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A Certification Program in the Governance of Coastal Ecosystems

Stephen Bloye Olsena; Pamela Rubinoffa; Emilio Ochoab; Stella Maris Vallejo
a
Coastal Resources Center, University of Rhode Island, Narragansett, Rhode Island, USA b Ecocostas,
Guayaquil, Ecuador

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 Coastal Management, 38:262–271, 2010
Copyright © Taylor & Francis Group, LLC
ISSN: 0892-0753 print / 1521-0421 online
DOI: 10.1080/08920753.2010.483165

A Certification Program in the Governance

of Coastal Ecosystems

STEPHEN BLOYE OLSEN,1 PAMELA RUBINOFF,1

EMILIO OCHOA,2 AND STELLA MARIS VALLEJO3
1
Coastal Resources Center, University of Rhode Island, Narragansett,
Rhode Island, USA
2
Ecocostas, Guayaquil, Ecuador
3
United Nations (retired)
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A certification program has been designed and field tested in Latin America that assesses
individual professionals against six competencies defined as central to the effective prac-
tice of the ecosystem approach. The program promotes high standards of competence,
professional growth, and ethical conduct. It is designed for both young professionals
at an early stage in their careers and senior practitioners with wide experience. The
program offers additional benefits through opportunities for dialogue among peers,
analysis of experience in a diversity of settings, and networking. The first application of
the program has resulted in the certification of eight senior and five associate coastal
managers from eleven nations. This certification complements the certification for man-
agers of marine protected areas operating in the Western Indian Ocean discussed in a
companion article in this special issue.

Keywords capacity-building, certification, competence, ecosystem governance, inte-

grated coastal management, networking, training

The Urgent Need to Build Capacity for the Stewardship of Coastal

Ecosystems
A recent global review and analysis of past and current approaches to building capacity
for ocean and coastal stewardship (National Research Council, 2008) found that capacity-
building efforts for the management of oceans and coasts are typically fragmented, lacking
in standards for monitoring and evaluation, and usually too short term to achieve and sustain
effective ocean and coastal planning and decision-making. The report’s recommendations
stress the importance of the governance dimensions of coastal and ocean management and
emphasizes that the capacities and traditions of the existing governance system in specific
locales and regions must be carefully assessed when identifying the needs for strengthening
abilities to respond effectively to problems and opportunities.
The Coastal Ecosystem Governance (CEG) Certification Program described in this
article is in many respects a response to the finding and recommendations of the Na-
tional Research Council report. The initiative has been led by EcoCostas, a regional

Address correspondence to Stephen Bloye Olsen, Coastal Resources Center, 220 South Ferry
Road, University of Rhode Island, Narragansett, RI 02882, USA. E-mail: sbo@crc.uri.edu

262
 A Certification Program in the Governance of Coastal Ecosystems 263

nongovernmental organization based in Ecuador, working in partnership with the Coastal

Resources Center (CRC) at the University of Rhode Island. EcoCostas was founded in
1999 with a mission to promote collaborative learning and action among integrated coastal
management (ICM) initiatives in the region. EcoCostas has worked to develop and apply a
set of standardized methods to describe and analyze the issues, strategies and outcomes of
coastal management programs in Latin America. An English version of these methods has
been distributed in the form of a handbook (Olsen et al., 2009) produced by the international
Land-Ocean Interactions in the Coastal Zone (LOICZ) Program. These methods have been
applied to a diversity of rural to urban settings in twelve countries in the region. They
address the linked social and environmental issues caused by the mis-use and over-use of
coastal areas in the Gulf of California, Nicaragua, the Galapagos, Peru, Chile, Argentinean
Patagonia, Brazil, the Dominican Republic, and Cuba. A central strategy of the EcoCostas
network has been to apply simplifying conceptual frameworks that encourage a fuller un-
derstanding of the dynamics of societal and environmental change along coastlines and the
responses of governance systems to such ecosystem change.
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In 2003 EcoCostas and CRC formed a working group to identify strategies for dis-
seminating the approach and methods that it had developed through a certification program
in what they had decided to term “coastal ecosystem governance.” The first step was to
develop a Code of Conduct that has been the basis for setting professional standards. The
standards were eventually defined as a set of six competencies each of which is detailed as
supporting skills, knowledge, and attitudes. The design and initial application of the result-
ing certification was funded by several donors including USAID, the AVINA Foundation,
and the LOICZ Program.

Certification as a Capacity-Building Strategy

As described in the 2008 National Academy of Sciences report, there are four major strate-
gies for instilling in professionals the capacity to promote coastal ecosystem stewardship:
university degree programs, short-term training, on-the-job training, and certification. These
four paths are all evident in Latin America. In addition to university degree programs, in
most instances the members of the EcoCostas network have combined short-term training
with on-the-job experience and learning-by-doing to build their competence as practitioners
of coastal management. Certification programs offer a fourth option for building capacity.
As described in the National Research Council report, certification:

• is form of quality assurance and quality control,

• requires setting standards for specific competencies and defining the mechanisms
by which such competencies can be objectively assessed and verified,
• calls for the codification of good practices, and
• sets explicit standards that professionals must meet.

Professional certification programs can promote and encourage the further development
of a field’s professional standards. They also provide government and nongovernmental
agencies and organizations, private firms, courts, and the general public with standards of
experience and education for qualified professionals. A certified professional signals that
an individual is educated, experienced, and ethical, and can be expected to act in the best
interest of the society and the public.
 264 S. B. Olsen et al.

The CEG certification program has been designed to attract professionals from two
groups:

1. Professionals engaged in the planning and decision-making that addresses needs for
both development and conservation in coastal regions. This group includes those
who design, administer, and evaluate coastal management projects and programs
sponsored by international donors; national, state, and municipal government offi-
cials; and professionals associated with nongovernmental organizations engaged in
aspects of coastal management and governance.
2. Natural and social scientists and other professionals who wish to contribute effec-
tively to projects and programs that integrate across the societal, economic, and
environmental dimensions of management and be effective members of interdisci-
plinary teams.

The CEG program distinguishes between two levels of certification. Level 1 are senior
professionals (senior project managers, senior government officials, senior scientists) who
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seek to strengthen their abilities to practice the ecosystem approach and integrate the
dimensions of governance into their work. Level 2 candidates are associate managers with
not less than three years of experience as a contributor to a coastal governance initiative
(including junior professionals, community organizers, and extension officers).

The Four Pillars of the CEG Certification Program

Four complementary conceptual frameworks, or pillars, are the basis for this certification
program. First, practitioners certified by the CEG program recognize that the goals of a
coastal management initiative must address both the environmental and the human dimen-
sions of a given locale.The first pillar is therefore ecosystem-based governance (also termed
the governance of socioecological systems) that is emerging as the dominant paradigm for
managing natural resources and the environment. Central to this world view is that people
are seen as an integral element of ecosystems. An often quoted definition of this approach
is as follows:

Ecosystem-based management is an integrated approach to management that

considers the entire ecosystem, including humans. The goal of ecosystem-based
management is to maintain an ecosystem in a healthy, productive and resilient
condition so that it can provide the services humans want and need. Ecosystem-
based management differs from current approaches that usually focus on a
single species, sector, activity or concern; it considers the cumulative impacts
of different sectors. (McLeod et al., 2005)

In practice this requires integrating across traditional sector-by-sector forms of planning

and decision-making. It also requires the visualization and promotion of nested systems of
governance that united actions at the local level with actions on similar issues and goals at
the national, regional, and ultimately global scales.
The second pillar of the CEG certification is a definition of governance that encom-
passes the values, policies, laws and institutions by which a set of issues is addressed (Juda,
1999; Juda & Hennessey, 2001; Olsen et al., 2006). Those holding a CEG certification are
capable of analyzing governance systems to identify the formal and informal arrangements,
institutions, and mores that structure and influence:
 A Certification Program in the Governance of Coastal Ecosystems 265

• how resources or an environment are utilized,

• how problems and opportunities are evaluated and analyzed,
• what behavior is deemed acceptable or forbidden, and
• what rules and sanctions are applied to affect how natural resources are distributed
and used.

Certified practitioners also recognize that there are three principle sources of governance:
the marketplace, governments, and the institutions and arrangements of civil society. The
manner and the mechanisms by which these three sources of governance interact with
one another is complex and dynamic and the certified practitioner has the knowledge and
skills to understand how power and influence is allocated among these three sources of
governance and how the distribution may need to be altered if coastal stewardship is to be
achieved.
While this definition of governance suggests the scope of the knowledge, skills and
attitudes of the certified practitioner, competence in a third pillar is also required. This
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enables the practitioner to trace the processes of coastal management through the sequence
steps that link planning to implementation and evaluation. In 1996 GESAMP offered this
framework, which is based on the learning cycle, and examined the different contribution
of the sciences to each step in a program’s evolution. The GESAMP cycle has proved to be
a powerful framework that provides valuable insights when examining the implications of
changing the sequence of the steps or eliminating some of the associated “essential actions.”
The reality for many coastal management programs only fragments of unconnected cycles
are attained when initiatives are designed as short-term, stand-alone “projects.”
The examination of the experience of the members of the EcoCostas network revealed
that even when the processes of coastal management initiatives are well designed and
well executed the desired outcomes often do not emerge. Many projects fail to make the
transition from issue analysis and planning to the sustained implementation of a plan of
action. Certified practitioners must therefore demonstrate their ability to use the Orders of
Outcomes framework to disaggregate the distant goal of sustainable forms of development
into a sequence of more tangible outcomes (Olsen, 2003; UNEP/GPA, 2006; National
Research Council, 2008; Olsen et al., 2009). This is the fourth pillar of the CEG certification
program. The 1st Order Outcomes define the four enabling conditions for the sustained
practice of ecosystem-based management. It includes the formal commitments required to
implement a plan of action directed at the achievement of defined ecosystem conditions.
The outcomes that mark the implementation of a formally approved and sustainably funded
plan of action are addressed in the 2nd Order, as changes in the behavior of governmental
institutions, the behavior of the relevant groups exploiting or otherwise affecting ecosystem
conditions and the behavior of those making financial investments in the system. An
important feature of this third category of 2nd Order change is success in generating
the funds required to sustain the program over the long term. The 3rd Order marks the
achievement of the specific societal and environmental quality goals that prompted the
entire effort.
The integrated approach to the management of complex systems requires a team
with capabilities in diverse fields (Crawford et al., 1993; UNEP/GPA, 2006; National
Research Council, 2008). Interdisciplinary teams are typically required in which specialists
drawn from the natural sciences, economics, political science, law, and education come
together to analyze, and act on, the issues posed by such expressions of ecosystem change
as over-fishing, habitat destruction, water quality degradation, shorefront development,
mounting conflicts among user groups, poverty and the many impacts of economic growth.
 266 S. B. Olsen et al.

The ecosystem approach recognizes that the interactions and interdependencies of such
issues are critically important and that a systems approach is required. Each specialist
has been shaped by their specialized education and has a distinct vocabulary, draws on
different conceptual frameworks, and often has a worldview shaped by distinct values and
beliefs. The four pillars described above are designed to provide such a diverse group
of specialists with a shared appreciation of the many dimensions of the issues and the
specialized knowledge of each specialist. When this occurs an “epistemic community” has
been formed (Haas, 1992). Its members share the same ultimate goals and have learned
to respect and sufficiently understand the fundamental features of each other’s disciplines
so that the team as a whole can analyze issues from a diversity of perspectives. A central
objective of the certification program is to promote such epistemic communities.

The Six Competencies

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The competencies that must be demonstrated by each candidate for the CEG certification
encompass an array of knowledge, skills, and attitudes that span assessment and analysis,
communication skills, and skills in the design and negotiation of a program that applies the
ecosystem approach (Figure 1).
The order in which the competencies are presented traces the process of characterizing
a site or a region, the analysis of the responses of the governance system to ecosystem
change through time, to strategic planning, and on to monitoring and evaluation. Leadership,
facilitation and mediation are themes that weave through all six competencies. The four
pillars of the CEG certification program are the unifying conceptual frameworks that
integrate across the six competencies.

Knowledge, Skills and Attitudes

Facilitator
Negotiator
Environmental Mediator Cultural
Negotiation literacy

Leadership
Conflict Collaborative Group Fairness
resolution management dynamics Transparency

Figure 1. Array of knowledge, skills, and attitudes that must be demonstrated by each candidate for
the CEG certification.
 A Certification Program in the Governance of Coastal Ecosystems 267

Competency 1: Analysis of Long-Term Changes in the Condition

and Use of Coastal Ecosystems
The interrelationships among human and natural resources, long- and short-term trajectories
of change, and the multiple stakeholders with interests in a coastal ecosystem are highly
complex and frequently in dynamic flux. Each coastal system has unique features and is on
an evolutionary path that must be understood if a stewardship initiative is to effectively and
efficiently influence the processes of change and if the initiative is to successfully address
the issues that they are generating. The analysis of long-term changes in the condition and
use of coastal ecosystems is the first step in the process of defining a governance baseline.
This competency requires the knowledge and skills to: (a) gather, display, and analyze
information on the trends in the changes in the goods and services generated by coastal
ecosystems, in response to natural and human-induced forces and (b) to identify how the
interests of different groups and institutions have influenced such trajectories of societal
and ecosystem change.
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Competency 2: Analysis of Governance Structures and Processes that Encompass

Values, Policies, Laws, and Institutions that Determine how Ecosystems
are Conserved and Used
The certified practitioner of coastal ecosystems governance must recognize that neither cur-
rent practices nor scientific knowledge permits us to manage ecosystems comprehensively
and reliably; the focus must therefore be on the management of human activities. This
competence is grounded in the knowledge and skills needed to characterize the defining
features of each source of governance (markets, government, and civil society), and assess
their relative power in shaping responses to changing the condition of the socioenvironmen-
tal system in a specific locale. It includes analyses the governance structures and processes
that establish:
• how resources and environments are used,
• what behaviors are deemed acceptable or forbidden, and
• what rules or sanctions are applied to direct how natural resource are allocated and
used.

Competency 3: Leadership Required to Build the “Political Will” to Design, Adopt,

and Implement Plans of Action that Address Complex Challenges Posed
by Ecosystem Change
Generating the “political will” to adopt and implement a plan of action that addresses
complex coastal management issues requires effective and committed leadership. The
certified practitioner is an effective integrator and communicator who can navigate the
process of assembling support for a course of action. This competence addresses abilities
to manage the internal dynamics within interdisciplinary teams and the ability to select
appropriate strategies to generate the effective participation of a diversity of stakeholders.

Competency 4: Strength in Facilitation, Mediation, Stakeholder Engagement,

and Public Education
Public education and the involvement of stakeholders in governance processes lie at the
center of all successful coastal governance programs. In a time of accelerating global change
 268 S. B. Olsen et al.

the certified practitioner must design programs that educate the public and stakeholders
about the activities that are changing ecosystems, the implications of such changes for
society, and on the options for addressing the issues of concern.

Competency 5: Strategic Design of a Coastal Ecosystem Governance Program

The design of a coastal ecosystem governance program and its strategic plan of action
requires defining issues and their causes, assessing potential solutions, articulating a vision,
setting goals, and selecting the partners and strategies by which desired outcomes may be
attained. This strategic planning process must be grounded on a thorough understanding of
the existing governance system and the traditions, interests, and values that have shaped it.

Competence 6: Design and Implementation of Monitoring and Evaluation in Support

of Adaptive Governance
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Successful programs adapt to changing social and environmental conditions and they learn
from their experience. The certified practitioner must define the sequence of outcomes
that will mark the attainment of a program’s intermediate objectives and progress toward
its long-term goals. Progress will be monitored by these markers and, through periodic
assessments, the program’s design will be adapted as conditions and learning evolves.
Each competency is further detailed by two to four standards. For example, the stan-
dards associated with Competency 6 are as follows:

1. The certified practitioner recognizes the importance of creating a culture of learning

marked by periodic times for reflection and stock taking that engage the program’s
staff and its partners. Periodic program assessments provide the basis for adaptive
management. The objective of program assessment is to make explicit and internal-
ize the learning process and encourage the adjustments suggested by the program’s
experience as it matures. It is equally important to recognize and act on changes in
the social, political, and environmental context within which the program is operat-
ing. Changes in ecosystem condition and dynamics that may require adjustments to
a program’s objectives and strategies must be anticipated both at the scale in which
the program is operating and at the national or even regional and global scales.
2. The certified practitioner selects indicators for sustained monitoring that will be
most revealing of the changing condition and use of the ecosystem and of the
impacts of the actions that the program has instigated. Monitoring and evaluation
while central to the practice of ecosystem governance must be kept simple and
cost effective. The indicators selected should be a basis for accountability to the
program’s funders and stakeholders and the foundation for learning and adaptation
to change within the program and the systems in which it is operating. The program’s
monitoring must reveal the strength of the enabling conditions, gauge how the
program’s actions are influencing the behavior of key groups and institutions as
well as document progress toward the ecosystem conditions the program is striving
to achieve. Certified practitioners are familiar with a range of evaluation tools, and
are prepared to analyse progress and learning both within their program as well as
the environmental and societal contexts in which they are operating.
3. The certified practitioner recognizes that increasingly the most powerful forces
of change operate at regional and global scale and are beyond the control of an
individual coastal program. It is important to keep a program informed on events
 A Certification Program in the Governance of Coastal Ecosystems 269

at many scales and to identify what issues, what pressures, and what changes in
behavior both with the site and at larger scales will most effectively contribute to
achieving the goals of a program.

The First Class of Certified Practitioners

The first application of the GCE certification program was structured around a draft Hand-
book, prepared in Spanish, that contains worksheets designed to structure an application
of the four pillars of the program and the six competencies to a specific coastal locale. In
this initial application three 5-day workshops were held to familiarize the candidates for
certification with the methods and guide them through a practicum designed to assess their
abilities as practitioners of coastal ecosystem governance. The first workshop was directed
primarily at Competency 1—methods for assembling an analysis of long-term changes in
the condition and use of coastal ecosystems and Competency 2—analysis of governance
structures, processes, and outcomes. The second workshop centered on Competencies 3, 4,
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and 5, which address strategies for building the necessary “political will,” skills in facilita-
tion and mediation, and the abilities required to design a program based on the principles
of ecosystem approach. Here the first step was to lead the candidates through the process
of defining a long-term vision for the action arena, identifying current and anticipate future
expressions of ecosystem change—including specifically climate change. This analysis set
the context for selecting the issues that a future ecosystem based project or program in
each action arena would address. The third and final workshop was directed at refining the
designs of new initiatives that emerged in the second workshop with particular attention to
Competency 6—what to monitor and how to feature an adaptive, learning-based approach
in the design and the administration of a program. This final training event featured a
transverse analysis across the 12 sites to identify lessons specific to each category of sites
and to the portfolio as a whole.

The Evaluation of Certification Candidates

Each future certification will require adjusting the trainings and the practicum to the
needs and capacities of the applicants. The standards of competency, however, will remain
constant for the two levels of certification. All suitable candidates for certification will be
classified as candidates for either Level 1 or Level 2 certification at the beginning of a
certification program. Once a candidate has been admitted into the program he or she will
be evaluated for certification as a senior or associate manager by integrating across six
sources of evidence:

1. Detailed Curriculum Vitae. This provides for a full documentation of the can-
didate’s work-related positions, activities, and outputs as these relate to the six
competencies. The curriculum vitae and an interview is the basis for classifying a
candidate to Level 1 or Level 2.
2. Training. For future classes we anticipate that the training element of the certifica-
tion will be offered in a shorter time period and in some cases could be compressed
to two events. Based on the needs assessment and the funding available, more in-
tense training may be appropriate. In all cases training is composed of short lectures,
simulations, role plays, and emphasizes work in small groups.
3. The Practicum. This requires the candidate to demonstrate their ability to prac-
tice the competences. Practica are selected and prepared with the assistance of a
 270 S. B. Olsen et al.

candidate’s mentor and are designed to reveal a candidate’s ability to characterize

the trends in a given locale, identify the social and environmental issues that need
to be addressed, characterize the existing governance system, and then design an
intervention that is within the capacity of the organizations involved.
4. Presentation and Defense of the Practicum. Each candidate presents their
practicum to the class as a whole and will defend its scope and features to their
peers and to the mentors. This offers opportunities to assess a candidate’s skills as
a communicator and to probe the completeness and depth of their analysis, as well
as his/her specific job-related competences and attitudes.
5. Observation. The evaluation also draws on the manner in which candidates engage
in debates and activities during the training sessions provide indications of the
candidate’s general levels of understanding, confidence, and professionalism.
6. Ethics Statement. All candidates are required to sign an Ethics Statement. The Cer-
tification Board has the authority to revoke certification if presented with evidence
of wrong doing by the individual holding the certification; if revoked, the individual
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can no longer use the designation as a person certified by this program.

These six “sources of evidence” contribute, individually and collectively, to the assessment
of each candidate’s competencies. We anticipate that in the future the certification pro-
cess will require six to ten months from application to certification. Those enrolled in the
program will invest approximately not less than one month in a range of activities from
the point of interviewing with their personally assigned mentor to attending the profes-
sional development events, completing and defending their practicum, and earning their
certification.

Conclusions and Next Steps

The design and initial application of a certification program in the governance of coastal
ecosystems provides an additional strategy for building the capacities required to make
the ecosystem approach operational in coastal settings. While the competencies, standards
and process for certification have been developed in Latin America we are confident that
the program can be adapted for successful applications in other regions. The certification
process adds an important dimension to capacity-building in that it:
• Defines the competences required to apply the principles and practices of ecosystem
based governance in coastal settings
• Establishes standards within each of these competency areas that “set the bar” for
what all coastal governance initiatives should be expecting from their professionals
• Raise understanding of the profession by explicitly defining what professionals need
to do and how they should do it
• Reduces the reliance on on-the-job training
• Assures employers that they are hiring appropriately qualified individuals committed
to carrying out their work in an ethical manner
An additional benefit of certification programs is that they set explicit criteria that can
be applied when making a capacity-building needs assessment for an individual and a
program. The standards also provide a common reference point when comparing across
practitioners, programs, and other initiatives that work to apply the ecosystem approach.
In its current form, the GCE certification requires the further refinement and development
that will be afforded by its application in a diversity of settings. The program must win
 A Certification Program in the Governance of Coastal Ecosystems 271

the endorsement of national and international organizations with a commitment to promot-

ing the stewardship of coastal ecosystems. Further opportunities to apply the ecosystem
approach and disseminate the six core competencies through capacity-building should ben-
efit from this effort as a framework for conducting needs assessments, designing training
programs, adding a governance dimension to a variety of university degree programs, and
offering certification to those who can demonstrate that they meet well-defined standards
of competence.

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