the social system as depicted by the interlinked resource and actor cycles of the revised model. Further, a practical and novel three-step generic process for the design and refinement of country-specific ICM implementation models is proposed, based on the design-science approach applied in this study. First, the process involves the design of a prototype model, primarily based on local knowledge within the countryspecific context. Second, the process entails dual validation procedures, namely an empirical validation and theoretical validations. Finally, the outcome of the validation process is used to refine and improve the prototype design. Further, the refined model design proposed in this study is posed as a suitable prototype design for countries with similar sector-based coastal management milieus to South Africa. The research reported here does not offer a complete solution to the identified problem as there are manifold angles from which to approach effective and sustainable ICM. In this study an implementation angle was chosen, more specifically from a practical environmental management perspective that recognises important economic and social elements and interactions. Opportunities exist for researchers in other expert fields to investigate ICM policy implementation in South Africa from their perspectives. For example, ICM can also be viewed from purely economic, public administration, social or educational stances. In particular, techniques such as science mapping could be used to identify whether paradigms exist that constitute uniformities in IEM and ICM in addition to the ten key paradigms studied in the research. Any new characteristics deriving from the analysis of the additional paradigms can then be used to refine the evaluation criteria for the assessment of the scientific credibility of ICM implementation models. Knowledge gained and innovations made in such studies can be integrated into the ICM implementation model presented here to continuously improve its operationalisation. This research provides two main products, namely a workable and scientifically sound implementation model for ICM in the South African context and a generic process for the design and refinement of countryspecific ICM implementation models, both requiring adaptive management approaches.

AFRIKAANSE OPSOMMING: In Suid-Afrika is die regering se vordering in die ontwikkeling van beleid ter ondersteuning van volksgesentreerde Geïntegreerde kusbestuur, (GKB), soos verwoord in die Kusbeleid en die Geïntegreerde Kusbestuurwet, prysenswaardig. Daar is egter nog verskeie uitdagings met betrekking tot die uitvoering van beleid wat neerkom op die primêre behoefte vir hierdie navorsing. Suid-Afrika het inderdaad reeds baie stukkies van die GKB-implementeringslegkaart, maar 'n gestruktureerde raamwerk of model om te help met die daarstelling van ‘n werkbare, geïntegreerde stelsel ontbreek nog. Die doel van hierdie navorsing is om 'n implementeringsmodel vir GKB te ontwerp binne die Suid- Afrikaanse konteks en 'n nuwe en innoverende algemene proses vir die ontwerp en verfyning van sulke modelle voor te stel. Hierdie doelstelling is bereik deur vier navorsingsvrae aan te spreek, naamlik: (i) Kan kontekstuele, land-spesifieke kennis ingespan word om ‘n prototipe GKB-implementeringsmodel vir Suid- Afrika te ontwerp? (ii) Is die prototipe-ontwerp werkbaar binne (of vergelykbaar met) die bestaande kusmariene statutêre- en bestuursstelsel van Suid-Afrika (d.w.s. ‘n praktiese validasie)? (iii) Is die prototipemodel vir Suid-Afrika wetenskaplik-geloofwaardig en hoe kan insig in die eenvormighede wat bydra tot verbeterde geïntegreerde omgewingsbestuur (GOB) en GKB toegepas word om sodanige geloofwaardigheid te bepaal, asook die verfyning van die model in te lig (d.w.s. ‘n teoretiese validasie)?; en (iv) Kan 'n algemene proses vir die ontwerp en verfyning van landspesifieke implementeringsmodelle afgelei word van die navorsingsmetodiek wat in hierdie studie toegepas is? Ontwerpwetenskap is gekies as die primêre strategie van ondersoek vir hierdie studie en 'n gemengde-metode benadering is gebruik, met die aanspraak dat die spesifieke fokus werklike wêreldspraktyk is. Kwalitatiewe en kwantitatiewe metodes word gebruik om hierdie navorsing uit te voer. Hierdie navorsing demonstreer 'n metode waar eie ervaring en land-spesifieke kennis ingespan is om 'n prototipe GKB-implementeringsmodel vir Suid-Afrika te ontwerp, en in die proses is belangrike opkomende paradigmas vir verbeterde GKB-implementering – soos geïdentifiseer in die wetenskapsliteratuur – ondervindelik vasgevang, naamlik die ekostelsel-gebaseerde bestuur, ruimtelike beplanning en samewerkende omgewingbestuur paradigmas. In die prototipe-ontwerp, is die ekosisteem-gebaseerde bestuurs-en ruimtelike beplanning paradigmas met tradisionele probleem- of uitkoms-gebaseerde benaderings gekombineer – soos toegepas in baie van die vorige GKB-modelle. Persoonlike ondervinding het ook die belangrikheid van ingeligte en goed gevestigde akteursbetrokkenheid in kusbestuur (samewerkende omgewingsbestuur) bevestig wat uitgeloop het op die insluiting van die belangrike roetes van akteursbetrokkenheid (d.w.s die ondersteuningselemente) in die prototipe-model. Verder is Suid-Afrika se sektorgebaseerde bestuurstelsel geakkommodeer in die ontwerp deur die Programbestuurskomponent (grootliks sektorgebaseerd) te anker tussen die hulpbron visie, doelwitte en sonerings komponent en die monitering en evaluering komponent, wat impliseer dat die bestuursprogramme gegrond bly binne 'n ekosisteem-gebaseerde benadering en ondergeskik bly aan ooreengekomde visie en doelwitte, en behoeftes van die kusekosisteem. 'n Praktiese validasie, waar die bestuur van land-gebaseerde aktiwiteite as gevallestudie gebruik word, toon dat die kusbestuursbenadering in Suid-Afrika, gegrond op die huidige statutere raamwerk van die land, grootliks in lyn gebring kan word met die benadering soos voorgestel in die prototipe implementeringsmodel. Inderdaad dit is die onbevoegdheid of 'n gebrek aan operasionalisering van die bestaande wetgewing wat die grootste uitdaging vir die doeltreffende implementering van hierdie model inhou. Omdat die prototipemodel ontwerp is om sektorgebaseerde bestuursprogramme te akkommodeer, kan dit uitgebrei word na ander sektore of aktiwiteite as dié wat in die gevallestudie getoon is, soos bewaring, vervoer (skeepsvervoer) en vissery. Gevolglik kan die prototipe-model toegepas word in Suid-Afrika sonder enige substantiewe aanpassing van die bestaande statutêre raamwerk. Duidelik, die effektiewe operasionaliseer van bestaande wette bly ‘n uitdaging. 'n Kritiese oorsig van die toepaslike wetenskapsliteratuur verskaf inligting oor, en begrip van, die ooreenstemmings in GOB, die breër gebied waarbinne GKB ingebed is, deur gebruik te maak van die sleutelparadigmas wat ‘n beduidende bydrae tot die verbetering van die implementering van GOB maak. Dit het duidelik geword uit die bestudering van die evolusie van GKB oor die laaste vier dekades dat baie van die sleutelparadigmas wat bydra tot verbeterde implementering van GOB ook waardevol blyk te wees in die uitvoering van die GKB. Die insig verkry uit wetenskapliksliteratuur is aangewend om die veertien evalueringsmaatstawwe saam te stel vir die beoordeling van die wetenskaplike geloofwaardigheid van die prototipe-ontwerp. Die daaropvolgende beoordeling van die prototipe-ontwerp het bevestig dat die kollektiewe kennis in GOB (en GKB) implementering oor die afgelope twee dekades in hierdie prototipe ontwerp gekonsolideer is, behalwe vir twee aspekte, naamlik wetenskapsondersteuningsnetwerke en volhoubare finansiële ondersteuning. Dit was aanvanklik nie gedefinieer as belangrike komponente vir GKBimplementering in Suid-Afrika nie, maar het in heroorweging tog geldig geblyk te wees; Suid-Afrika het onafhanklike wetenskapsnetwerke wat wetenskapsnavorsing ter ondersteuning van kusbestuur buite die regeringsraamwerk koördineer en die uitdruklike erkenning van hierdie wetenskapsondersteuningsnetwerke binne die prototipe-model sal die belangrikheid daarvan in GKB beklemtoon. Ook, die insluiting van 'n volhoubare finansiële ondersteuningsmeganisme as 'n sleutel komponent in die model, sal die belangrikheid en noodsaaklikheid om ‘n 'n gesonde finansiële strategie wat verband hou met GKB-implementering in Suid- Afrika daar te stel, aansienlik verhoog. Na oorweging van die prototipe-ontwerp en die praktiese en teoretiese validasies het twee interafhanklike, maar kenmerkende aanpasbare siklusse te voorskyn gekom. Die verfynde model sluit dus hierdie dubbele, aanpasbare siklusse in, genaamd die hulpbron- en akteurssiklusse. Die hulpbronsiklus is meestal in ooreenstemming met die oorspronklike komponente van die prototipe-ontwerp, maar ’n duidelike verandering is die insluiting van die afbakening van kusbestuureenheidsgrense as 'n aparte komponent in die model. In wese verteenwoordig die komponente binne die akteurssiklus die sleutel-akteursgroepe wat betrokke is in die GKB-bestuurstelsel. Hierdie komponente reflekteer die oorspronklike ondersteuningselemente binne die prototipe-ontwerp maar sluit die twee addisionele komponente wat in die teoretiese validasie geïdentifiseer is in, naamlik wetenskaplike ondersteuning en finansiële ondersteuningsmeganismes. Die hersiende model met die twee interafhanklike, aanpasbare siklusse dra ’n implementeringsperspektief by tot die groeiende liggaam van wetenskapliksliteratuur rondom sosiaalekologiese stelsels. In hierdie literatuur word die ekologiese stelsel gesien as intrinsiek gekoppel aan en geaffekteer deur die sosiale stelsel, soos voorgestel in die intergekoppelde hulpbron- en akteurssiklusse in die hersiende model. Verder is 'n praktiese en nuwe, generiese drie-stap-proses vir die ontwerp en verfyning van land-spesifieke GKB- implementeringsmodelle voorgestel, gebaseer op die ontwerp-wetenskaplike benadering wat in hierdie studie toegepas is. Eerstens behels die proses die ontwerp van 'n prototipe-model, hoofsaaklik gebaseer op plaaslike kennis binne die land-spesifieke konteks. Tweedens behels die proses dubbele validasie-prosedures, naamlik 'n empiriese validasie en ‘n teoretiese validasie. Ten slotte word die resultaat van die validasieprosedures gebruik om die prototipe-ontwerp te verfyn en te verbeter. Verder word die verfynde modelontwerp wat in hierdie studie voorgestel word, gereken as ‘n geskikte prototipe-ontwerp vir lande met soortgelyke sektorgebaseerde kusbestuursmilieus as Suid-Afrika. Die navorsing wat hier aangebied word is nie 'n volledige oplossing vir die geïdentifiseerde probleem nie, aangesien daar verskeie hoeke is waaruit doeltreffende en volhoubare GKB benader kan word. In hierdie studie is 'n implementeringshoek gekies, meer spesifiek 'n praktiese omgewingsbestuur perspektief waarbinne belangrike ekonomiese en sosiale elemente en interaksies erken word. Opwindende geleenthede bestaan vir navorsers binne ander kundigheidsvelde om GKB-beleidsimplementering in Suid-Afrika te ondersoek vanuit hulle perspektiewe. Byvoorbeeld, GKB kan ook ondersoek word vanuit suiwer ekonomiese, publieke administrasie, sosiale of opvoedkundige oogpunte. Meer spesifiek, tegnieke soos wetenskapskatering kan gebruik word om vas te stel of daar paradigmas bestaan wat neerkom op eenvorminghede binne GOB en GKB, benewens die tien sleutelparadigmas wat in hierdie navorsing bestudeer is. Enige nuwe eienskappe afgelei van die analise van die addisionele paradigmas kan dan gebruik word om die evalueringsmaatstawwe vir die asessering van die wetenskaplike geloofwaardigheid van GKB implementeringsmodelle te verfyn. Kennis en innovasie van sulke studies kan opgeneem word in die GKB-implementeringsmodel wat hier aangebied word om voortdurend die operasionalisering daarvan te verbeter. Die navorsing lewer twee hoofprodukte, naamlik ’n werkbare en wetenskaplike geloofwaardige GKBimplementeringsmodel binne die Suid-Afrikaanse konteks en 'n algemene proses vir die ontwerp en verfyning van land-spesifieke implementeringsmodelle vir GKB beide met aanpasbare bestuur as vereiste.

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