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How sustainable is sustainable marine spatial planning? Part II – The

Portuguese experience

Article  in  Marine Policy · November 2014

DOI: 10.1016/j.marpol.2014.04.005

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 Marine Policy 49 (2014) 48–58

Contents lists available at ScienceDirect

Marine Policy
journal homepage: www.elsevier.com/locate/marpol

How sustainable is sustainable marine spatial planning?

Part II – The Portuguese experience
Catarina Frazão Santos a,b,n, Tiago Domingos c, Maria Adelaide Ferreira d, Michael Orbach b,
Francisco Andrade a
a
Centro de Oceanografia, Laboratório Marítimo da Guia, Faculdade de Ciências, Universidade de Lisboa, Avenida Nossa Senhora do Cabo 939,
2750-374 Cascais, Portugal
b
Duke University Marine Laboratory, Nicholas School of the Environment and Earth Sciences, Duke University, 135 Duke Marine Lab Road,
Beaufort, NC 28516-9721, USA
c
IN þ , Centro de Estudos em Inovação, Tecnologia e Políticas de Desenvolvimento, Instituto Superior Técnico, Universidade de Lisboa,
Avenida Rovisco Pais, 1049-001 Lisboa, Portugal
d
e-GEO, Centro de Estudos de Geografia e Planeamento Regional, Faculdade de Ciências Sociais e Humanas, Universidade Nova de Lisboa,
Avenida de Berna 26-C, 1069-061 Lisboa, Portugal

art ic l e i nf o a b s t r a c t

Article history: With one of Europe's largest exclusive economic zones, Portugal has a paramount role in the
Received 23 January 2014 implementation of EU maritime policies. In the Portuguese context, ocean planning and management
Received in revised form are presently undergoing major advances. This paper analyzes and discusses the present state of affairs
25 March 2014
regarding the Portuguese marine spatial planning (MSP) process, comprising: (1) an update on the status
Accepted 7 April 2014
of MSP in Portugal; (2) an analysis on how sustainability concepts are to be implemented in the
Portuguese MSP process and (3) a discussion on major challenges to Portuguese MSP long-term
Keywords: sustainability. The Portuguese MSP process can be divided in two phases: development of the “Plano de
Maritime spatial planning Ordenamento do Espaço Marítimo” (POEM) – initially intended to be the first Portuguese “marine spatial
Sustainability
plan” but then published as a “study”; and development of the Law Proposal 133/XII on marine planning
Ecological quality
and management – soon to be approved. A key question for the long-term adequacy of Portuguese MSP
Portugal
is how is it addressing environmental sustainability: is it relying on soft or hard sustainability concepts?
Is it prioritizing the achievement of good environmental status (GES) or blue growth? In both cases
(POEM and Law Proposal), soft sustainability seems to be the underlying principle, because although the
ecosystem approach is recognized as fundamental, environmental quality seems to come second when
set against economic goals.
& 2014 Elsevier Ltd. All rights reserved.

1. Introduction into national internal law [4,5], two MSFD's strategies were
developed for Portugal1 [6,7], and the Portuguese government
Having the second biggest EU's exclusive economic zone (EEZ) started a marine spatial planning2 (MSP) process.
[1] and being one of the world's largest maritime nations, Portugal MSP, as a “public process of analyzing and allocating the spatial
has an important role in the implementation of EU maritime and temporal distribution of human activities in [coastal and]
policies. In the Portuguese context, ocean planning and manage- marine areas to achieve ecological, economic, and social objec-
ment are presently undergoing major advances. In fact, in less than tives” [8], has been thoroughly addressed in EU initiatives in the
a decade, two National Ocean Strategies (NOS) have been devel- last decade [9] (Fig. 1), as well as at the national level in several
oped and approved for Portugal – the NOS 2006–2016 [2] and, countries (cf. e.g. [10,11]). In fact, according to Ehler [12] “MSP is
more recently, the NOS 2013–2020 [3] –, the MSFD was transposed clearly an idea whose time has come”. Although MSP is expected
to allow for socioeconomic development without compromising
the use of resources by future generations, according to Qiu and
n
Corresponding author at: Centro de Oceanografia, Laboratório Marítimo da
Guia, Faculdade de Ciências, Universidade de Lisboa, Avenida Nossa Senhora do
1
Cabo 939, 2750-374 Cascais, Portugal. Tel.: þ351 214869211. The ‘continental exclusive economic zone (EEZ) strategy’, and the ‘extended
E-mail addresses: [email protected] (C. Frazão Santos), continental shelf strategy’. No strategies for the EEZs of the archipelagos of Madeira
[email protected] (T. Domingos), [email protected] (M.A. Ferreira), and of the Azores have yet been published.
2
[email protected] (M. Orbach), [email protected] (F. Andrade). Also referred to as maritime spatial planning – especially in Europe.

http://dx.doi.org/10.1016/j.marpol.2014.04.005
0308-597X/& 2014 Elsevier Ltd. All rights reserved.
 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58 49

Fig. 1. Timeline of major maritime policy initiatives addressing marine spatial planning (MSP): at the European Union level (above) and at the Portuguese level (below). NOS:
National Ocean Strategy. POEM: Plano de Ordenamento do Espaço Marítimo. INAG: Portuguese Water Institute. DGPM: Directorate General for Maritime Policy.

Jones [13] there are two main ‘types’ of MSP, depending on which Portuguese government established the need to develop a marine
sustainability concept underlies the planning process. Integrated- spatial plan (Fig. 1) for all the maritime space under its jurisdiction
use MSP, based on ‘soft’ (or weak) sustainability, that aims to foster or sovereignty [15,17]. This encompasses the water column,
economic growth related to maritime sectors in a sustainable seabed and subsoil, from coastal waters (defined by the maximum
way; and ecosystem-based MSP, based on ‘hard’ (or strong) spring high water tide mark) to the entire Portuguese EEZ, and
sustainability, which has a strong focus on preserving marine proposed extended continental shelf. This initiative was entitled
goods and services. Although ecosystem-based marine planning ‘Plano de Ordenamento do Espaço Marítimo’ (POEM) and it was
and management has been presented as the best way to ensure designed to analyze the existing and future uses/activities in the
sustainability of marine ecosystems and the services they provide Portuguese maritime space according to seven major goals (Fig. 2).
[8], most European and national initiatives (as it is the case of To develop POEM a multidisciplinary team was appointed –
Portugal) seem to follow an ‘integrated-use’ approach to MSP consisting of representatives from various ministries, all belonging
(e.g. ‘integrated management’, and not ‘ecosystem-based manage- to the Portuguese Inter-ministerial Commission for Sea Affairs
ment’, is stated as one of the guiding principles for the recently (CIAM)4 [18,19] – and the Portuguese Water Institute (INAG) was
approved NOS 2013–2020 [3]). Here, two major challenges arise established as the responsible coordinating entity (Fig. 2).
[9]: how to deal with the ‘risks’ inherent to integrated-use MSP, Between 2008 and 2010, the multidisciplinary team devel-
and how to identify ‘points of no-return’ before they are crossed? oped the four main documents that compose the POEM (Fig. 3):
These issues are addressed in Frazão Santos et al. [9], which (1) a framework document; (2) the plan's proposal – which
reviews the links between sustainability, ecosystem-based man- includes the allocation of space to different uses (POEM's ‘spa-
agement (EBM) and MSP in EU maritime policy initiatives; tialization’), management guidelines, an action program, and a
analyzes differences between ecosystem-based MSP versus MSP monitoring program; (3) the plan's Strategic Environmental
focused on delivering blue growth; and discusses some of the Assessment (SEA) report; and (4) the technical rationale and
main challenges found in achieving sustainable ocean manage- diagnosis report – which encompasses the baseline characteriza-
ment. In effect, such study sets out the framework for the analysis tion studies, the strategic framework, the ‘spatialization’ metho-
carried out in the present paper. dology, the data management and mapping methodology, and
Given that present and future strategies for the Portuguese implications of legislation for MSP (for more information on
maritime space are currently being defined, understanding how POEM cf. e.g. [20]).
the Portuguese MSP process was conducted so far, together with Afterwards, for about three months – from November 29, 2010
understanding major opportunities and threats to its long-term to February 22, 2011 – POEM's documents were subjected to a
success, is of the utmost relevance. The present study starts by public consultation process [21], including seminars, workshops,
(1) reviewing the state of affairs on Portuguese MSP, and (2) further and specific discussions on particularly relevant topics, such as
analyzes and discusses how sustainability concepts have been marine transportation, national security, energy, tourism, fisheries,
considered in the Portuguese MSP process, together with major nature conservation, science and technology.
challenges to its long-term suitability and sustainability. In the beginning of 2012, following a government change, the
Directorate General for Maritime Policy (DGPM) was created [22]
and assumed the coordination of POEM's multidisciplinary team.
2. The Portuguese MSP process: from the POEM to the Law After incorporating relevant changes from the public consultation
Proposal process, as well as from subsequent meetings of the multidisci-
plinary team, a final version of POEM was reached. Finally, on
The first Portuguese NOS (NOS 2006–2016), published in 2006,
considered MSP as a governance tool essential to ensure truly
integrated, progressive and adaptive coastal and marine manage- 3
Portugal has one of the world's largest economic exclusive zones, and
ment, based on the principles of precaution, sustainable develop- encompasses two MSFD marine sub-regions.
4
ment and EBM [14,15]. In accordance to the NOS 2006–2016 The CIAM was created in 2007 under the coordination of the Minister of
National Defence, with the main purpose of ensuring (1) coordination among
objectives as well as in line with EU maritime policy initiatives ministries; (2) monitoring and evaluation of cross-cutting policies related to
(e.g. EU MSP Roadmap [16]), and due to the strategic role and maritime affairs; and (3) proper implementation of the NOS 2006–2016. In 2009,
importance of the ocean at a national level3 [5], in 2008 the the CIAM was reformulated and became chaired by the Prime Minister.
50 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58

Fig. 2. Left: Main goals of developing the POEM [15]. Right: Portuguese public entities (circles) that composed the multidisciplinary team responsible for developing the POEM [15].
The Portuguese Water Institute (INAG) was responsible for coordinating the entire process. Gray circles stand for entities from the Azores and Madeira Regions that also incorporated
the POEM team. Objectives 3, 4 and 7 are closely related to sustainability issues (S) and objective 7 addresses adaptive management (AM) by referring the need for indicators and
monitoring programs. APA: Portuguese Environment Agency. CCMAR: Centre of Marine Sciences, University of Algarve. DGAE: General Direction for Economic Activities. DGEG:
Directorate-General for Energy and Geology. DGPA: Directorate General for Fisheries and Aquaculture. DRAM (Azores): Regional Directorate for Maritime Affairs. DRAmb (Madeira):
Regional Directorate for the Environment. EMAM: Task Group for Maritime Affairs. EMEPC: Task Group for the Continental Shelf Extension. ICNB: Institute for Nature Conservation and
Biodiversity. IDP: Portuguese Institute for Sports. IGESPAR: Portuguese Institute for the Management of National Architectural and Archaeological Heritage. IPTM: Institute for Maritime
Transportation and Ports. LNEG: National Laboratory of Energy and Geology. SEDAM: Secretary of State for Defence and Maritime Affairs.

Fig. 3. Main documents composing the POEM. Documents included in the plan's proposal are highlighted – especially ‘management guidelines’ and ‘action program’
documents – because of their importance for the implementation of environmental sustainability.

November 8, 2012, a government ruling [23] determined that POEM's management of such space”5 [23]. Since the multidisciplinary team
final documents were to be published in the DGPM website, however was disbanded by the same ruling, DGPM is further responsible for
without granting POEM the status of a planning/management instru- ensuring the update of the POEM “whenever the social, economic,
ment [20] – in effect, Ruling No. 14449/2012 states that “the work
developed by the multidisciplinary team resulted in an unprecedented
study on the uses and activities that take place in the Portuguese 5
All translations of Portuguese legal documents in this article were made by
maritime space, which is critical for the future planning and the authors. Italics by the authors.
 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58 51

cultural or environmental conditions, or theirs prospects for develop- than ‘the one’ upon which MSP builds on [17,20] – thus following a
ment, undergo important changes” [23]. soft sustainability view (cf. e.g. [9,13]). Nevertheless, the POEM
Subsequently to the POEM process, between December 2012 and addresses sustainability in an operational way through: (1) the
January 2013, the Portuguese government developed proposals for definition of management guidelines for each use-sector; and (2) the
MSP regulations. As a result, in March 26, 2013, a national Law on establishment of an action program, with a set of operational manage-
‘marine spatial planning and management’ was proposed – Law Pro- ment measures, or actions, and recommendations that address
posal No. 133/XII [24]. According to the proposed Law, the main sustainability issues. According to the SEA report of POEM [26] these
objective of MSP in Portugal is to “foster economic exploitation of two ‘instruments’ are expected to allow the achievement of POEM's
marine resources and ecosystem services, [while] ensuring compat- general principles – sustainable development, ecosystem-based
ibility and sustainability of different maritime uses/activities, accounting approach, precaution and prevention, integrated management, adap-
for intergenerational responsibility in the spatial use of national tive management, strengthening of the economic capacity, technical
maritime space and aiming at job creation” [24]. Environmental con- and scientific support, co-responsibility – thus being of paramount
cerns are also encompassed in the Law Proposal objectives, however importance.
in a less ‘mandatory’ way; in effect, “actions carried under the MSP In the following sub-sections, the major specificities of
framework should account for preservation, protection and restoration (1) POEM's management guidelines and (2) POEM's action pro-
of natural values of coastal and marine ecosystems and the maintena- gram will be presented, analyzed and discussed.
nce of the good environmental status of the marine environment” [24].
The link with the POEM is also briefly referred in the proposal 3.1. Management guidelines specificities
introduction. Here, the development of Situation Plans – i.e. spatial
planning instruments that identify both (1) protection/preserva- Management guidelines in POEM [27] need to be understood as
tion areas and (2) the spatial and temporal distribution of uses and a set of recommendations on how each maritime activity is to be
activities (present and future) in the maritime space – is expected conducted, as well as on how it may be made compatible with the
to build on “elements developed by the POEM multidisciplinary other activities. Due to the place-based nature of maritime
team that prove to be necessary and appropriate for an expedi- activities (i.e. they tend to occur in specific areas), the definition
tious and rigorous identification of existing uses/activities on the of these guidelines resulted from the way existing/future maritime
entire Portuguese maritime space” [24]. activities are/will be spread throughout the Portuguese maritime
Between April 2013 and February 2014 the Law Proposal was space – POEM's spatialization (Fig. 3) – together with the need to
discussed in detail at the Portuguese Parliament, in the framework achieve sustainability [27]. In effect, POEM's management guide-
of a special Parliament commission (Agriculture and Sea Commis- lines document highlights two direct consequences on marine
sion – Working Group that establishes the basis for spatial planning management from the allocation of space to different uses: (1) in
and management of the national maritime space) that consulted the short-term, future maritime activities, especially the ones
with relevant national entities involved in ocean and coastal related to energy production, are expected to promote a more
management. In the short term, a final version of the Law is intense ‘search for space’; and (2) most activities take place within
expected to be approved and published6. the Portuguese Territorial Sea (0-12 nmi) or its Contiguous Zone
(12-24 nmi), and very few extend to the EEZ's outer limit; together
with the way maritime activities tend to depend on coastal
3. How is Portuguese MSP considering sustainability? communities and economies [8] this indicates that management
guidelines will be needed the most in the area between the
As discussed in Frazão Santos et al. [9], sustainability and coastline and the twenty-four nautical miles off-shore limit.
ecosystem-based approach concepts are thoroughly addressed in These management guidelines can be either ‘general’, pertain-
MSP literature – in the Portuguese context they have been ing to overarching issues common to all activities, or ‘sectoral’
included in the main objectives of developing the POEM (Fig. 2). (specific to each use-sector). The first group, of general manage-
However, understanding how such concepts actually translate into ment guidelines (GMGs), must be observed by all activities taking
MSP management actions is key to determine how likely they are place in the Portuguese maritime space in order to ensure a
to being truly implemented in the Portuguese MSP process. sustainable use of resources (see Table S1, Supplementary Mate-
Although Portuguese MSP can be divided in two main phases – rial). In fact, GMGs are a means to ensure integrated management
(1) the development of the POEM and (2) the development of the of coastal/marine areas and to attain national/international com-
national Law on marine spatial planning and management – the mitments – e.g. OSPAR Convention, Water Framework Directive
following analysis is mainly focused in the POEM phase. This is largely (WFD), MSFD [27]. By contrast, sectoral management guidelines
because the Law Proposal No. 133/XII has not been approved yet but (SMGs) aim at regulating interactions between activities (either
also because it is intended to be a ‘Framework Law’, which does not current or future) in order to promote their compatibility and
specify operational details. Nevertheless, Andrade et al. [25] carried an synergies, and minimize conflicts among them. However, not all
analysis of the strengths, weaknesses, opportunities and threats SMGs address environmental sustainability issues. For that reason,
(SWOT analysis) of the proposed Law, and although the results are within the context of this study and given its objectives, only
preliminary, they highlight a number of opportunities and threats to SMGs that address interactions between ‘nature conservation’ and
the sustainability of Portuguese MSP (Table 1). This preliminary other ‘uses’ of the maritime space are analyzed and presented in
analysis also seems to indicate that soft sustainability is its underlying Table 2 (in fact, the analysis of interactions between e.g. ‘national
principle because although the proposal recognizes that EBM should security’ and ‘fisheries’ falls beyond the scope of this analysis).
be pursued, environmental concerns seem to come second against
economic goals. 3.2. Details of management measures and recommendations
An important ‘sustainability related’ specificity of POEM is that
ecosystem conservation is treated as one of MSP sectors/pillars, rather POEM's action program [28] includes a set of ‘measures’ (or
management actions) intended to directly contribute to the
6
After acceptance of the present paper in its final form, the Portuguese Law
implementation of the Plan's objectives, as well as a group of
that lays the foundations for marine spatial planning and management - Law No. ‘recommendations’ that, although not essential, may increase the
17/2014 - was published on April 10, 2014. success of such a task. In order to characterize, and further
52 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58

Table 1
SWOT analysis of the Portuguese Law Proposal No. 133/XII, on marine spatial planning and management. This analysis is a simplified version of the information discussed by
Andrade et al. [25]. MSP: Marine spatial planning. GES: Good environmental Status. ICM: Integrated coastal management. SEA: Strategic environmental assessment.

Strengths Weaknesses

Enshrines the following principles: ecosystem approach; adaptive management; Uses some unclear terminology and concepts
political sectoral and spatial coherence and coordination; transboundary Assumes the “promotion of economic exploitation (…) of marine resources and
cooperation and coordination ecosystem services” as its main objective, which is not in line with e.g. the MSFD
Advocates procedural transparency and information/participation rights objectives
Determines that the approval of Allocation Plansa is to be preceded by an No provision is made for the articulation between MSP and ICM
assessment of their environmental effects (SEA) Limits public participation to the public consultation stage (later and limited
Upon approval Allocation Plans will immediately integrate Situation Plans stage)
(adaptive process) a
Compatibility between different Situation Plans is not ensured
Prioritizes GES by assuming that present/future activities need to ensure it Ranking and selection of preferred activities is to be done in view of their
“greater economic advantage”
Establishes regular reporting on the status of national MSP to the Portuguese
Parliament (every 3 years) Proposed time-span of 75 years for concessions exceeds three human
generations, raising sustainability, responsibility and intergenerational equity
Determines that private use always must ensure GES preservation
concerns
Makes a distinction between entitlement for private use and the right to use/ Maximum duration of 25 years for a license is more than two times longer than
exploit resources in the national maritime space present licenses for use of the Public Maritime Domain
b
Recognizes the three dimensions of sustainability – economic, social and A total of fourteen topics is left for ensuing legislation
environmental – under the economic/financial system associated to a private
spatial use

Opportunities Threats

Allows for an integrated vision and implementation of marine spatial planning The outer limit of the proposed Portuguese extended continental shelf is not yet
and management internationally approved
Allows for continued compliance with the Law principles (ecosystem approach, The principle of prioritizing economic activities valorization may put GES at risk
adaptive management, etc.) by stipulating that, whenever possible,
The objective of promoting economic exploitation of marine resources for job
government action should be in accordance with such principles
creation potentiates subordination of the use of a common (the Portuguese Sea)
Consecrates, in its objectives, intergenerational responsibility in the use of and its GES to economic/financial objectives
maritime space and in job creation (effective sustainability prospect)
For the maximum duration of concessions and licenses (75 and 25 years), the
Assumes the use of existing information thus promoting effective savings of time
systems' natural evolution is likely to hinder (preclude?) benchmarks and
and financial/human resources
baselines
Promotes the dynamics of maritime activities by allowing interested parties to
The lack of a definition for “resources of the national maritime space” leaves
submit proposals for Allocation Plans
entirely open the object of any potential use/exploitation
Anticipates a revision period for Situation Plans (adaptive management)
The first priority of the law's economic and financial regime is economic
Calls on the development of efficacy/efficiency indicators for an analytical sustainability, opening the possibility for subordination of environmental
regular reporting on the status of national MSP sustainability
Contemplates the possibility of new maritime activities, not originally foreseen
Articulation with other plans affecting the national maritime space is
insufficiently addressed

a
Allocation and Situation Plans are the two spatial planning instruments considered within the proposed Law: (1) Situation Plans identify the spatial/
temporal distribution of maritime activities as well as protection/preservation areas; (2) Allocation Plans establish and allocate specific areas for different uses and
activities [24].
b
The Public Maritime Domain (DPM) is a legal concept that defines the Portuguese marine waters margin (including the water column and seabed of coastal waters
and territorial waters, coastal waters margins, etc.) as inalienable property of the Portuguese State [33].

analyze, how measures and recommendations address sustain-  Sustainable use of resources (SUS) – comprising actions designed
ability issues, they were ‘classified’ according to (1) POEM's to make each use-sector consider “how it affects ecosystem
strategic domains and (2) sustainability dimensions. structure, functioning and key processes” and act accordingly to
The POEM has five strategic domains [29] – geostrategy, maintain such components of ecosystem health [31] (e.g. pollution
economy, natural resources, knowledge and governance – which control measures, fisheries management measures);
are presented in Fig. 4a. These domains derive from ‘strategic  Knowledge gathering on Portuguese marine ecosystems
issues’, i.e. “fundamental policy questions or critical challenges” (KN) – which is key for management and may contribute
[30], that affect the Portuguese maritime space, and from ‘critical to both ecosystem conservation and a sustainable use of resources.
decision factors’ established under the SEA of POEM [26,29].
Sustainability dimensions defined in the present study are Because not all measures/recommendations from POEM's
meant to work as ‘indicators’ of how, and to what extent, POEM's action program address sustainability issues, there is a fourth
management actions account for environmental sustainability. category (None) including actions that are not characterized by any
Three main categories are considered: of the above sustainability dimensions.
Tables 3 and 4 present measures and recommendations from
 Ecosystem conservation (EC) – corresponding to actions that POEM's action program addressing environmental sustainability
contribute to the protection and conservation of marine eco- issues, according to sustainability dimensions and strategic
systems (e.g. development of MPAs, economic valuation of domains. For more information on measures/recommendations
ecosystem services, assessment of environmental quality); see Tables S2 and S3, on Supplementary material.
 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58 53

Table 2
Sectoral management guidelines of the POEM that address interactions between ‘nature conservation’ and other ‘uses’ of the maritime space [27]. Use-sectors are according
to Fig. 4b.

Code Sectoral management guideline Use-sector

SMG1 Coast Guard activities may be developed in marine protected areas (due to national security reasons) National security and
defense
SMG2 All actions/plans/projects that might significantly affect nature conservation areas must be subject to Nature conservation
environmental assessments/evaluations – Environmental Impact Assessment (EIA) for projects, and Strategic and biodiversity
Environmental Assessment (SEA) for programs and plans
SMG3 The use of marine genetic resources by national/international entities must be subject to Portuguese regulations on Nature conservation
the matter and biodiversity
SMG4 Interventions on the seabed/subsoil must be preceded by archeological surveys (this includes environmental Underwater cultural
activities, such as the installation of artificial reefs or garbage collection) heritage
SMG5 Fisheries must be managed in line with an ecosystem-based and precautionary approach, to be implemented in Fisheries
compliance with the European Common Fisheries Policy and Portuguese regulations
SMG6 Combining fishing activities and nature conservation in the same area must be pursued (by adopting selective Fisheries
fishing methods and practices that minimize impacts on marine ecosystems)
SMG7 Aquaculture needs to account for its environmental impacts, favor ‘environmentally friendly’ practices, and Aquaculture
preserve environmental quality of marine waters (in compliance with the European Common Fisheries Policy and
Portuguese regulations)
SMG8 Combining aquaculture activities and nature conservation in the same area must be pursued (by selecting best Aquaculture
production methodologies)
SMG9 Infrastructure development must consider preservation of important areas for biodiversity/nature conservation Infrastructures
SMG10 Sediment extraction cannot compromise coastal dynamics equilibrium/protection of coastal systems, and must be Infrastructures
preceded by specific technical studies
SMG11 Changes in maritime activities shall only be implemented in shipping lanes/areas of access to ports after formal Navigation
authorization from national responsible entities (this includes new requirements/redesign of nature conservation
areas)
SMG12 Nautical sports within marine protected areas must be integrated in ‘nature sports charts’ (which include rules/ Nautical tourism
guidelines for each sport, allowed areas/time periods, and carrying capacities)
SMG13 Wave farms must follow a code of good environmental practice and be in line with guidelines from the OSPAR Wave energy
Convention
SMG14 Planning/implementation of wave farms must include a monitoring program and a contingency plan Wave energy
SMG15 Wind energy parks must follow a code of good environmental practice and be in line with guidelines from the Wind energy
OSPAR Convention (and other international guidelines)
SMG16 Planning/implementation of wind energy parks must include a monitoring program and a contingency plan Wind energy
SMG17 Macroalgae cultivation must follow a code of good environmental practice (including the use of native species) and Biofuels
be in line with guidelines from the OSPAR Convention
SMG18 Planning/implementation of macroalgae cultivation areas must be accompanied by a contingency plan and a Biofuels
monitoring program (especially during trial periods)
SMG19 Extraction of geological resources must be subject to EIA and preceded by the approval of a mining plan Geological resources
SMG20 Geological resources' exploration must follow a code of good environmental practice and be in line with guidelines Geological resources
from the OSPAR Convention
SMG21 Geological resources' commercial exploration cannot compromise coastal dynamics equilibrium Geological resources
SMG22 Oil extraction must be preceded by EIA and the approval of a ‘general plan for development/production’ (which Crude oil
includes a detailed working plan, safety plan, contingency plan and monitoring plan)
SMG23 Oil extraction shall account for the preservation of living marine resources Crude oil
SMG24 Science/technology/research are crucial for maritime activities' sustainable development (providing solutions to Scientific research
balance economic growth and nature conservation)
SMG25 Scientific activities need to be assured (especially in areas for collecting long-term data series) Scientific research

Fig. 4. (a) POEM's strategic domains (A–E) and corresponding strategic guidelines (A1, B1… E2); the latter elements were key to the Strategic Environment Assessment of
POEM [29]. (b) Use-sectors considered within POEM's sectoral management guidelines [27].
54 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58

Table 3
Measures from POEM's action program addressing environmental sustainability issues [28]. Strategic domains according to Fig. 4a. EC: Ecosystem conservation. SUS:
Sustainable use of resources. KN: Knowledge gathering.

Code Measure Sustainability Strategic

Dimension domain

M1 Development of an ‘information folder’ on the POEM, and of a digital platform KN A

M2 Stimulate events related to the oceans (e.g. conferences, congresses, courses) KN A
Develop a Fisheries Sector Plan (including the characterization of fishing grounds and definition of
M3 SUS B
guidelines for fishing)
Identify/define areas for sustainable tourism activities (within nature conservation areas), and promote
M4 SUS,KN B
such activities and the involvement of local communities
Identify/map marine species and habitats, and their conservation status, and fulfill knowledge gaps
M5 EC,KN C
(regarding the MSFD and other international commitments)
M6 Identify/design/establish a network of marine protected areas and marine Natura 2000 sites EC C
M7 Broaden the scope of the Marine Biodiversity Information System (M@rBis) Program SUS,KN C
Create projects/programs that ensure monitoring of the maritime space, its resources and activities
M8 EC,KN C
(according to MSFD's environmental goals)
Put in place a monitoring program on coastal dynamics and establish guidelines for the use of
M9 KN C
Portuguese coastlines
Put in place research/monitoring programs on the influence of geodynamic cycles and climate change in
M10 KN C
maritime spaces (their resources and activities)
M11 Develop specific regulations and Environmental Impact Assessment models for maritime spaces EC C
M12 Put in place a national plan to shelter vessels in difficulties (reducing vulnerability to shipping accidents) EC,SUS C
M13 Develop studies on economic valuation of marine ecosystems and their services EC,SUS,KN C
Develop management plans for marine protected areas (that include ecosystems' value and the
M14 EC,SUS C
identification/promotion of sustainable economic activities)
M15 Anticipate programs for comprehensive surveys on offshore geological resources KN D
M16 Develop studies needed to achieve a Good Environmental Status of the marine environment EC,KN D
a
Stimulate/ensure financial support to research and development programs (on ocean technology/
M17 KN D
robotics/biotechnology, risk analysis and climate change)
M18 Develop research and data collection programs on Portuguese sedimentary basins oil potential KN D
Develop knowledge centers, and close connections between companies-research centers and private-
M19 KN D
public sectors
Ensure the implementation and monitoring of the POEM (ensuring sustainable use of resources and
M20 EC,SUS E
sustainable economic activities)
a
Ensure involvement of entities responsible for implementing international commitments, ensuring
M21 effective articulation among monitoring programs of the MSFD, WFD, Natura 2000 network, OSPAR EC,KN E
Convention, etc.

a
Structuring measure.

Table 4
Recommendations from POEM's action program addressing sustainability issues [28]. Strategic domains according to Fig. 4a. EC: Ecosystem conservation. SUS: Sustainable
use of resources. KN: Knowledge gathering.

Code Recommendation Sustainability Strategic

Dimension domain

R1 Raise awareness on environmental, economic and cultural value of the marine environment. EC,SUS,KN A
R2 Promote sustainable fisheries by applying programs to restructure/modernize fishing fleets SUS B
R3 Promote specific programs to support sustainable aquaculture development SUS B
Upgrade technologies and activities linked to shipbuilding and to design/production of equipment and
R4 information systems, to fulfill the needs of maritime activities (including environmental protection and EC,SUS B
scientific research)
Promote valuation of fisheries/aquaculture products using certification programs (including certification
R5 SUS B
of sustainable seafood products and sustainable fisheries)
R6 Develop management plans to ensure protection/conservation of marine ecosystems EC C
R7 Develop ‘good practice’ guidelines on ecosystem conservation for each maritime use-sector EC,SUS,KN C
Develop studies to increase knowledge on marine species/habitats' conservation status, and on impacts
R8 EC,KN D
from maritime activities
Link institutions that study the sea, and develop a database to manage scattered marine information and
R9 KN D
to enable data sharing/availability
Grant entities with proper human, technological and financial resources, especially regarding
R10 EC,SUS,KN E
monitoring/implementation of POEM's action program
R11 Encourage energy production without greenhouse gas emissions SUS E
Ensure that maritime surveillance and law enforcement measures minimize the likelihood of
R12 EC E
environmental threats

4. Results and discussion SMGs (44%) address specific management instruments that
may facilitate the task of ensuring and implementing environ-
All twenty-five SMGs presented in Table 2 are very general mental sustainability: (1) environmental assessments/evalua-
and although they identify relevant concerns that, when tions – Environmental Impact Assessment (EIA) for projects and
implemented, may contribute to the long-term sustainability SEA for programs/plans; (2) monitoring programs and contin-
of the Portuguese MSP process, they do not identify ‘how’ gency plans; and (3) codes of good environmental practice
to achieve what they propose. Nonetheless, eleven of these (Fig. 5).
 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58 55

Fig. 5. (a) Distribution of POEM's sectoral management guidelines (SMGs) according to the operational management instruments they address. (b) Detail of the distribution
of SMGs addressing at least one operational instrument, according to use-sectors from Fig. 4b. GEP: Good environmental practice.

Development of EIAs and SEAs is proposed, respectively, for all preponderance over the remaining two (Fig. 6a and Table 3). In
projects and plans that might affect nature conservation areas effect, while ten measures (c. 26%) concern ecosystem conservation
(SMG2 in Table 2), and EIAs are proposed for the extraction of (EC: M5, M6, M8, M11-14, M16, M20 and M21), seven measures (c.
geological resources (SMG19) and oil (SMG22). Concomitantly, the 18%) pertain to sustainable use of resources (SUS: M3, M4, M7, M12-
development of monitoring programs to assess environmental M14 and M20), and fifteen (c. 38%) address knowledge gathering on
impacts, and of contingency plans is required for planning and Portuguese marine ecosystems (KN: M1, M2, M4, M5, M7-M10,
implementation of wave and wind energy parks (SMG14 and M13, M15-M19 and M21). In approximately half the cases, how-
SMG16, respectively), areas for macroalgae cultivation (SMG18) ever, the same measure is characterized by more than one
and oil extractions (SMG22). In terms of codes of good environ- sustainability dimension (namely, measures M4, M5, M7, M8,
mental practice, some activities are specifically advised to follow M12-M14, M16, M20 and M21). For example, measure M14 – on
them, and be in line with guidelines from the OSPAR Convention the development of management plans for marine protected areas
to minimize hazardous effects in marine ecosystems. In POEM, – is characterized by dimensions EC, as it relates to the establish-
these are wave and wind energy production (SMG13 and SMG15, ment of protected areas and management plans for marine
respectively), cultivation of macroalgae (SMG17) and exploration ecosystems, and SUS because it aims at promoting sustainable
of geological resources (SMG20). economic activities. Likewise, measure M7 – on broadening the
In light of such results, the ‘energy and geological resources’ scope of the M@rBis Program – is characterized by sustainability
use-sector (Fig. 4b) seems to be the one for which management dimensions SUS and KN because it addresses the development of
guidelines are ‘most developed’. In effect, SMGs in this sector are studies/information system on marine ecosystems and biodiver-
(almost) the only ones that refer the use of specific management sity, and promotes their sustainable use. Only one measure, M13,
instruments. The only exception is a SMG in the ‘nature conserva- addressing economic valuation of marine goods and services,
tion and biodiversity’ sector, where environmental assessments/ encompasses all three dimensions simultaneously.
evaluations are required – however, in a very general way – for all On the other hand, recommendations (Table 4) are distributed
projects, plans and programs that might affect nature conservation relatively equitably by the three sustainability dimensions
areas (SMG2 in Table 2). A potential issue related to the use of EIAs (Fig. 6c). Seven recommendations (c. 33%) concern EC (R1, R4,
in MSP, is that these assessments are carried on a ‘project-by- R6-R8, R10 and R12), eight recommendations (c. 38%) pertain to
project’ basis, thus not accounting for cumulative effects from SUS (R1-R5, R7, R10 and R11), and five (c. 24%) address KN (R1 and
different maritime sectors. Such cumulative pressure is especially R7-R10). Here, in a little less than half the cases the same
relevant in marine planning and management because marine recommendation is characterized by two sustainability dimen-
ecosystems ‘move’ [32] and there are no real boundaries between sions (namely, recommendations R1, R4, R7, R8 and R10). For
maritime areas allocated to different activities. However, because example, recommendation R7 – on the development of guidelines
projects derive from plans, and plans should be subject to SEAs, for good environmental practice – is characterized by dimensions
which already encompass an holistic assessment of cumulative EC and SUS because it promotes both marine ecosystems preserva-
effects, such an issue should, therefore, be minimized. Although tion and the improvement of environmental performance of
not referring environmental assessments/evaluations, monitoring maritime activities. Furthermore, three recommendations – R1,
programs or codes of good environmental practice, SMGs in the R7 and R10 – encompass all dimensions simultaneously.
‘fisheries and aquaculture’ use-sector also recognize the need to Although there are no ‘good’/‘bad’ reference values for each
adopt best methods and practices to minimize environmental sustainability dimension (they are only intended to categorize
impacts (SMG6 and SMG8 in Table 2). POEM measures and recommendations), a scenario where all
Tables 3 and 4 present, respectively, the subset of POEM's actions are characterized by the absence (0%) of EC, SUS or KN
measures and recommendations that address sustainability issues. dimensions would be undesirable. This is not, however, the case as
These correspond to twenty-one out of the thirty-nine measures of more than half of POEM's measures/recommendations address at
the action program, and twelve out of its twenty-one recommen- least one dimension. On the other hand, just because an action is
dations (in both cases, over 50%). characterized by a sustainability dimension – i.e. it addresses
The distribution of measures by the three sustainability dimen- sustainability issues at least to some extent – there is no assurance
sions considered is unequal, with the KN dimension having that it will actually translate into sustainable management.
56 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58

Fig. 6. Distribution of POEM's measures and recommendations according to (1) sustainability dimensions (a,c) and (2) strategic domains (b,d) – in the latter case, measures/
recommendations that do, and do not, address sustainability are differently identified. SUS: Sustainable use of resources. EC: Ecosystem conservation. KN: Knowledge
gathering. (n) Encompasses one ‘structuring measure’.

Nevertheless, phrasing/addressing such environmental concerns long-term protection, preservation and valuation of natural
is, at the very least, a promising and positive first step. A less resources, by definition, already encompass sustainability objec-
‘optimistic’ – or more precautionary – analysis could also consider tives; and (2) increased knowledge and information on marine
the KN dimension as a threat to environmental sustainability ecosystems is also recognized as key to achieve environmental
because we do not know how marine knowledge will in fact be sustainability (according to Partidário et al. [26] the importance of
used (in a ‘worst case scenario’ identification and mapping of knowledge gathering is also translated into SMG24 and SMG25 in
resources could be used for unsustainable exploitation). However, Table 2).
if risks are real so are opportunities, and knowledge gathering on In contrast, the distribution of recommendations follows a
marine resources is perceived in this analysis as fundamental, different pattern (Fig. 6d). Here, the economy domain always
contributing both to ecosystem conservation and sustainable use stands out – ten (c. 48%) of the entire set of recommendations,
of resources. and four (19%) from the subset that accounts for sustainability
When analyzing the distribution of measures by POEM's issues – followed by the governance domain (correspondingly, c.
strategic domains (Fig. 6b), there is a clear predominance of 19% and 14%). In spite of these figures, there is one recommenda-
economy and natural resources domains, each with about one third tion of paramount importance from the natural resources domain:
of the measures – respectively, thirteen (c. 33%) and eleven (28%). R7, on the development of guidelines for good environmental
When analyzing only the measures that account for sustainability practice for each maritime use-sector (Table 4). According to
issues, this changes significantly. The natural resources domain Partidário et al. [26] the action program is silent on establishing
keeps its preponderance with ten measures (c. 26%), followed by sustainability criteria to support maritime activities, and this
the knowledge domain (five measures – c. 13%), while the economy aspect – which is key for POEM's long-term sustainability – could
domain drops to two measures (5%). This prevalence of natural be compensated by the development of such good environmental
resources and knowledge domains may be due to the fact that: (1) practice guidelines. For that reason, recommendation R7 should
 C. Frazão Santos et al. / Marine Policy 49 (2014) 48–58 57

constitute a measure of key importance to the implementation might pose additional challenges to the long-term suitability and
of POEM's objectives, and not just a ‘non essential’ recommenda- sustainability of the Portuguese MSP process [20].
tion [26]. Recommendation R3 – on the investment in new Finally, understanding the institutional, political and socio-
technologies for aquaculture – is also considered by the SEA report economic aspects that hinder the implementation of this type of
as a strategic matter to the sustainability of the fisheries and planning/management processes is a challenge of paramount
aquaculture use-sectors, and therefore should also be considered a relevance. In fact, the government change that occurred before
measure [26]. the POEM was finalized and approved (and the ensuing change in
Finally, among the twenty-one measures that address sustain- paradigms/policy perspectives), together with the extinction of
ability issues, only two (c. 10%) are ‘structuring measures’, which POEM's initial responsible coordinating entity (INAG) and creation
means they have priority over the remaining and their implemen- of a new one (DGPM), and the need for a new legal framework to
tation must be ensured in the short term (6–12 months): measure address marine planning and management issues7 (expected to be
M17, on fostering research programs on ocean technology, robotics achieved with Law Proposal 133/XII), certainly contributed to the
and biotechnology, thus fulfilling important knowledge gaps; and intricacies of the Portuguese process, whose analysis goes beyond
measure M21, on ensuring an effective articulation among differ- the scope of the present study and will, therefore, be further
ent monitoring programs on environmental quality of marine addressed in future research.
waters, to be developed in the framework of several international At this moment, new developments on the Portuguese MSP
directives (Table 3). process are awaited expectantly. In fact, once a Portuguese Frame-
work Law on MSP is approved and published, new challenges will
quickly arise: the implementation process of planning and man-
5. Conclusions agement options (e.g. licensing), the proper monitoring and
evaluation of individual plans and management strategies, and
Although recognized as an essential tool to implement EU the revision of the entire process. Only time will tell if, and how,
maritime policies' goals as well as the principle of sustainability, MSP in Portugal will achieve the goals established, especially
MSP in Portugal still faces challenges on how to translate princi- regarding environmental sustainability. Nevertheless, even though
ples into practice. Regarding the Portuguese Law Proposal on MSP, the development and implementation of a proper MSP process
and although policy decisions are still open for discussion (as it is poses a national challenge, it is viewed as a major contribution to
still a working document), a preliminary analysis seems to indicate the improvement of coastal and ocean management at a national
that soft sustainability is its underlying principle, as environmen- level. All things considered, as Ehler [12] points out: “planning for
tal concerns seem to come second against economic goals. How- the future begins today” and “avoiding future problems through
ever, if an adaptive approach is truly implemented (as suggested in decisions taken today is a smart way to do business”.
[9]) within the Portuguese MSP process, the spatial planning,
management and policy-making of marine and coastal spaces
can be continuously adjusted, thus ensuring their sustainability Acknowledgments
and long-term adequacy. Here, a major challenge and concern is
how to ensure the ‘quality’ of indicators and a focus of monitoring The authors would like to acknowledge Charles N. Ehler, who
programs on the performance of marine spatial plans – both kindly agreed to review this paper providing thorough and
(1) specific Situation and Allocation Plans [24], and (2) the overall constructive comments that undoubtedly improved the paper's
national MSP. In fact, if these indicators are not properly developed quality. Portuguese Foundation for Science and Technology - FCT
and applied their results may be misleading, therefore potentially supported this study through Doctoral Grants to C. Frazão Santos
misinforming the entire management process. (SFRH/BD/77057/2011) and to M.A. Ferreira (SFRH/BD/88549/
In what concerns the POEM, given that ultimately it was not 2012).
granted the status of a planning instrument but considered simply
as ‘a study’, it is very unlikely that management guidelines,
measures and recommendations (Sections 3.1 and 3.2) will ever Appendix A. Supplementary material
be implemented ‘as they stand’ – in a worst-case scenario, they
could be considered as ‘failed actions’. However, analyzing Supplementary data associated with this article can be found in
whether or not they contribute to environmental sustainability, the online version at http://dx.doi.org/10.1016/j.marpol.2014.04.005.
and to what extent, is still extremely relevant because in the near
future Portugal will need – both to have and to implement – a set
of sustainability measures for MSP. And in this context, POEM's References
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