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Sustainable coastal resources management: Principles and practice

Article in Natural Resources Forum · October 1999

DOI: 10.1111/j.1477-8947.1999.tb00916.x

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 Natural Resources
FORUM
PERGAMON Natural Resources Forum 23 (1999) 275-286
www.elsevier.com/locate/natresfor

Sustainable coastal resources management: principles and

practice
R.K. Turner, W.N. Adger, S. Crooks, I. Lorenzoni, L. Ledoux

Abstract
Coustol Zones ure currently experiencing intense and sustained environmental pressures from a range of driving forces.
Responsible agencies uround the globe are seeking ways of better miinaging the causes und consequences of the environmental
change process in coustul ureus. This article discusses the basic principles underpinning a more integrated approach to
cocrstul mnringenient, U S well U S the obstcrcles to its implementation in both developed and developing countries. The fulfilment
of the goul of sustuinuhle utilisrrrion of coustcrl resources via integrated munugenietit is likely to prove to he d@cult. Aiiy
successful strategy will have t o encompuss ull the elements of management from planning und design through financing and
irrii~lerizeritatiot~.
An interdiscii,liti~i~i
unulyticcrl and operutional crpproach is also required, combined with a more jexible and
pcrrticiptoty institutiond structure and ernphusis to account f o r multiple stakeholders and resource demands. As historical
nnci institutioricrl perspectives U S well as socio-economic m d cultural contexts are also important, two case studies (based on
U K N I I ~Vietriarnese esperiences) are presented in order to identify arguments and examine these aspects in more detail.
0 I999 United Nations. Published by Elsevier Science Ltd. All rights reserved.
K e y w r d s : Coastal mnnagcment; Pressure-state-impact-response;Institutional change; United Kingdom; Vietnam

1. Introduction shocks, the scale of which now poses a threat to the resilience
of both human and environmental coastal systems. The coastal
With the relentless and cumulative process of global resource systems are being stressed by growing and multiple
environmental change, driven by, among other things, popu- usage demands, many of which are competing (Turner et al.,
lation growth, urbanisation, industrial development, trade 1996).A more integrated approach to coastal management is
and capital flows, liberalisation of transnational corporation urgently required.
activity and changes in lifestyle and attitude, the world’s The present article addresses this issue through an analy-
coastal zones have come under increasingly severe pressure. sis of both the principles and practice of coastal manage-
The consequences of this process manifest themselves ment. The article first examines the basic principles
across a range of spatial and temporal scales, and now underpinning the process of integrated coastal management,
pose a significant threat to the environmental and socio- as well as the obstacles to its implementation, in both devel-
economic systems located in coastal areas. These zones oped and developing countries. Two case studies are then
contain a wide diversity of assets-human populations, introduced (UK and Vietnam) to illustrate key arguments in
physical as well as natural biological capital-with the more detail and to emphasise the importance of the histor-
capacity, when sustainably managed, to provide extensive ical, socio-economic and cultural contexts necessary for
opportunities for wealth creation and the maintenance and sustainable coastal resources management to operate.
enhancement of the quality of life. The loss of biodiversity
may impose negative impacts on the functioning and adapt-
ability of ecological systems themselves and the provision 2. Pressures, impacts and responses in the coastal zone
of their goods and services. It also seems to be the case that
the current rate of biodiversity loss is unprecedented. All In order to scope the myriad of issues, problems and
coastal areas are facing an increasing range of stresses and arguments surrounding the scientific analysis, valuation
0165-0203/99/$20.00 0 1999 United Nations. Published by Elsevier Science Ltd. All rights reserved
PII: s o l 65-02o3(99)00007-0
216 K . K . Turner et crl. / Nciturcrl Resources Forum 23 (1999)275-286

SOCIO-ECONOMICDRIVERS
Urbanizatm and transpodtrade, agncultural
mtensificatidand-use change,
tounsm and recreatwn demand, fisheries and
aquaculture, mdustnal development
*
I

/
CLIMATE CHANGE AND
COASTAL VARIABILITY
f
ENVIRONMENTAL PRESSURES
b Land conversions and reclamation,
dredgmg, aggregates and oil and gas
extraction, waste disposal in coastal waters,
water abstraction, drainage network and
estuarine and coastline engineering works,
dams, barriers and barrages, congestion. * *
ENVIRONMENTAL
POLICY RESPONSE ‘STATE’ CHANGES
OPTlONS -- --.
. I::::......... ----..
..................................
Changes in nutritmt, sediment
...
’ water fluxes across coastal
zones, loss ofhabitats and
biological diversity, visual
intrusion, groundwater
changelsak water intrusion,
eutrophicatidwater pollution,
coastal erosion.

\ .
IMPACTS
The changes in processes and
functions of eco-systems leads to
consequential impacts on human
welfare via productivity, health,
.
amen@ and conservation value
changes.

Fig. I . Pressure-state-impact-response (PSIR) framework: continuous feedback process in coastal areas. The figure shows a simplified organisational and
auditing framework illustrating the PSIR approach for a coastal zone and linked drainage basin. Source: Turner et al., 1998.

and management of coastal areas, a simplified organisa- of different stakeholders, depending on the spatial, socio-
tional and auditing framework is adopted in this article: economic, political and cultural setting. Policy response
the pressure-state-impact-response (PSIR) approach (see mechanisms will then be triggered within this continuous
Fig. I ) for a coastal zone and linked drainage basin (see feedback process.
Turner et al., 1998). Although simple, it is flexible enough At the core of this interdisciplinary analytical framework
to be conceptually valid across a range of spatial scales. It is a conceptual model, based on the concept of functional
also highlights the dynamic characteristics of ecosystem and diversity, which links ecosystem processes and functions
socio-economic system changes, involving multiple feed- with outputs of goods and services, which can then be
back within a co-evolutionary process (Turner et al., assigned monetary economic and other values (see Fig. 2).
1997). As environmental pressure builds up through various Functional diversity can be defined as the variety of
interrelated socio-economic driving forces-demographic, different responses to environmental change, in particular
economic, institutional and technological-changes occur the variety of spatial and temporal scales with which organ-
in the ecological system ‘states’. These changes include isms react to each other and to the environment (Steele,
increased nutrient, sediment and water fluxes through drai- 1991). Marine and terrestrial ecosystems differ significantly
nage basins and into the marine environment; land conver- in their functional responses to environmental change and
sion loss, fragmentation and degradation of habitats; this will have practical implications for management strate-
pollution of soils, water and atmosphere; and climate altera- gies. Thus, although marine systems may be much more
tion. sensitive to changes in their environments, they may also
The processing and functioning capabilities of ecosys- be much more resilient (i.e. more adaptable in terms of their
tems is affected, which in turn results in impacts on recovery responses to stress and shock). The functional
human welfare through changes in values such as produc- diversity concept encourages analysts to take a wider
tivity, health, amenity and other aspects. These impacts perspective and examine change in large-scale ecological
impose social welfare gains and losses across a spectrum processes, together with the relevant socio-economic driv-
 R.K. Tirrtier et d . /Nurirrrrl Resources Forum 23 (1999) 275-286 217

e.g. Geographical location (landuse interfke);

landwardseaward height and depth; slope; currents;
tides; seasonaVextreme variations; precipitation;
evapotranspiration;water in soils; pH; etc.

I
I r I I 1
Structure Processes
+e.g. Biomass; flora and fauna; e.g. Biogeochemical cycling, hydraulics;
__* waterlsah supply; minerals b nutrient flows; sandsedimenttransport; -
(including onshore and offshore water circulation; longshore transport;
oil and gas); etc. shelf transfers;ecological interactions,etc.
I Coastal zonefunctions I
---.--------------- - - -i- - - - - - - - - - _
EC?L?CY-
Coastal wne uses
GoodsProducts Services
e.g. Agricuhre; fisheries, e.g. Systems balance/environmentaI risk buffer
(beach recharge; flood control); assimilative
+

urbanisation; recreation; nature

capacxty; contamination; retentiddispersion;
habitats; energy resource sewage disposal; landfill; bathing water; etc.
I I
- - - - - - - - - - - - - - - - - - - - - - - - - ECOFOGY-
- ECONOMICS INTFRFACE
- - - - - - - I - - - - - - -

Coastal Zones Values

Direct Use Value Indirect Use Value Nonuse values

Market analysis; productivity Damage costs; production Ej-istence, bequest &

loss;hedonic pricing; travel functions; hedonic pricing; philanthropy
costs; replacement & defensive expenditures;
restoration costs; contingent relocation, replacement & Contingent valuation
valuation restoration costs; contingent

-
Option Values
Contingent valuation

-
- -
Use Value Nonuse Value

Fig. 2. Coastal zones. environmental functions and associated values. The figure shows a conceptual model, based on functional diversity, which links
ecosystem processes and functions with outputs of goods and services. These outputs can be assigned monetary economic andor other values. Source: Adapted
from Turner et al. (1998).

ing forces causing diversity loss. The focus is then on the The scale of socio-economic activity must be kept within
ability of interdependent ecological-economic systems to biophysical limits and carrying capacity, a concept related
maintain functionality under a range of stress and shock to resilience. To keep the scale of socio-economic activities
conditions. within the resilience limits of their underlying resource
Economic development is thought, these days, to be base, locally, regionally and globally, is the main challenge
constrained by the goal of sustainability. In the context of for sustainable development policy. For example: biodiver-
coastal management, sustainability can be defined as the sity loss may be related to a loss of system resilience, but the
preservation, through proper use and care, of the coastal limits are not static; appropriate behaviour, management
environment, ‘borrowed from’ future generations. But, systems and institutions can serve to delay or postpone
although an economic use of the environment can be both their onset. The principle of sustainable utilisation of
efficient and sustainable, economic efficiency does not in resources should be a key component of any future coastal
itself guarantee sustainability (Pearce and Turner, 1990). management strategy. The real challenge will be to demon-
278 R.K. Turner CI nl. / Nrrrurcrl Resources Forum 23 (1999) 275-286

LINKS TO OVERALL DEVELOPMENT PLANNING (regiondnational)

t

AnalysisiPlanning:
n PRODUCTS

’
analysis of options:
preliminary designs;
formulatiodevaluation
of management
u
structural and
non-structural
elements
0 SERVICES

Lmj
& A

I-
Financial flows
Information Flows b-
Selected

Management

Fig. 3. Simple schematic of the elements of ICZM. Source: Bower and Turner. 1998.

strate in practical ways both the economic value of coastal interest (risk avoidance), to responsibility for and obligation
resources (use and non-use values) and to identify mechanisms towards future generations. An important task is to clarify
by which local people can participate in an equitable sharing where conventional economic values are sufficient for
of income and assets devolving from coastal zones under sustainability decisions and where broader human
development pressure. The rate of social return derived values-including non-monetary values-and criteria are
from conservation-motivated activities needs to be more appropriate (Bingham et al., 1995).
compared with the rate of return available from alternative
options (the opportunity cost of conservation), allowing for
the prior correction of any existing market and institutional 3. Integration in coastal zone management
failures (Turner et al., 1996).
In principle, integrated coastal management should
No management prescriptions can possibly anticipate all
include:
the vagaries of the environmental change process. Flexibil-
ity and adaptability will be necessary characteristics of any 0 integration of programmes and plans for regional
future successful management strategy. Nevertheless, some economic development, environmental quality manage-
fundamental uncertainty will remain over climate variabil- ment and coastal management;
ity and change, and the effects of change in coastal integration of coastal management with sectoral plans for
processes and consequent losses. There is generally consid- fisheries, energy, transport, water resources, waste dispo-
erable uncertainty about the threshold values of either popu- sal and natural hazards management;
lation of organisms or biogeochemical cycles for many of integration of responsibilities for coastal management
the most important ecosystems. Further, the implications of across different levels of government -local, state/
breaching such a threshold are completely unknown (see provincial, regional, national, international-and
Perrings and Pearce, 1994). Some judgement will be between public and private sectors;
required about the socially acceptable margin of safety integration of all elements of management, from plan-
(the ‘precautionary principle’) in the exploitation and ning and design, through implementation (see Fig. 3 ) ;
protection of coastal resources. This is essentially an ethical integration among disciplines, e.g. ecology, geomorphol-
judgement and there are a number of ways in which such an ogy, marine biology, economics, engineering, political
ethical dimension can be reflected in the decision-making science, law; and
process. It may be possible to discern a hierarchy of integration of the institutional capacities available, i.e.
economic and ethical considerations, from immediate self- the management resources of the agencies and entities
interest and efficient resource use, through possible self- involved (Bower and Turner, 1998).
 Mitigation Benefits
Enhancement Benefits
Preservation Benefits
Option Benefits
Existence Benefits

Use‘VaJues Nonub Values

.........................................
I I I
Direct Use Values Indireci Use Values Option values Quasi-option Values Eristenc‘e Bequest
I (Functional Values) I I I
e.g. fish I insurance value of value &rived from just
e.g. flood control
fuelwood value of increased knowing a species or
storm protection
recreation preserving dormation system is conserved
nutrient cycling
transpod options for in the future value of passing on
waste assimilation
navigation sedimentation use ‘MtUral natural assets ‘intact’
laboratory’ to future generations
habitat loss reduction
groundwater protection ‘moral resource’ value
motivations
Valuation Methods Valuation Methods Valuation Methods Valuation Methods
Market analysis: Damage costs avoided C W C W
Other non-market Prwentive expenditures;
valuation methods Value of changes in
(TCM,CVM, HP) productivity;
(Ioc); (IS) (Relocation costs)
(Replacement costs)

Notes: Market Analysis: based on market prices; HP = hedonic pricing, based on land/property value data; CVM = contingent valuation method based
on social surveys designed to elicit willingness to pay values; TCM = travel cost method, based on recreationalist expenditure data; IOC = indirect
opportunity cost approach, based on options foregone; IS = indirect substitute approach.
The benefits categories illustrated do not include the ‘indirect’ or ‘secondary benefits’ provided by the coastal zone to the regional economy,t.e. the
regional income multiplier effects.

Fig. 4. Methods for valuing coastal zone benefits. Source: Adapted from Turner ( I 988) and Barbier (1 989).
280 R.K. Turner el cil. / Nuturd Resources Forum 23 (1999) 275-286

Coastal management will need to encompass multiple and socio-economic), but is not limited to just this. It is also
foci-the politically designated management area, ecologi- a participatory process of combining, interpreting and
cal areas (covering several ecosystems or catchment areas), communicating knowledge from diverse scientific disci-
and demand areas (sources of resource and services plines to achieve a better understanding of complex
demand). Given multiple problems and virtually always phenomena (Bower and Turner, 1998).
limited resources with which to ‘tackle’ them, a major It is important to take a historical perspective on the
task for integrated coastal management is to establish prio- interaction of socio-economic-natural systems, in order to
rities. A difficult sustainability balance will need to be advance the analysis and debate on coastal management. As
struck depending on the real and full economic value of coastal zone contexts feature irreversible effects, surprise
the various resource management options, the extent to outcomes and unpredictable changes, the appropriate policy
which sustainable human livelihoods can be fostered with response should be a flexible one. Policy should be condi-
alternative income sources substituting for unsustainable tioned by the precautionary principle and notions such as
current usage, and the actual resilience of various natural safe minimum standards, with due regard to the cost effec-
systems and processes. tiveness of options and choices, taking social opportunity
Coastal management is not therefore a unified concept costs into account. Coastal management to date, by contrast,
that varies only according to its degree of integration. The has more often than not been dominated by a more closed
scope of integration (top-down versus bottom-up) can also attitude which has sought to buffer socio-economic activ-
vary. The collective approach and maximising stakeholder ities and assets from natural hazards and risks via hard
co-operation are fundamental requirements of more sustain- engineering protection. In the face of an increasing degree
able future strategies for coastal resources management. To of environmental risk, uncertainty and ignorance, the distri-
sum up, integration is required across broad policy objec- butional incidence of the risk, costs and benefits becomes a
tives and plans, with different sectoral plans and manage- key issue. Stakeholder consultation and consequent accep-
ment, with different levels of government and with the tance of the inevitable trade-offs involved will be an impor-
public and private sectors. Integrated coastal management tant requirement in any legitimisation process.
itself must encompass all the elements of management from In future, a more active and conciliatory approach to
planning and design through financing and implementation. consultation across and among stakeholders in any given
It also requires an interdisciplinary analytical and opera- resource allocation and environmental decision-making
tional approach. There is a need to combine some centra- situation will be required. It can be argued that there are
lised institutional capacity (to ensure co-ordination and cost strong social, political and economic arguments for widen-
effectiveness) with a more process-oriented and participa- ing the consultative arrangements and ensuring a more face
tory network which extends down to the local level (to to face participatory role for representative interests.
address equity and other stakeholder concerns). 0’Riordan and Ward ( 1997), for example, have explored
the theory of legitimisation and legitimacy in participatory
negotiative processes in the context of shoreline manage-
4. Barriers to integrated coastal management ment planning in the UK. They have sought to justify the
empowerment of stakeholders through respect, authenticity
Obstacles to the fulfilment of the goal of sustainable and trust in the conduct of mediating exercises.
coastal resources development include a lack of political Sustainable use of coastal resources cannot, therefore, be
will to invest in the forms of governance necessary to deal divorced from the economic, political and legal framework
with the complex relationships found in coastal zones. Some within which management takes place. This first part of the
existing institutions also serve to inhibit adaptive responses article has highlighted integration as a necessary condition
to ecosystem changes, and conjointly create a gridlock for managing coastal resources in a sustainable manner and
situation as well as confusion in environmental management has also argued that an appropriate and flexible institutional
(Pritchard et al., 1998). The slow rate of progress of inte- infrastructure is an important component of sustainability in
gration measures reflects the strength of the vested interests this context. Two case studies of coastal management, in the
that may exist, but may also be due to a failure to demon- UK and Vietnam. will now be examined.
strate the net social benefits of a more integrated strategy for
coastal planning and management and the incomplete scien-
tific understanding of the functioning of coastal processes 5. Institutional change and integration: UK
and ecosystems (see Fig. 4). The benefits of integrated
management can be demonstrated by comparing a coastal The coastal lowlands of the UK have been subject to ad
resource management strategy ‘without integration’ versus hoc embankment and land-use modification since the
one ‘with integration’. The net benefits are then represented Romano-British Period some 2000 years ago. The present
by the difference between the two ‘states of the world’ in coastal zone configuration reflects this unregulated develop-
given coastal areas. The integrated assessment framework ment with, in England alone, over 860 km of soft cliffs,
must include coupled or integrated models (biogeochemical susceptible to erosion and requiring protection (23% of
 R.K. Turner el d . 1Nnlurcrl Resources Forum 23 (1999) 275-286 28 I

the coastline), and in excess of 1259 km of sea-defences quality in England and Wales. The remit of the Environment
protecting 2347 k m 2 of embanked lowlands from flooding Agency (EA)3 is now to police environmental quality in
(Barne et al., 1996). On these coastal flood plains, over 5% coastal areas, but the Agency has no power for direct
of the population live (more than 2 million people) and 50% management of coastal zones or for policy-making beyond
of the highest grade agricultural land is found. The remain- an advisory capacity. Any modifications to the existing
ing coastal natural resources in the UK are suffering from a structures and existing policy implementation, suggested
continuous net decline, in part related to coastal squeeze’ of by the EA, have to be undertaken through the institutional
intertidal habitats. channels currently in force.
The need for a more integrated approach to coastal zone Nevertheless, integration of CZM is by no means
management (CZM) was highlighted by a parliamentary complete and, as yet, the coastal zone is not being treated
committee, convened in I99 I , to address the growing envir- as one integrated unit. Several barriers to integrated CZM
onmental and development pressures (HOC, 1992). remains to be overcome in the UK. A nationally fragmented
Although the study is limited to England and neighbouring institutional structure still hinders a holistic and co-ordi-
estuaries, the recommendations of the committee are applic- nated approach to CZM. The distribution of responsibility
able throughout the UK. for management of the UK coastal zone is partitioned across
The committee recommended that the coastal zone be a tiered system of local, regional and national governmental
treated as one integrated unit, to be subject to Europe- levels. In England, environmental policy is implemented by
wide policy initiatives and legislation. A national strategic the Department of the Environment, Transport and the
overview of policy and enabling framework for manage- Regions. The Department of Trade and Industry deals
ment was thought to be lacking, and an obvious first step with mineral/energy extraction, waste and pollution control
in any integration process should be the combining of the and areas related to navigation (such as shipping, commu-
currently separate responsibilities for coastal protection nications), regulation of oil and gas exploration and exploi-
(largely erosion countermeasures) and sea defence (flooding tation, mainly offshore (HOC, 1992; DTI, 1998). The Home
and inundation countermeasures). More funding should be Office is responsible for bylaws in England and Wales.
provided for regional bodies and groups, together with Likewise, flood and coastal defence and fisheries are the
better databases and monitoring of coastal change. The responsibilities of the Ministry of Agriculture, Fisheries
concept of spatially defined areas, coastal ‘cells’, on and Food (MAFF). At sub-regional level local authorities
which niore participatory planning and management could are empowered to undertake flood defence works (funded
be based was also advocated. A number of measures for by local taxes and grant aid support by MAFF) and are
strengthening environmental protection were put forward responsible for the zoning of land-use. All these exemplify
to buttress the provisions of the EU Habitats Directive, the the fractionation of responsibilities and are a good indica-
establishment of marine areas of conservation, and the crea- tion of the plethora of existing management reports for
tion of new coastal habitats as part of managed retreat and coastal zones produced by the many separate departments
other soft engineering’ approaches (HOC, 1992). and organisations involved.
Some of these suggestions have already been implemen- The range of management plans being produced have
ted or are currently being incorporated into local policies. been valuable in highlighting conflicts of interest and the
Numerous statutory and non-statutory baseline management state of the coastal zone. The county of Northumberland, for
plans have been created to identify pressures within the example, currently possesses 2 I different management
coastal zone; nature conservancy agencies have been plans encompassing various geographical scales and
provided with funds to catalogue the state of the UK’s sectoral interests for its coastline. However, local managers
natural resources; the UK has adopted European legislation, and decision-makers are becoming fatigued by the process
specifically the Habitats Directive, which provides a greater of producing plans which have yet to identify an integrated
level of protection to nominated habitats within designated and holistic strategy for managing their coast. Managers in
areas; operational planning authorities are gaining greater many areas are now requesting guidance on linking these
awareness of the need to incorporate environmental and risk plans together (including many non-statutory plans, such as
considerations in the planning process of coastal areas; and Biodiversity Action Plans), rather than asking for further
research into habitat restoration by managed retreat is new plans.
currently in progress. A significant step forward has been In terms of legislative interdependence between the UK
the creation of a single regulator to oversee environmental and the European Union, the implementation of the Habitats
Directive illustrates the difficulties encountered in balancing
’ Coastal squeeze is the loss of intertidal resources through narrowing of maintenance/enhancement of biodiversity and flood defence
the intertidal zone between the low water mark and sea-embankments as sea considerations. To date, 272 Special Areas of Conservation
lcvcl rises.
’Soft engineering refers to the integration of natural coastal systems
such as a salttnarsh. dune system or beach to provide a more resilient Created in April 1996 from the amalgamation of the National Rivers
form of sea-defence rather than falling back on less resilient hard, engincer- Authority, Her Majesty’s Pollution Inspectorate and Waste Regulation
ing structurcs. Authorities.
282 R.K. T i m e r et 01. / Nuturul Resorirces Foririii 23 (1999) 275-286

Table I
MAFF Priorities for Grant Aid Scheme (PGAS)

Elements of the scoring system Description Scorc

Priority Flood warning 10

Urban coastal/tidal defences 8
Urban Hood defence; environmental assets of international importance 6
Rural coastal/tidal defences; existing rural flood defences and drainage works; 4
environmental assets of national significance
New rural flood defence works: environmental assets of local significance 2
Urgency (based on expected residual life)” Failure.. .
Already occurred 10
Expected within 2 years 8
Expected within 5 years 6
Not expected within 5 years 0
Alternatively, when information on urgency not Flood warning scheme New: 10
easy to assess, equivalence can be based on
following scheme types:
Replacement: 9
Research for a shoreline management plan (SMP) New: 9
Updates: 8
linplementation of water level management plans (WLMPs) 8
Strategy studies leading to capital defence works 7
Economic based on benefit:cost ratios of
Over 5
Between 3 and 5
Between 2 and 3
Between 1.5 and 2
Between I and 1.5
Studies (e.g. SMP), where b:c not known

’ Scores for urgency can also be derived from a shortfall in standard of protection, based on ii comparison between current and proposcd standards of
defence.
Source: Adapted from Purnell and Richardson, 1997

(SACS) have been identified in the UK (English Nature, Grant Aid Scheme, PGAS) to structure the allocation of
1998) and submitted to the European Commission to be national funding for coastal flood and sea defence works
considered for inclusion with similarly identified areas in (Table I ) .
other Member States as part of the future Natura 2000 The ‘points system’ currently being used is based on a
network. Despite these efforts, however, conservation ‘top-down’ approach: coastal erosion and flood defence
policy in the UK, whether influenced by legislation at the schemes are assessed individually according to three
European level or not, protects natural habitats to some criteria, namely priority, urgency and economics and then
extent from development within designated areas, but ranked depending on points attained. Those schemes
does not provide a mechanism to maintain habitat levels exceeding a given points threshold (the level of which is
and diversity in the face of global changes (e.g. sea-level set by available funding that year: for the year 1998, it was
rise and coastal squeeze). This situation hinders the main- 23 points) are provided with grant aid support. Point allot-
tenance of a resilient coastline and the implementation of ment reflects: principal land use of the area; how quickly
integrated CZM. work should be undertaken; any impacts resulting from this
One of the areas of conflict still to be resolved is the work; the residual life of sea defences or the decrease of
merging of governance as enacted through a ‘top-down’ protection provided by these structures; and the benefits
national policy approach with local sustainable manage- related to any costs of the scheme (cost benefit analysis,
ment based on a ‘bottom-up’ approach involving the grass- expressed as a ratio).
roots levels of society. The problem of integrating the From the MAFF perspective, operating with limited fund-
maintenance of biodiversity and flood defence is a typical ing, the scheme is designed to channel funds to meet most
example. Until recently, the main funding mechanism to critical needs: protecting human lives and the higher
recreate habitat in the coastal zone consisted in government economic value areas, such as urban districts as against
grants supporting schemes to maintain flood defence rural areas. Implementation of this scheme will cause the
requirements through the landward realignment of sea- level of protection to rural areas to steadily fall, placing
defences. These schemes were updated in Autumn 1997, natural assets behind flood defences under increasing pres-
when MAFF introduced a new pilot scheme (Priorities for sure. However, because PGAS considers projects on an
 R.K. Turner et al. /Natural Resources Forum 23 (1999) 275-286 283

individual basis and as funding is geared towards urgency, A consultation exercise over flood defence and land use
long-term pressure on overall coastal resilience are not issues at Cley and Kelling was undertaken in 1996 by
taken into account. Although there is scope within the university-based researchers, with support from the EA. A
scheme to include intertidal habitat recreation as a benefit, bottom-up approach was facilitated to reach a consensus on
both for environmental and ‘soft-engineering’ flood defence a strategy for the defence of the coast between Cley and
scheme considerations, large-scale geographical concerns Kelling (O’Riordan and Ward, 1997). All parties with an
are not taken into account. interest in any outcome of the decision-making process and
At present, the strategic recreation or restoration of inter- the future of the area were involved in the discussions. The
tidal habitat beyond that created as a secondary considera- result of the consultation process was positive. Local stake-
tion from flood defence requirements is poorly supported holders, governmental and non-government bodies (such as
politically, institutionally and financially. Biodiversity the EA and the Royal Society for the Protection of Birds)
Action Plans, produced by conservation organisations, identified a sustainable strategy for the future of the area: a
have outlined requirements to be met if UK coastal regions secondary line of defence was to be created some distance
are to maintain natural resource assets. However as these back and the shingle barrier was to be allowed to regain a
plans are non-statutory, demands for action cannot be natural form and continue its landward migration; habitat
legally enforced. The lack of financial means and instru- lost was to be recreated elsewhere though at the time no
ments hampers agencies wishing to restore coastal habitat specific geographical location had been identified (O’Rior-
through coastal realignment. There are cases where agencies dan and Ward, 1997). Although funding for the project had
having raised funds to acquire land for habitat re-establish- been earmarked, this issue was still to be resolved when the
ment were prevented from purchasing such land by pressure MAFF new PGAS was introduced; funding for the scheme
from landowners, who considered coastal realignment in their agreed by stakeholders was postponed, partly due to the
region as a threat rather than a benefit. Losses of natural status of the area being considered ‘rural’ and thus not top
resources in the UK coastal zone are therefore, in some priority.
measure, a consequence of the lack of commitment to ICZM. To summarise, although CZM in the UK has come a long
Given these circumstances, the low-lying coastal regions way in the last few years, it is as yet far from integrated. The
of eastern England are particularly at risk from a combina- institutional structure dealing with coastal issues remains
tion of natural variability and the lack of an integrated fragmented. Local sustainable management issues are too
approach to CZM. Much of the coastal natural resources often ignored and the dominance of ‘top-down’ policy and
in this region are protected under the Habitats Directive approaches based on flood protection schemes, has lead to a
according to which losses through development pressures lack of commitment to the funding of more integrated
should be mitigated by compensatory provision of natural schemes, i.e. those involving a combination of managed
habitat. The scale of many of the developments, however, is retreat and soft engineering measures. The net impact of
small, and as such is not deemed to have a “significant climate change-induced sea-level rise on intertidal and
effect” on the “integrity of the (natural) site”. In the long- other relevant habitats at the landscape level is also not
term, these losses may accumulate to degrade the site adequately incorporated into the official strategy which
completely (known as ‘death by a thousand cuts’). Natural only prioritises ‘urban’ defences as nodal points.
resources are also being lost through the pressures of envir-
onmental change, including rising sea-levels. Not until these
losses are addressed will coastal resources and their asso- 6. Institutional change, risk and sustainability: Vietnam
ciated functions be maintained for the future.
From the point of view of local sustainability, the short- Vietnam has had a sophisticated and effective system of
comings of the present coastline management are exempli- coastal management and policy response to environmental
fied by the case of the villages of Cley and Kelling in north change. The following case study provides evidence that the
Norfolk, UK. The coastline in this area consists of a shingle level of institutional infrastructure is not determined simply
barrier ridge, which protects the two villages from flooding by the level of income: developing countries with low
as well as an embanked freshwater grassing marsh and reed- income do not necessarily have less effective institutions
beds, with a high environmental status recognised interna- for coastal management. In fact the necessity to substitute
tionally (designated as Ramsar, SPA, candidate SAC as well risk-minimising collective action for physical infrastructure
as being one of Britain’s flagship County Nature Reserves). can provide the incentives for appropriate institutional
Under conditions of rising sea-levels, the barrier has been arrangements for sustainable coastal resource management.
slowly migrating landward, and to prevent this, steps have These lessons are drawn from a case study of risk manage-
been taken over the past 20 years to bulldoze the barrier. ment in coastal Vietnam by taking a historical perspective
This action has reduced the integrity and resilience of the on the evolution of the institutions in that centrally planned
barrier, which has been breached several times in recent economy which, in the past decade, has moved rapidly
years, leading to saline flooding of the freshwater grazing towards a decentralised and market-oriented development
marsh, with adverse consequences for the wildlife. trajectory. The case illustrates the impacts-and-response
284 R.K.Turner ei ul. / Nurural Resources Forum 23 (1999)275-286

section of the PSIR framework (see Fig. 1 ) outlined above, tempered through an elaborate system of social institutions
and demonstrates that sustainable coastal resource manage- from the formal commune and district level government to
ment requires effective and legitimate institutions which an informal moral economy of reciprocal arrangements and
evolve and adapt to changing pressures and impacts. networks. The district and commune authorities operate a
The management of risk is a critical element of much tax-funded system of activities to mitigate the impacts of
coastal planning with respect to coastal flooding and longer storms. These activities include work brigades to repair and
term environmental change. Both physical infrastructure maintain the dike system and the mobilisation of province
and the natural ecosystems of coastal Vietnam fulfil an level labour and resources when floods or widespread
important storm protection function, sheltering agriculture, damage occur.
aquaculture and urban settlements along the country’s The district level institutions in northern Vietnam are
3000 km coastline. These coastal areas have high economic responsible for protection from coastal storms, primarily
value. The global assessment by Costanza et al. ( 1 997) through a series of sea and river dikes along the southern
identifies coastal ecosystems as possessing the highest and eastern boundaries of the district under their control.
economic value of any major ecosystem, whether terrestrial However, the threat of coastal hazards and related costs are
or marine, and includes a value for coastal protection. An both differentiated and diverse. Firstly, the communes of
analysis of a part of the economic value of coastal protection Xuan Thuy face different threats. The whole district is
for Vietnam has been outlined by Tri et al. (1998). Tri and impacted by severe coastal storms and typhoons. The exten-
co-authors show that coastal protection is a significant sive coastline of Vietnam experiences a mean rate of land-
element of the overall value of coastal zones, but not as fall typhoons of approximately five per year over the last
important as local benefits derived from maintenance of century, though it is projected that the typhoon regime will
mangrove ecosystems. Coastal protection must be handled change in both intensity, frequency and seasonality with
in an integrated manner, as it involves multiple aspects, such global climatic change (Kelly, 1996). In addition, the central
as ecosystem management; the development of infrastruc- nature of government planning in Vietnam has led to a
ture; the perception of risk; and impacts on settlements and government decree, enforced for over two decades, that
economic behaviour. all adults in coastal districts in the country must allocate
The recent history of Xuan Thuy District in Nam Dinh 10 days of their labour annually to dike protection. This
Province, northern Vietnam, demonstrates how the restruc- may well not be an efficient resource allocation, considering
turing of ownership and control of coastal resources the range of typhoon risk and threat, as well as the varying
throughout Vietnam’s coastal provinces and the reduction erosion and sedimentation circumstances of the coast. Thus,
of collective action in these areas has resulted in an increas- while not all centralised planning can be seen to be contri-
ingly hazardous environment (see Adger, 1998, 1999). buting to sustainability from a perspective of economic effi-
Locally organised collective action for coastal defence ciency, simple decentralisation is not the panacea either.
and water management has been undermined by decollecti- Given these threats and the uncertainty over future
visation and the decline in importance of agricultural impacts of typhoons, the Xuan Thuy District Irrigation
co-operatives. Offsetting these trends, informal collective Committee establishes the need for dike repairs and main-
action manifested by civil society has acted to counter the tenance throughout the district and decides on priorities for
overall increase in vulnerability to external environmental expenditure. This system embodies the conflict between
change. economic liberalisation and collective security. Communes
Features of the recent historical evolution of collective employ a variety of strategies to utilise the revenue they
action to mitigate hazards in Nam Dinh Province include the raise for storm protection. The difference in use depends
hierarchical operation of local and regional central planning primarily on geographic location: coastal communes have
under collectivised agriculture in the communist era; the the sea dikes within their jurisdiction. The communes have
inertia of this system in the light of both liberalisation and rather different profiles of impacts of storms and have differ-
of changing environmental pressures; and concurrent insti- ent opportunities to use surplus labour for dike protection.
tutional adaptation to cultural and political-economic The village council raises the following ‘hypothecated’
factors within the district. The local level formal govern- resources within the commune for dike protection with two
ment institutions have, over the past three decades, acted as major features. Firstly, taxes are raised, in an amount
facilitators for collective action to ameliorate the impacts of equivalent to 40 kg of rice (VND 70,000)4 or the equivalent
climate extremes and hazards. In the most recent 5 years of 10 days of labour, based on the number of eligible work-
under economic reforms, known as Doi Moi reforms, signif- ers in each household. All male workers between 18 and
icant retrenchment of government institutions has occurred, 45 years old and all females 18-25 years old are liable for
which essentially has reduced the importance of collective this tax. The tax is district wide and supports both temporary
action and therefore enhanced vulnerability. The major work brigades and hired groups of workers drawn from the
reason for this is the concentration of resources and power
in the coastal communes as a result of decentralisation. ‘ Rate of exchange for Vietnamese dong: 13,903 VND = US$] (olticial
Collective vulnerability to extreme climate events is rate of exchange used by the United Nations, I August 1999).
 R.K. Turner et ul. /Natural Resources Forum 23 (1999) 275-286 285

district who take on this labouring task as seasonal employ- The empirical observations from Xuan Thuy District
ment. Secondly, a labour force is constituted for mainte- demonstrate that institutional inertia and the reinforcement
nance during the months of March to May after the first of strictly hierarchical structures exacerbate vulnerability in
rice crop has been transplanted. This workforce is a subset the short run at the district and commune level, while many
of the total eligible adults and complements the paid work other adaptations within formal as well as non-formal insti-
brigades. In reality, not all eligible adults are called in any tutions offset this trend and enhance security. Institutional
year, with the workforce determined by the extent of storm change can be observed both as material outcomes such as
damage. In storm years all labour aged people are expected formal institutional action and inaction, and also by percep-
to carry out emergency repairs. In 1986, these lasted for over tions of being able to cope with and respond to the hazar-
one month for a large section of the available population. dous environment.
The tax and the contribution of labour are alternative The observed institutional changes are almost exclusively
means of payment for most people in the district. However, stimulated by the processes of economic liberalisation and
in practice only coastal dwellers actually contribute their transition to a market economy. The rapidity of this liberal-
labour. The ‘tax’ system represents the latest evolution of isation makes it relatively easier to observe the impacts of
the shift to household responsibility as a necessary outcome institutional change; and also puts in sharper relief the
of the privatisation process and has regressive distributional offsetting nature of most of the recent changes in terms of
impacts. Households perceive all charges levied by the coastal zone vulnerability. Thus the reinforcing of commune
commune or the co-operative as the overall ‘tax’, while in influence over resource allocation in the present era of the
effect some are user fees and some property and land taxes, ‘rolling back’ of state influence in Vietnam, increases
some are general taxes and some are earmarked for specific collective vulnerability at the district level with respect to
purposes. The dike maintenance tax is an earmarked head sea dike maintenance.
tax, but is simply perceived as part of the general tax burden The dike maintenance aspect of the commune’s respon-
by Xuan Thuy householders. sibility for hazard mitigation has become increasingly
Allocating their own labour to dike repair ensures that the monetised and professionalised. The redirection of
coastal communes limit their input into the system, particu- resources towards the core of politically influential commu-
larly in years where few repairs are required and avoid nes in coastal Xuan Thuy is the principal negative outcome
paying monetary resources to the district government. In of autarchic decision-making, in terms of increased vulner-
the dike protection season following a year with little ability. At a higher level, district and province level institu-
storm damage, such as 1995, those communes who do not tions side-step the issue of a potentially more risky coastal
directly allocate labour (the inland communes) still have to environment, and provide a minimum of strategic planning.
pay full tax rates, while the coastal communes, by contrast, The Vietnamese experience of ‘decentralisation’ of the
can simply undertake their own repairs. economy provides evidence that the political re-casting of
Further, the ‘hypothecated’ tax collected by the district some of the organs of administrative power does not neces-
government is not spent annually solely on coastal protection: sarily lead to greater local participation or collective
the tax actually collected is at least four times that spent on empowerment (Slater, 1989).
coastal protection in years such as 1996. Indeed, the rich A key issue is whether presently observed institutional
coastal communes receive a ‘double dividend’ of paying change in Vietnam is contributing effectively to collective
lower effective tax rate than inland communes, along with security or if it is, on the contrary, increasing the vulner-
receiving disproportionate investment in other infrastructure ability of society to climate extremes. Local autonomy from
projects. In effect, a ‘core’ of powerful coastal communes are central state policy, and the enhanced role of provinces,
being created which capture resources at the district level, to districts and communes, have, in the past, resulted in dissi-
the detriment of ‘peripheral’ inland communes. pation of infrastructure investments in Vietnam. At the same
This type of action, along with the lack of consultation time, it has not necessarily led to greater local participation
with the district irrigation committee, constitutes a form of in decision-making (see discussion of decentralisation
non-decision-making, which keeps the political playing above and Slater, 1989), but the system of local autonomy
field tilted in favour of the coastal communes. Furthermore, would appear to have a potential cost.
some commune level officials appeal to the locally held Local autonomy and privatisation have contributed to the
perception that storm impact is a major constraint on loss of mangrove areas in coastal Xuan Thuy, thus weaken-
economic performance. Hence, they argue that it is legiti- ing coastal protection and enhancing the damage potential
mate, as a reflection of local knowledge, to maintain tax of storms. In addition, decentralisation has created a vacuum
collection for sea dike maintenance. However, coastal at the level of strategic management.
communes officials are equally ready to downplay potential In summary, the economic reforms and institutional
storm impacts and other environmental change when conve- changes associated with the dike protection system of
nient. Thus, when officials wish to promote economic Xuan Thuy provides insights into hazard mitigation and
growth to the exclusion of other policy objectives, they institutional adaptation to social and environmental change
trivialise hazard mitigation. relevant for sustainable coastal management. The
 286 R.K. Turner et nl. / Nnturcil Resources Fonotr 23 (1999) 275-286

communes essentially use the sea dike resource allocation environmental change in coastal Vietnam. Paper presented at ’Crossing
system to maximise their own budgets, often by unaccoun- Boundaries’, Seventh Conference of the International Association for
the Study of Common Property, Vancouver, June, pp. 10-14.
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