2017

GoodpracticeguidelinesforsuccessfulNationalIntersectoralCoordinatingMechanisms(NICs)S.COMPTON,P.McCONNEY,I.MONNEREAU,B.SIMMONSANDR.MAHON

CLME+COMMUNICATION—CERMESTechnicalReportNo.88

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Developmentofthisinformationproductanditscontents,and/ortheactivitiesleadingthereto,havebenefitedfromthefinancialsupportoftheUNDP/GEFProject:“CatalyzingImplementationoftheStrategicActionProgramme(SAP)fortheSustainableManagementofsharedLivingMarineResourcesintheCaribbeanandNorthBrazilShelfLargeMarineEcosystems”(CLME+Project,2015-2020)TheCLME+ProjectisexecutedbytheUnitedNationsOfficeforProjectServices(UNOPS)inclosecollaborationwithalargenumberofglobal,regionalandnational-levelpartners.Allarejointlyreferredtoasthe“CLME+Projectco-executingpartners”.www.clmeproject.orginfo@clmeproject.org

As a GEF Agency, theUnitedNations Development Programme (UNDP) implements a global portfolio of GEF co-fundedLargeMarineEcosystemprojects,amongwhichtheCLME+Project.www.undp.orgThroughtheInternationalWaters(IW)focalarea,theGlobalEnvironmentFacility(GEF)helpscountriesjointlymanagetheirtransboundarysurfacewaterbasins,groundwaterbasins,andcoastalandmarineecosystems.www.thegef.orgUNOPSmissionistoservepeopleinneedbyexpandingtheabilityoftheUnitedNations,governmentsandotherpartnerstomanageprojects,infrastructureandprocurementinasustainableandefficientmanner.www.unops.org

_______________________CLME+ProjectInformationProductsareavailableontheCLME+Hub(www.clmeplus.org)andcanbedownloadedfreeofcost.Publication:UniversityoftheWestIndies(UWI),CentreforResourceManagementandEnvironmentalStudies(CERMES),August2017ContactPatrickMcConney,patrick.mcconney@cavehill.uwi.edu©CentreforResourceManagementandEnvironmentalStudies(CERMES)Photofrontcover:MelanieAndrews,CaribbeanNaturalResourcesInstitute(CANARI).Citation: Compton, S., P. McConney, I. Monnereau, B. Simmons and R. Mahon. 2017. Good Practice Guidelines for Successful NationalIntersectoralCoordinationMechanisms(NICs).ReportfortheUNDP/GEFCLME+Project(2015-2020).CentreforResourceManagementandEnvironmentalStudies,TheUniversityoftheWestIndies,CaveHillCampus,Barbados.CERMESTechnicalReportNo.88:14pp.UWI-CERMES and the other CLME+ Project co-executing partners encourage the reproduction, dissemination and use of this InformationProduct.Exceptwhereotherwiseindicated,materialfromthisInformationProductmaybecopied,downloaded,reproducedanddisseminatedforprivatestudy,research,educational,advocacyandawareness-raisingpurposes,orforuseinnon-commercialproductsorservices,withoutspecialpermissionfromthecopyrightholder,providedthattheappropriateacknowledgmentofthesourceismadeandthatendorsementbytheauthorsand/ortheGEF,UNDPandtheCLME+Projectco-executingpartnersoftheusers’views,productsorservicesisnotimpliedinanyway.Disclaimer:ThedesignationsemployedandthepresentationofinformationinanyformatinthisInformationProductdonotimplytheexpressionofanyopinionwhatsoeveronthepartoftheGEF,UNDPand/oranyoftheCLME+Projectco-executingpartnersotherthantheauthorsconcerningthe legal statusof any country, territory, cityorareaorof its authorities,or concerning thedelimitationof its frontiersorboundaries. Thementionofspecificcompaniesorofcertainmanufacturers'productsdoesnotimplythattheyareendorsedorrecommendedbytheGEF,UNDPand/or any of the CLME+ Project co-executing partners other than the authors in preference to others of a similar nature that are notmentioned.Unlessexpresslystatedotherwise, thecontent, facts, findings, interpretations,conclusions,viewsandopinionsexpressed inthisInformation Product are those of the Author(s), and publication as a CLME+ Project Information Product does not by itself constitute anendorsementoftheGEF,UNDPand/oranyoftheCLME+Projectco-executingpartnersotherthantheauthorsofsuchcontent,facts,findings,interpretations,conclusions,viewsoropinions.TheGEF,UNDPand/oranyoftheCLME+Projectco-executingpartnersotherthantheauthorsdonotwarrantthattheinformationcontainedinthisInformationProductiscompleteandcorrectandshallnotbeliablewhatsoeverforanydamagesincurredasaresultofitsuse.CLME+Projectco-executingpartners:

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CONTENTS

1 INTRODUCTION...............................................................................................................1

1.1 BACKGROUND......................................................................................................................11.2 USINGTHESEGUIDELINES........................................................................................................2

2 NICFEATURESANDFUNCTIONS.......................................................................................2

2.1 ROLEWITHINGOVERNANCEFRAMEWORK...................................................................................22.2 DESIGNCRITERIA...................................................................................................................52.3 COMMONCHALLENGESANDCOMPLAINTS..................................................................................5

3 GOODPRACTICESFORSUCCESSES...................................................................................6

4 SAMPLESOFSUCCESS......................................................................................................9

5 REFERENCESANDRESOURCES.......................................................................................13

5.1 LITERATURECITEDANDFURTHERREADING................................................................................135.2 ONLINERESOURCES.............................................................................................................14

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ACRONYMS AND ABBREVIATIONS

CCO ColombianOceanCommissionCFMC CaribbeanFisheriesManagementCouncilCIRM Inter-ministerialCommissionforSeaResourceCLME+ CaribbeanandNorthBrazilShelfLargeMarineEcosystemsDAP DistrictAdvisoryPanelEAF EcosystemApproachtoFisheriesEBM Ecosystem-BasedManagementEEZ ExclusiveEconomicZoneFAC FisheriesAdvisoryCommitteeGEAF GovernanceEffectivenessAssessmentFrameworkICZM IntegratedCoastalZoneManagementIMC Inter-Ministerial[orInter-Ministry]Committee(oftensynonymouswithNIC)IW InternationalWatersMPA MarineProtectedAreaNGO Non-GovernmentalOrganizationNIC NationalIntersectoralCommittee/CoordinationMechanism(sameasIMC)OECS OrganizationofEasternCaribbeanStatesOGC OceanGovernanceCommitteeRGF RegionalGovernanceFrameworkSAP StrategicActionProgramme TDA TransboundaryDiagnosticAnalyses

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1 INTRODUCTION

1.1 Background

ThecombinedregionoftheCaribbeanandNorthBrazilShelfLargeMarineEcosystems(CLME+)is one of the geopolitically most diverse and complex in the world. There are twenty-sixindependentstatesandeighteendependentorassociatedterritoriesthatarelocatedwithin,orborder, theCLME+ region. In2013,a10yearCLME+StrategicActionProgramme1 (SAP)wasfinalizedandpoliticallyendorsedbyover20statesintheCLME+region.

Outcome 1 of the UNDP/GEF Project on Catalysing Implementation of the Strategic ActionProgramme (SAP) for the SustainableManagement of Shared LivingMarine Resources in theCaribbean and North Brazil Shelf Large Marine Ecosystems (CLME+ Project, 2015-2020) is‘Integrative governance arrangements for sustainable fisheries and for the protection of themarine environment’. Under this, Output 1.2 is ‘National Intersectoral CoordinationMechanisms(NICs).Afirststeptowardsthisoutputistodetermine:(a)bestpracticesrelatedtoNICsinLMEprojectsgloballyand(b)thetrendsandstatusofNICsintheCLME+region.

The approach to NICs must be carefully crafted if the CLME+ Project is to contribute toestablishingand/orstrengtheningmechanisms inawaythatwill serveboth theneedsof theregionalorganizationsandthecountriesmorebroadly.Theapproachthatismorelikelytobesustainable for documenting and understanding best practices of NICs is to: (i) outline thefunctionsofaNIC,(ii)determinetheexistenceofNICs,orwhatsimilarmechanismshavebeentried inCLME+countriesandterritoriestocarryoutrelatedfunctions;(iii)useaparticipatoryapproachtomonitorandidentifyprogresswiththeintentiontohelpestablishandstrengthentheoperationofthesemechanisms.

TheestablishmentofNICs is identified in theCLME+SAPasa targetat thenational level forimplementing ecosystem-basedmanagement (EBM) and an ecosystem approach to fisheries(EAF) for shared living marine resources in CLME+. In the CLME+ region no existing NIC isperfect,however,theprevalenceoflegalmandatesandincreasinginteractionamongeconomicsectors and stakeholder interests reveals potential. Awareness of the need to design theseinstitutionstobeadaptivehasgrown.MoreconsiderationisbeinggiventoinclusivityandthedynamicsofstakeholderinteractionswithintheNICsandbetweenthemandotherinterestsinthepolicydomain.

ProcessesinNICsarepoorlydocumentedandconsequentlyinstitutionalmemoryisoftenalsopoor.AsurveyofNICsinLMEsandtheCLME+regionwasconductedin2015.TheNICssurveyreport (CERMES2016)wasdivided into twoparts:part1 - a global rapid surveyofNICs inaselectionofLMEs;andpart2-theresultsofthesurveyofNICsintheCLME+region.Theresultsofthesurveyconcludedthattherewasahighlevelofpositiveresponseconcerningadherenceto the principles of good governance, particularly participation, and that stakeholders were 1“10-yearCLME+StrategicActionProgrammefortheSustainableManagementofthesharedLivingMarineResourcesoftheCaribbeanandNorthBrazilShelfLargeMarineEcosystems”

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open to establishing or reactivating NICs on some level during their marine governanceprocesses. The guidancepresentedherein is goodpractices exemplifiedby some functioningNICswithin someCLME countries. These goodpractices canbeused to improve governancethat could lead to the successful establishment and/or reactivation of NICs structuresthroughouttheCLME+region.

1.2 Using these guidelines

These guidelines on good practices that favour success are intended for all current andpotential NIC stakeholders. These range from citizens as members of the public to policy-makersasleadersingovernance.SectionsthatfollowcoversomekeyfeaturesandfunctionsofmostNICs, good practices for success, some samples of successful NICs, and references andresourcesforreaderstoobtainmoreinformation.Thedocumentiskeptasshortandsimpleaspossible for such a complex subject. Abundant guidance exists online on governanceinstitutions and processes suitable for all types and scales of arrangements. Readers areencouragedtoperusetheseconciseguidelinesforgeneralcontext,andthenseekmorespecificinformationthataddressestheirqueriesorconcerns.

2 NIC FEATURES AND FUNCTIONS

Many social and economic sectors and government agencies with their multi-stakeholderpartnershipshavean interest inmarineaffairs.Themixofagenciesvariesbycountry,withincountry and over time as responsibilities shift and issues change in nature, priority orprominence. In the CLME+ region NICs and similar arrangements include some FisheriesAdvisory Committees (FAC), sustainable development commissions, sustainable oceangovernancecommittees,integratedcoastalmanagementinstitutions,climatechangeprocessesandothermechanismsforintersectoralcoordination.Thesemayhavegreaterorlesserrolesinmarine affairs depending upon many factors that are constantly changing. NICs must beadaptableandresilientinordertobesustainableunderverydynamicconditions.

2.1 Role within governance framework

The causal chain and transboundarydiagnostic analysesof theUNDP/GEFCLME (2009-2014)capacity building project identified weaknesses in transboundary living marine resourcegovernance arrangements. It appeared that if such governance was better articulated andcoordinated,withinastructuredregionalgovernanceframework,asubstantialincreaseinthepositiveimpactsofthemanyongoingandplannedinitiativesintheregioncouldbeachieved.

GiventhenatureoftheissuesfacedbymanyofthestatesandterritoriesintheCLME+region,addressing them will require and/or benefit from having nationally well-coordinated, andregionally linked, intersectoral mechanisms operating through complete and nested policycycles.HencethereistheneedforhavingNICsinplacenotonlyforprojectssuchasCLME+,butalso forbroaderaimssuchasachieving thesustainabledevelopmentgoals (SDGs).The latterandgovernanceeffectivenessundertheCLME+Projectaimtoimprovehumanwell-being.This

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callsforgovernance,includingNICs,tospanboththesocialandecologicalpartsofthesystem(Figure1).

Figure1NICscanbeseenastheoperationalinputintogovernanceprocesses

Component1,output1.2,oftheCLME+ProjectfocusesonthefunctioningandsustainabilityofNICs.DependingupontheirmandatesandcircumstancesNICsmayhandleallorsomestagesofthe policy cycle. As shown in Figure 1 the five basic stages are (1) data and information, (2)analysisandadvice,(3)decision-making,(4)implementation,and(5)reviewandevaluation.AproperlyfunctioningNICcarriesoutitsmandatewithintheassignedstagesofthepolicycyclewhiledemonstratinggoodgovernanceinpractice.Section2.2elaboratesonhowNICdesignistied to good governancewithin the governance effectiveness assessment framework (GEAF),which facilitates results-based planning,monitoring and evaluation (Mahon et al. 2012). TheNIC can be seen as an operational armof governance/policy processes, nestedwithinmulti-level policy cycles that can span several issues and economic sectors (Figure 2).

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Figure2

Figure2NICsarecriticalinintegratingandscalingingovernance

SinceNICsformarineaffairsplaykeyrolesinnationalandregionaloceangovernanceprocessestheyshouldbepermanentassetsofregionaloceangovernancearrangements.Theyshouldalsobe valued as permanent multi-stakeholder components of these processes: connecting thenational to local levels vertically and connecting sectors laterally within countries intransboundarymatters. Countries canmonitor governance by assessing howwell their NICsperform,thereforewithinthepolicycycle,reviewsandevaluationsshouldbeacriticalfocusforallgoodpracticingNICs.NICscouldbeanimportantverticallinkbetweenregionalandnationallevelsofthecompletepolicyprocess(Figure2).

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2.2 Design criteria

A well designed and led NIC for marine affairs, based upon principles of good governance,withinarangeofpossiblearrangements,would:

● Involvestakeholderscomprehensively:○ Stateactors-governmentagencies,parastatalbodies○ Non-stateactors-NGOs,CBOsandacademia○ Privatesector-fromsmalltolargeenterprise

● Promoteanenablingenvironmentthatensuresopportunityandsupportforstakeholderparticipationandencourageschangeagentssuchasindividualleadersandchampions;

● Haveaclearmandatethatisatleastadministrative(politicallyendorsed)butpreferablylegal(forlegitimacyandaccountability)toensure:

○ Internalcommunicationamongstakeholders○ A system for documentation of activities to promote transparency and

responsiveness● Have an institutionalized mechanism for regular review, evaluation, learning and

adaptation(forefficiency,effectivenessandresponsiveness);● Servetointegratesectorsandactorsinvolvedinmarineaffairsatthenationallevel;● Function as a two-way linkage between national and regional government processes;

and● Addressotherfunctionsspecifictotheirscopeandmandateincluding, interalia,using

marineecosystem-basedapproaches,social-ecologicalsystemframeworks,riskanalysisandresilienceorvulnerabilityconcepts,thedetailsofwhichwilldifferbycircumstanceandchangeovertime.

2.3 Common challenges and complaints

EstablishingandsustainingNICsischallenging.GiventhetrackrecordofNICsbecominginactiveit is important to monitor the performance and activity levels of newly established NICs.Contrarytoexpectations itappearsthatmanycurrently inactiveNICshavemandates inareascoveredby a single department orministry (e.g. environment, fisheries, coastal zone) ratherthanbroaderones(e.g.sustainabledevelopment,climatechange).

FactorsexplainingtheinactivityofNICsaftertheirestablishmentinclude:ineffectiveleadership;disinterestofparties involved; inability todedicate time; lackofstipendor travel support forparticipants;inabilitytogetfollow-upcommitmentfrommembers;disagreementonthestateagencythatshouldchairtheNIC;andpoliticalinterferenceorchanges.Thesearealsobarrierstoestablishment.

More than half theNICs surveyed in 2015 had legalmandates, but the high proportion thatwere administrative suggests that establishment under lawwas not necessarily essential forsuccess. There may be more latitude for experimenting, learning and adapting underadministrativerule.However,without legalstatusaNICmaynotbetakenseriouslyunless itsmandateisformal.

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ForNICsitisimportanttoconnectandintegrateeconomicsectorsandstakeholderinterests(tothe extent feasible) laterally within countries and trans-boundary matters. The presence ofseveral sectors does not, however, guarantee that all sectors are committed at all, equallycommitted,orabletoinfluencetheoutcomeofaNIC.

SomeNICsmaynotbewellmatchedtothe idealmandate.ThesurveyresultssuggestedthatcurrentlytherearenoNICsthatareaperfectfittothescaleandscoperequiredbytheCLME+Project. Issues ofmis-matchesof scale and scopehave impacts onNICs in severalways.Weidentifiedthefollowingmaintypes(Figure3):

• TopicalscopeofNIC(topicalfocusistoowide(e.g.SustainableDevelopment,CC/DRR))ortoonarrow(e.g.fisheriesgovernance);

• Geographical scope of NIC too narrow (e.g. coastal zone management) or terrestrial(climatechange);

• Stakeholder and sectoral scope ofNIC is too narrow (e.g. few different state or non-stateactors);

• Transboundary scope of NIC too limited (e.g. only nationalmatters receive attentionandfewexternallinkagesareused).

Despitethemis-matches,anddependingonthelimitsandapproachtoscalingup,severalnearNICsmayhavethepotentialtoexpandandimprove,butinothercasesnewNICSmayneedtobeestablished.

Figure3Typesofmis-matchesbetweenanactualNICandanidealNIC

3 GOOD PRACTICES FOR SUCCESSES

ThemainlessonslearnedfromthesurveyofNICsglobally,butparticularlyintheCLME+region,provide factors that appear to favour success.We found goodpractices that canbeused asguidanceforestablishing,strengtheningandsustainingNICs.Thesepracticesaresharednext.

Near-NICmis-matchesorpoten2al

ScopeofactualNICistoosmallregardingtopicsorsectorsorissuescoverede.g.mostFACs

ScopeofactualNICistoolargeregardingtopicsorsectorsorissuescoverede.g.NCSD

ScopeofactualNICistoosmallregardingthegeographicscalee.g.CZM,district

ScopeofactualNICisgoodbutitlacksver2callinkstomakeitusefulforCLME+

IdealNIC ActualNIC

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1) PromoteandpracticetheprinciplesofgoodgovernanceasfundamentaltoNIC

The most prominent good practices concern promoting and implementing the principles ofgoodgovernance.Mostoftheremainingrecommendationsarederivedfromtheseprinciples.Moremustbedoneinthisregard.Thesurveyresultsindicatedthatparticipationwasgenerallythought to be good (rated the highest in the survey) and NIC responsiveness was less thanoptimal (rated the lowest). Good participation and transparencymay be a reflection of highlevels of sector and stakeholder involvement.Accountabilitywas also considered tobe goodand this was consistent with NICs that had either a legal mandate or had at least anadministrative organization. More detailed information is required to properly identifysuccesses andbest practices in existingNICs related to theentire suiteof principlesof goodgovernance suchas canbeprovidedby the level 2 assessmentsof theperformanceof goodgovernancearrangements(Mahonetal.2012).

2) Ensuretheavailabilityanduseofup-to-dateandnon-conflictinglegislation

WhetherornotaNICisenshrinedinlegislationdoesnotnecessarilydetermineitssuccess.NICsoftenmakeuseoflegislationthatisimportanttotheirfunctionsandproblemsmayoccurwhenthe legislation NICs draw upon is not up-to-date. Reliance on outdated legislation makesexecutingdecisionsoftheNICdifficult.ItisthereforeimportanttoconsidernotonlywhetheraNICisformallyinstitutionalizedbutalsowhetherthelegislationinusetoachieveobjectivesisup-to-date. It is important tohavemodern legislation thatdoesnotoverlapexcessively, anddoesnotcauseconflictingmandates.

3) Innovativelyreducetheoperationalcostsofmeetingsandcommunicating

Cost can be a constraint in the establishment and operation of NICs. Operational costs areparticularlyproblematic for largerdevelopingcountries inwhichNICmembershave to travelinconvenient distances with high costs of transport and time demands. Examples includeJamaicaandBelize.Thesituationissimilarincountriesthataremadeofupofseveralislands,such as St. Vincent and the Grenadines. In the case of the Exclusive Economic Zone (EEZ)CommissionofBonaire,SabaandSt.Eustatius,theseislandsarelocatedrelativelyfarapartandhightravelcostsmakeitdifficultforthememberstoparticipate,andforinvitingstakeholderstothemeetings.ThiswaspartlyovercomebyaligningtheEEZCommissionmeetingswithotherfunded meetings. Cost-saving measures such as teleconferencing, wholly or partially onlinemeetings, using text broadcasts and otherwise investing in information and communicationstechnologyisabestpractice.

4) MobilizechampionsandleaderstogiveaNICnewenergyanddirection

ClearincorporationofaNICwithinaMinistryorDepartmentappearstobecrucialinsustainingNICs. NICs need clear leadership to be sustained and develop next steps. In Barbados thedemiseoftheNationalCommissiononSustainableDevelopment(1995-2005)wasarguedtobepartlyduetotheuntimelydeathof itschairaswellasthefactthatafterthedevelopmentoftheNationalSustainableDevelopmentPolicynoagencyactivelychampionedtheresponsibility

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toimplementthepolicy.Aftertwofailedattemptsoverthepast10yearstoestablishanocean-oriented NIC, it was argued that the future Ocean Governance Committee (OGC) that iscurrentlybeingdevelopedinBarbadoshastohaveaclearinstitutionalbacking,withstronganddedicated leadershipwithintheMinistryofForeignAffairs.Mobilizingchampionsand leadersthereforeappearstobebestpractice.

5) Developinternalproblem-solvingandconflictmanagementmechanisms

InoneNIC,witha focusonmarinegovernanceand inwhicha largenumberof sectorswereofficially represented,oneof the reasons stated for its failure (or current inactivity)was thatsome sector representatives (e.g. the Fisheries Department which was considered crucial)wouldfailtoshowupformeetings.Whiletheremayhavebeenreasonablereasonsforthis,thecase highlighted that NICs may not have adequate internal problem-solving or conflictmanagementmechanisms tobe adaptive.Here, conflict is not necessarily a dispute, but anytype of interaction that serves to defeat the objective of the institution. Employing conflictmanagement, declaring conflicts of interest and active problem-solving are all practices thathelppreventaNICfromunnecessarilygrindingtoastandstilloversmallmatters.

6) Exertmorepolicyinfluencebyeffectivelymappingandmanagingnetworks

In a NIC even though a large variety of sectors are present, representation by “low-rankingofficials” such as junior personnel rather than high-ranking staff who are usually betterconnected to policy advice or decision-making may reduce effectiveness. As a result,committees are not able tomake progress and influence decision-making with their advice.NICscannotandshouldnotalwaysbeatpolicylevel,andbuttheymustlegally,administrativelyorinformallybeabletoexertpolicyinfluence.Policyandnetworkmappingoftheirdesignandoperation,withregularmonitoringandevaluation,canserveasabestpracticeaswasshowninsome co-management studies of near NICs (McConney et al. 2003a and 2003b) and on themarinescience-policyinterface(McConneyetal.2012).

7) Includemultiplestakeholdergroupsdirectlyorthroughsub-structures

IntheNICsurveymanyrespondentsconsidereditessentialtohavestakeholderspresentfromnotonly the statebutalso civil societyand theprivate sector; a fairnumber (26%)onlyhadstate members, but most NICs contained non-state members.Where non-state stakeholdergroupswerenotwell represented, thoseNICshave sub-committeesor technical committeesthatareheavily involved in theNICandcomprisescientists,NGOs,andprivatesectoractors.NGOs and other civil society actors are therefore often consulted either formally, informallythrough sub- or technical committees or in ad hoc stakeholder meetings. This is moreencouraging thanexclusion, andadhoc forumswere alsoprevalent in the studyon regionalmarine sciencemeeting preparation (Mahon et al. 2010). Inclusive sub-structureswithinNICgovernancecanbea significant factor for success.Theyare includedasbestpracticeswheremoredirectinclusionisnotfeasible.Insomesituations,thereareanumberofoverlappingfocalpointsforvariousprojects,economicsectorsandinternationalorregionalorganizations.Itmaybeusefultohaveaseparatesub-structureforthiscommonformofrepresentationinorderto

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addresstheinter-organizationalcommunication,coordinationandcollaborationseparatefromthesubstantiveresourcemanagement.Theresultshouldbemoreeffectiveengagement.

8) UnderstandthehiddenpowerdynamicsassociatedwithNICstakeholders

Information on the membership of NGOs and other non-state actors in a NIC or its sub-committees (stakeholder identification) does not inform about the distribution of power,authorityandresponsibilityontheNIC(stakeholderanalysis).Similarly,chairmanshipandotherformaldesignationsalonecannotrevealthesefeatures(especiallytheexerciseofpower)attheindividuallevel.Understandingthesedynamicsrequiresdeeperanalysis.Thesefeaturesmaybeimportant to success in terms of change agents, champions and leadership particularly indifficult times of NIC adaptation and changemanagement. It is unlikely thatmany NICswillhaveaccesstoinsightontheirdynamicsfromsocialscienceassuchskillsareseldompresentin,or acquired by, leadmarine agencies such as fisheries departments (Mahon andMcConney2004).However,payingattentiontotheoftenhiddendynamicsinNICsseemstobecritical,anditisagoodpracticetounderstandstakeholderpowerdynamics.

9) Increaseprivatesectorparticipationforeconomiclinksandpolicyinfluence

ThesurveyresultsshowedthattheprivatesectorwassignificantlylessofficiallyinvolvedthanNGOs/civil society (37% versus 63%). Private sector membership is expected to increase,consistentwith recentemphasisonmorepublic-privatepartnerships.NICswithamajorityoflow-levelgovernmentofficers,andthosethataddresstechnicalmattersremovedfrompolicy-making, are not likely towieldmuch influence in ocean governance. In such casesNGOandprivatesectormembersmaysignificantlyelevatethestatusandprofileoftheNIC,andhenceits performance potential. Several interviewees stated the importance of improving thelinkages with the private sector. As this research did not elaborate on the functioning andmembership of sub- and technical committees, which is most often where private sectormembers can be found, the extent of both involvement as well as influence and successfulpublic-private partnerships are still largely undetermined. Nevertheless, increasing privatesectorengagementislikelytobeabestpracticeandimprovethefunctioningofaNIC.

10) Documentprocessesfortransparency,accountability,institutionalmemory

SomeNICsshowmoreinclinationtosharedocumentsonlinethanothers.Thismaylessreflectthe character of the particular NIC than it does the practices of the parent organization orpublic informationpolicyof thecountry.Documents sharedwere typically finalproductsandnot minutes of NIC meetings or the documents that NICs used to reach decisions. Personsoutsideof theNICare thusunlikely toknowhow itoperatesorwhat it isdoing.The limitedsharingofprocessdocumentationmostlikelycontributedtoimpairedinstitutionalmemory.

4 SAMPLES OF SUCCESS

ThesurveydidnotidentifyacomprehensiveNICsuccessstorythatcouldclearlybeproposedasamodel forNICs in theCLME+ region.Given the region’sdiversity, it isunlikely thata single

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modelwouldbeusefulforalltypesofNICsandgovernancearrangementsintheregion.AfewNICs(notresearchedinfull)provideexamplesofthemajorityofdesirablefeatures.Sincethesewereinvestigatedthroughliteratureandonlinesourceswecannotvalidatetheinformationasreflectingwhat isactuallypracticedon theground. Inevitabledifferences inexperiences,andviewsamongthestakeholdersfamiliarwiththeseNICs,willnodoubtmakeconsensusunlikely.Thereaderisguidedtointerprettheinformationthatfollowsaccordingly,andtogenerallybeawarethatthenatureofvestedinterestsinNICstypicallyleadsproponentstoclaimsuccess.

BrazilInter-ministerialCommissionforSeaResource(CIRM)

Scope

TheCIRMinBrazilisoneoftheNICsthatappearstohavebeensuccessfuloveralongtime,andmayhavecreatedanenablingenvironmentformarinegovernance.Itwasinitiallycreatedasanacademic initiative in 1974 comprising multidisciplinary scholastic groups devoted to thegovernance of the ocean in Brazil. It aimed to meet the requirements of the scientificcommunity in order to develop policies and plans for the marine and coastal environment.Afterfiveyears,thecommissiondecideditneededtocreateabodytoimplementthedecisionoftheCIRM.Forthatpurpose,in1979,theSecretariatoftheCIRM-SECIRMwascreated.SinceitsinceptiontheSECIRMwasstructuredtobearticulateandimplementtheplansandactionsofCIRM.ThemovetoanimplementationagencythereforeappearstobeamajorfactorinthesuccessofthisNIC.

Structure

Scientific research is still the central component of this BrazilianNIC. It is legal in status yetapparently flexible in that after its creation in1974 its governing legislationwasamended in2001,2003,2007,2008and2009. It isa largeorganizationwithaspecializedsecretariatandfour official working groups. Despite the start as a scientific group, the CIRM has high-levelpolicy-relevantrepresentation.ThemembersoftheCIRM,recommendedbytheheadofficersoftheirrespectiveagenciesareinhighpostswithhightechnical-professionalcapacity.TheyareassignedbytheStateMinisterofDefense,throughdelegationcompetenciesfromthePresidentof theRepublic, to theCIRMCoordinator.NGOsandprivatesector interestsarenotofficiallymembersof thecommittee;however, theyare closely involved through sub-committeesandworkinggroups.

PuertoRico/USVirginIslandsCaribbeanFisheryManagementCouncil(CFMC)

Scope

The CFMC is responsible for the creation of Fishery Management Plans (FMPs) for fisheryresources in theUSCaribbeanEEZoff PuertoRicoand theUSVirgin Islands.As theCFMC isfocused purely on fisheries in appears to be a rather narrow based near NIC, yet successfullessonsaretobelearned.TheCFMCisoneoftheeightregionalfisherymanagementcouncils,establishedin1976,undertheMagnuson-StevensActasamendedin1996and2007,andnow

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called the Sustainable Fisheries Act for conservation and orderly utilization of the fisheryresources of the United States of America. Although the CFMC is not regional it has wideinfluencethroughengagementwithregionalfisheriesbodies,andtheWesternCentralAtlanticFisheryCommission(WECAFC) inparticularconcerningthemanagementofqueenconch.Thisinteractiontouchesuponallstagesofthepolicycycleforthatfisheryintheregion.Itillustratessomeverticalandlaterallinkagesatandbetweennationalandregionallevels.

Structure

TheCFMChastenmembers,sevenwithvoteandthreewithvoicebutnovote.AllmemberscomefromstateagenciesandtherearenoNGOs,civilsocietyactorsorprivatesectormembersof the committee.However, under theCFMC there are threeDistrictAdvisoryPanels (DAPs)which operate at the local level. DAPs are advisory to the CFMC on the development andmanagementoffisheries;coordinationofactivities;identifyingpotentialconflictsbetweenusergroups of a given fishery resource; current trends and developments in fisherymatters. TheDAPswereestablishedin2014andshowanincreasingtendencytoinvolvestakeholdersintheirprocesses.TheyhavealargenumberofNGOs,civilsocietyactorsandprivatepartiesonboardcoveringthethreeareasofSt.John,St.CroixandPuertoRico.

Stakeholderparticipationincreasedsincethenewsystemwasputinplace(from15-20intotalto45 intotal).MeetingsoftheDAPsareopentothepublic,andfishersandother interestedpersonsareinvitedtoparticipatewithoralorwrittenstatementsonagendaitems.TheminutesandreportsoftheCFMCmeetingsareavailableontheirwebsite.

OrganizationofEasternCaribbeanStates(OECS)OceanGovernanceCommittee(OGC)

Scope

TheOECSSustainableOceanGovernanceinitiativehaspreviouslybeenmentioned.TheOECS,serviced by its Commission, currently has ten members: The British Virgin Islands, Anguilla,Antigua and Barbuda, St. Kitts and Nevis,Montserrat, Dominica,Martinique, Saint Lucia, St.VincentandtheGrenadinesandGrenada.ThesampletermsofreferenceofanationalOceanGovernanceCommittee(OGC)wasshowcasedinAppendix6ofthereportonthesurveyofNICs(McConney et al. 2016) as a good example of the scope of a NIC. The concept of the OGCcontinues to be examined and to evolve and adapt under the scrutiny of the Commission’sOceanGovernanceTeam.

Structure

The initialnationalOGCcompositionwasentirelygovernmental.Thecurrentmovetoengagenon-governmentalandcommunity-basedorganizationsismoreinclusiveandparticipatory.Thescope has also broadened in range of topics, and extent of civil society outreach andstewardship.Lessonstobelearnedfromthesesmallislandsasgoodpracticeshavemuchtodowith the above adaptation and the need to coordinate a diverse array of initiatives anddevelopmental directions, many of which are short to medium-term projects. This calls for

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flexibleandnimbleinstitutionalarrangements.ItwillbeinformativetomonitorhowtheseNICscontinuetogrowinpolicyinfluenceanddeveloptodealwithchangingoceanregimes,someoftheirownmakingasseeninthepresentthrusttoinstitutionalizemarinespatialplanning.

The geo-political connections among the national OGCs and between them and the OECSCommissionareclearlyembeddedinthedesignoftheinstitutionalarrangementforsustainableoceangovernance. It is too soon tobe clearonhow the linkagesbetween the stagesof thepolicy cycle are functioning within and between governance levels in this case. This will bemonitored.

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5 REFERENCES AND RESOURCES

5.1 Literature cited and further reading

CERMES.2016.“ReportontheSurveyofNationalInter-sectoralCoordinationMechanisms.”74p.

CLMEProject.2011.“CLMERegionalTransboundaryDiagnosticAnalysis.”TheCaribbeanLarge MarineEcosystemandAdjacentAreas(CLME)Project,Cartagena,Colombia,153p.

CLME Project. 2014. “CLME+: Catalysing Implementation of the Strategic Action Programme for theSustainableManagementofsharedLivingMarineResources intheCaribbeanandNorthBrazilShelf LargeMarine Ecosystems – Project Document.” The Caribbean LargeMarine EcosystemandAdjacentAreas(CLME)Project,Cartagena,Colombia,24p.

ESCAP.2007.“StudyonNationalCoordinationMechanisms forTradeandTransportFacilitation in theUNESCAP region.” United Nations Economic and Social Commission for Asia and the Pacific:Bangkok,Thailand.

Fanning,L.,R.MahonandP.McConney.[Eds].2011.TowardsMarineEcosystem-Based ManagementintheWiderCaribbean.AmsterdamUniversityPress,Netherlands. 428pp.

Mahon, R. and P. McConney. 2004. “Managing the Managers: Improving the Structure and OperationofFisheriesDepartmentsinSIDS.”OceanandCoastalManagement47:529-535.

Mahon,R.,L.FanningandP.McConney.2012.“GovernanceAssessmentMethodologyfor CLMEPilotProjectsandCaseStudies.”Centre forResourceManagementandEnvironmentalStudies(CERMES),UniversityoftheWestIndies,CaveHillCampus,Barbados.CERMESTechnicalReportNo53.19pp.

Mahon,R.,L.Fanning,P.McConneyandR.Pollnac.2010.“GovernanceCharacteristicsofLarge MarineEcosystems.”MarinePolicy34:919–927.

Mahon, R., P.McConney, K. Parsram, B. Simmons,M. Didier, L. Fanning, P. Goff, B. Haywood and T.Shaw. 2010. “Ocean Governance in the Wider Caribbean Region: Communication andCoordinationMechanismsbyWhichStates InteractwithRegionalOrganizationsandProjects.”CERMESTechnicalReportNo.40.84pp.

McConney, P., L. Fanning, R. Mahon and B. Simmons. 2012. “Survey of the Regional Science PolicyInterfaceforOceanGovernanceintheWiderCaribbeanRegion.”ReportpreparedfortheCLMEProject by the Centre for Resource Management and Environmental Studies (CERMES),University of theWest Indies, Cave Hill Campus, Barbados. CERMES Technical Report No.51.46pp

McConney, P, R. Mahon and H. Oxenford. 2003a. “Barbados Case Study: The Fisheries AdvisoryCommittee.” Caribbean Coastal Co-management Guidelines Project. Caribbean ConservationAssociation,Barbados.81pp.

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McConney, P., R.Mahon andR. Pomeroy. 2003b. “Belize Case Study: FisheriesAdvisory Board in theContext of Integrated Coastal Management. Caribbean Coastal Co-management GuidelinesProject.CaribbeanConservationAssociation,Barbados.70pp.

McConney,P.,I.Monnereau,B.SimmonsandR.Mahon.2016.ReportontheSurveyof NationalIntersectoral CoordinationMechanisms. ReportfortheUNDP/GEFCLME+ Project (2015-2020).CentreforResourceManagementandEnvironmentalStudies,TheUniversityoftheWestIndies,CaveHillCampus,Barbados.CERMESTechnicalReportNo.84.75pp.

5.2 Online resources

ThetablebelowprovidesavarietyofonlineresourcesofrelevancetoNICs.TheserangefromthewebsitesofsomeNICstoonlineresearchtoolsandpublicationsofinterest.Theseareonlyasample.Manymoreareavailable.Weblinksmay,however,becomebroken.Ifalinkdoesnotwork,thenuseasearchenginetofindtheresourcebykeywordonceitisstillavailableonline.

Resource WeblinkSomeNICwebsites

ComisiónColombianadelOcéano http://www.cco.gov.coCaribbeanFisheryManagementCouncil http://caribbeanfmc.comNationalOceanCouncil https://obamawhitehouse.archives.gov/administrat

ion/eop/oceansComiteNacionaldePescayAcuicultura http://www.gob.mx/conapescaComisiónIntersecretarialParaElManejoSustentableDeMaresYCostas

http://digaohm.semar.gob.mx/CIIO/cimaresCIIO.html

BelizeNationalClimateChangeCommittee http://climatechange.ict.gov.bz/belize-national-climate-change-committee

BahamasEnvironment,ScienceandTechnologyCommission

http://www.best.gov.bs

Inter-ministerialCommissionforSeaResources https://www.mar.mil.br/secirm/ingles/secirm.htmlOnlinetools,publicationsandotherresources

OverseasDevelopmentInstitutepublications https://www.odi.org/publicationsResilienceAlliancepublications http://www.resalliance.org/publicationsFAOEAFToolbox http://www.fao.org/fishery/eaf-net/toolbox/enGoodgovernanceguide http://www.goodgovernance.org.auUNESCAPWhatisgoodgovernance? http://www.unescap.org/sites/default/files/good-

governance.pdfInstitutionalAnalysisandDevelopmentFramework

https://ocsdnet.org/about-ocsdnet/about-ocs/iad-framework

Ecosystem-BasedManagementToolsNetwork

http://www.natureserve.org/conservation-tools/ecosystem-based-management-tools-network