Schuttenberg, Heidi Zabriskie (2010) Understanding and ... · PhD thesis, James Cook ... (does not include projects that promote the use of ... 11 , p65; "Multi-year CRM plan prepared

This file is part of the following reference:

Schuttenberg, Heidi Zabriskie (2010) Understanding and strengthening effective coral reef governance: a map &

compass to guide strategic change in Southeast Asia. PhD thesis, James Cook University.

Access to this file is available from:

http://eprints.jcu.edu.au/16711

http://eprints.jcu.edu.au/16711�

Understanding and Strengthening Effective Coral Reef Governance:

A Map & Compass to Guide Strategic Change in Southeast Asia

Appendix A

Appendix B

Appendix C

AppendixD

Appendix E

Appendix F

Appendix G

AppendixH

Appendix I

AppendixJ

Appendices Effectiveness Concepts Inventory A-I

Detailed Temporal Display of Effectiveness Concepts A-18

On-line Experts' Survey of Effectiveness Concepts A-20

Agenda for Field Assistant Training Held in Bali, Indonesia Prior to Field Data Collection A-48

Survey Instrument for Collecting Field Data from Coral Reef Governance Programs in Southeast Asia A-53

Three Versions of the UEF Compass Measurement Scale Administered to Staff at the Great Barrier Reef Marine Park Authority A-66

Standardized Regression Weights and Critical Ratios for Measurement Scales Resulting from the Full Model Confirmatory Factor Analysis A-73

Principle Components Analysis of 65 Management Strategies A-75

Statistical Analyses Related to the Discriminant Analysis of the Three Dominant UEF Clusters Using Three Contextual Variables A-8I

Permissions to Reproduce Copyright Material A-84

Thesis submitted by H.Z. Schuttenberg

for the degree of Doctor of Philosophy

School of Earth and Environmental Sciences, James Cook University

Appendix A

Effectiveness Concepts Inventory

A-I

Effectiveness Concepts Dimensions, Properties, & Indicators Reef structure/rugosity; Maintenance of habitat complexity; Community structure; Assemblage structure; Trophic structure;

1 Structure maintained/restored Population-age structure; Fish population structure/dynamics; Food-chain reactions; Coral:algae ratio; Indirect effects on algae/invertebrates; Herbivorous & carnivorous fish abundance; Site integrity

2 Key species protected Endangered; Threatened; Endemic; Keystone; Rare; Iconic; Top predators; Abundance increased/maintained; Habitats &

ecosystem functions required for focal species' survival restored/maintained 3 Extinctions prevented

4 Conservation values protected Conservation values; "Conservation targets are specific species, ecological systems/habitats, or ecological processes that are

chosen to represent & encompass the full suite of biodiversity" 10, p9 Coral diversity; Fish diversity; Species richness; "Ecosystems, communities, habitats, species, & gene pools adequately

5 Biodiversity conserved represented & protected" 5, p52; Maintaining functional redundancy; "If an MP A is not maintaining or improving biodiversity .. . , then the management is not effective, & should be improved" 6, p24

~ 6 Ecosystem condition Ecosystem health; Degradation prevented; Ecological integrity; Habitat quality; Resource condition improved; Condition of

~ maintained/restored coral reefs, mangroves & seagrass beds; Fish stocks ... () 7 Coral condition maintained/restored Mortality (partial, complete), bleaching, disease ~ ... Coral cover; Habitat area; Change in mangrove/seagrass cover; "Coral cover can be an effective management & ...

tZJ 8 Habitat extent maintained/restored communications tool as it is easy to understand. However, it is often difficult to see an immediate response in coral cover '; related to management" I, p23 ~

.~ 9 Essential habitats protected Habitats that are critical at life history phases of threatened species are protected; Essential fish habitat; Critical foraging &

nursery areas ~ 10 Key areas & features protected

Unique/significant ecosystems, habitats, & features; Pristine areas; Threatened areas; Species-rich ecosystems & habitats; 0 .• MPA recognized as nationally&/or internationally important ~ Water clarity; Sedimentation rates; Nutrient inputs; Temperature; Higher nutrient waters generally support more bioeroders;

11 Water quality improved Catchment protection' Improvements in water quality of major river systems

12 Target species size/abundance increased Biomass; Fishing stocks; Fishing pressure; Availability of preferred species; Target species restored to/maintained at desired

levels

13 Fish biomass exported from MP As "Catch yields improved or sustained in fishing areas adjacent to MPA" 5, pS2; Replenishment rate of fishery stocks

increased or sustained within the MP A 14 Representative habitats protected Ecosystems, communities & habitats adequately represented & protected

"The ability of a system to absorb shocks, to avoid crossing a threshold into an alternate and possibly irreversible new state, 15 Ecological resilience supported & to regenerate after disturbance." II, p I Increasing ecosystem stability & resilience; MPA network designed to maximize

til resilience to long-term geophysicallbiochemical changes t:

.S! Proximity & connectivity between habitats; Energy & material flows; Corridors; Degree of connection between individual ... () 16 Connectivity intact protected areas in a network; "Stepping stones" for migratory species; Connections between coral reefs, seagrass beds, & t: ~ mangrove forests ~ 17 Spawning aggregations protected Protecting critical spawning stock biomass from fishery-related depletion; Species protected at vulnerable sites/life stages

18 Reproduction & recruitment Reproductive success; Reproductive output; Spawning potential; Large-sized individuals increase spawning potential

maintained/enhanced exponentially; Fecundity; Larval recruitment; Availability of clean, hard substrate; Reducing pollution can help reproductive -- -

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success· Protecting essential habitats for settlement, recruitment, spawning, & feeding; Source areas

19 Ecosystem Functions Ecological processes essential to habitat existence protected; Functions restored; Processes critical for recovery after maintained/restored disturbances; Ecological processes (spatial, temporal) incorporated into MPA network design

20 Herbivory maintained/restored Herbivorous fish abundance; Fish bite rates; Diadema abundance; Key functional role; Influences coral-algal balance,

Macroalgal abundance Coral growth, maintenance & repair; Productivity; Energetic costs; Bioerosion rates; Coral calcification rates; "Reef

21 Growth maintained accretion .. .is really the 'bottom-line' of reefs' ecological balance sheet." 1, p62

22 Income generated & economic status "Livelihoods & standards of living in the community have improved significantly" 7, p27; Economic status & relative wealth

improved of coastal residentslresource users improved; Boat ownership status

23 Poverty alleviated "Poverty line levels should be lower among coastal communities dependent on the marine environment for livelihood, so long

Community reliance on ecosystems as the resources are maintained" I, P 132; How & to what degree are stakeholders dependent on a management target for their

24 provides an incentive for sustainable use

economic well-being? Dependence on fishing; Economic contribution of marine-related activities; "Socio-ecological system (SES) - an integrated system of ecosystems & human society with reciprocal feedback & interdependence ... emphasiz[ing] the

Q) 'humans-in-nature' perspective" II p_1

E Coastal environmentally-friendly enterprise development programs result in measurable socioeconomic benefits to 0 fisherfolklcoastal communities & biophysical improvements in coastal resource condition; Fisherfolklcoastal communities (.) c Alternative livelihoods diversify income employed in "non-fIShing livelihoods or low impact mariculture that promote conservation & sustainable use of coastal -

"~ '" 25 sources & reduce reliance on marine resources (does not include projects that promote the use of payaws, fish corrals, artificial reefs, improved fishing Q)

= ~ resources technologies, fishing gear distribution, or polluting activities}" 3, p26; "Household occupational & income structure stabilized a.. or diversified through reduced marine resource dependency" 5, p116; "To what extent are stakeholder options constrained by Q Q)

= C lack of financial resources?" II, pl4 Q Q)

Col " Sustainable fisheries enhanced/maintained; Catch yields improved or sustained in fishing areas adjacent to MPA; Availability ~ 26 Sustainable harvesting enhanced I of preferred species; Certified fisheries products Q

"Cj 27

Catch volume, value &/or catch per unit Landings in value & volume; Change in effort (type/level/return) Q

effort increased 00-28 Local access to markets improved Exports; Fish trade; Market access; Ease of access, Market demands; Trading network

29 Tourism values enhanced Tourism values enhanced/maintained; Net benefits to businesses; "Improved satisfaction of visitors" 2, p23;

30 Scenic amenity & existence values Aesthetics; Non-use values; "Non-monetary benefits to society have been maintained/enhanced" 7, p27;

protected

gf 31 Recreational opportunities Benefits from changes in the number, value of recreational experience

maintained/enhanced ·0 Cultural values maintained/enhanced; Traditional fishing grounds; Sacred sites/species; Management compatible with local .D ..!. culture: traditional practices, relationships, social systems, cultural features & historic sites linked to marine resources & uses; Q) 32 Cultural connections maintained Adverse effects on traditional practices & social systems avoided or minimized; In-migration; "C\lltural indicators are helpful ~ for identifying how stakeholders value reef resources in non-monetary terms & for generating effective advocacy tools for

- --- - - -I'rotecting the reef' I, 1'140

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33 Contribution of locally-caught seafood Nutritional needs of coastal residents met/improved; Subsistence protein for coastal residents; " Improved availability of

to food security enhanced locally-caught seafood for public consumption" 5, p 116; Other protein prices

34 Human health improved Health of coastal residents and/or resource users improved; Cholera & other diseases; Contaminants in breast milk from

pesticides 35 Access to safe water/sanitation increased Drinking water; Sewers/other sanitation; Clean water; Water quality

Well-being; Assess management design for its ability to achieve community well-being considering: access to key resources,

36 Well-being enhanced size & ability to deliver ecological serviceslbenefits, external interactions (changes in governance, tourism), legal

status/clarity (including rights; uncertainty can lead to conflicts); Human Development Index (HDI) considers achievement in: longevity, knowledge, standard ofliving

Resource users compensated for "foregone economic opportunities" 8, p5; Governing mechanisms (e.g. laws, policies,

37 Equity promoted conflict resolution forums, funding opportunities) equitably distribute costslbenefits derived from conservation; Management

is gender-sensitive; Equity in/between social structures/groups improved & fair; All people have opportunities to improve their well being

38 Resource use conflicts have been User conflicts managed/reduced: within & between user groups, between the community & people outside it; What are the

reduced major conflicts between stakeholders?

"Various forms of capital (e.g., natural capital, financial capital, infrastructure, human capital such as education, and social capital such as trust and networks) that are built up during the growth and conservation phase are critical in determining the

39 Capital maintained system's resilience and adaptability" 11 , p51 ; Adjusted Net Savings Index (ANS): "'true rate of savings in a country's economy after considering investments in human capital, depletion of natural resources & damage caused by pollution" 1,

p\36

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40 Participatory WHAT: " Stakeholders have meaningful input to management decisions" 7, p2I; "Effective management almost always requires strategic partnerships & engagement with the individuals, groups or organizations who influence an MPA's values

&/or are dependent on an MPA's resources" 6, p\3; "A wide range of stakeholders (including local & regional stakeholders) were directly involved in planning the network & assist the managers by being involved in virtually all of the

planning/management decisions" 8, p2; "it is important at every step to make sure you involve the appropriate internal & ~

external stakeholders in the proper manner" 10, p5 ; Recognize/make use of existing skills/experience to ensure the project I

uses best available knowledge; HOW: "What mechanisms are in place for gathering & incorporating input from stakeholders into the management of the

system?" 11 , p65; "Multi-year CRM plan prepared through barangay consultations & participatory planning" 3, p22; Public hearings

WHO: "What gov't agencies, universities, religious organizations, & other user groups have an interest?" 4, p3I; Has there been consultation with people who will be affected, including women! unorganized interests? Were leaders & important

stakeholder groups identified? " Indigenous & traditional peoples directly participate in making decisions relating to management" 7, p2I ; A wide range of stakeholders are involved in MPA management decisions; Collaborators

41 Situation analysis is completed WHAT: "Coastal resource assessment: baseline assessment completed using participatory coastal resource assessment or scientific surveys with maps showing coastal resources, habitats, uses, issues & municipal water boundaries; graphs & tables - documenting the condition of fisheries, coral reefs, mangrove areas, seagrass beds & other coastal resources; & information

= on the general social, & economic conditions of the municipality to include secondary data from NGAs, NGOs, & academe." ~

~ e 3, p22; A coastal environmental profile has been completed consolidating information & data from the baseline assessment &

~ ·2 secondary information; Baseline information is adequate for analyzing future changes in the social & environmental variables r:: of interest; "a situation analysis is a process that will help you & your project team create together a common understanding ~ ro = l5::: of your project's context-including the biological environment & the social, economic, political & institutional systems that

~

~ affect the conservation targets you want to conserve .. . this step is one that is sometimes overlooked-at least explicitly-in conservation projects, yet it is one of the most important" 10, pI 0;

HOW: Integrating existing information; Who prepared & funded the assessment? Who participated? Were women consultedlhave their issues been considered? seek information from user groups about the quality & use of coastal resources through workshops & surveys; The area has been surveyed; Selection of conservation targets typically requires input from

experts & analysis of spatial data SPECIFICSN ARIA nONS: Technical quality: How well was the assessment tailored to the scope/resources/time constraints of the project? Was it reviewed for technical quality? Condition of important values: Important values identified; Condition of important values is known; "You should next determine the current status of each conservation target. At the most basic level , this involves developing an overall assessment of the 'health' of each target. More detailed status assessments involve

specifying 'key ecological attributes' of each target, determining indicators for each attribute, outlining your sense of what the acceptable range of variation is for each indicator, & finally determining the current status of the attribute in reference to this

range of variation." 10, p9; Socio-economics: Cultural factors/stakeholders/institutional analysis: Incorporates traditional knowledge; Gender issues analyzed; Perspective of future generations considered; As part of your situation analysis, you

should conduct a stakeholder analysis. You need to consider both powerful & influential stakeholders, as well as those that might be disadvantaged or marginalized; What is the economic status or each stakeholder group? How & to what degree are

the stakeholders dependent on a management target for their economic well-being? What are the major conflicts between stakeholders? Was an institutional analysis included? What organizations control or manage the critical resources in your ..

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focal system? What are the relationship between these organizations (pecking order, etc)? Where does the real power lie? Who has the power to influence your issue?; What do social networks look like? The identification of stakeholders &

partners, an understanding of their relationship to an MPA & its resources, & consideration of their level of engagement in the MPA, particularly in regard to management, are important parts of the context review. It should also consider whether the

current partners involved in management are appropriate & whether others should be involved; Driving factorsf'Slow variables": Identify "key factors that drive the direct threats & ultimately influence your targets. These include indirect

threats & opportunities & enabling conditions." 10, pl0; Historical perspective: There is good historical baseline information (or historic data) to determine whether there are 'shifting baselines' for a range of issues; "Managing resilience requires

understanding how historical system dynamics have shaped the current system. Social-ecological systems are dynamic & the changes they undergo are sometimes slow & predictable & other times fast & unforeseen. Having a broad overview of

system change through time can reveal system drivers, the effects of interventions, past disturbances & responses." 11, p22; Multiple Scales. Multiple Domains: Describe the key features of organizational scales above & below your focal scale that are critical for understanding the social context, the economic context, the ecological context, or other major influences on

your focal scale 42 Information is sufficient for The information base is adequate in scope/depth & is matched to the key decisions, policies & issues addressed in the plan;

planning/decision-making Information on the biophysical, socio-cultural & economic conditions is sufficient for key areas of planning & decision-making

43 Threats/barriers are understood Threats to the MPA must be identified correctly so that resources are appropriately used; Identification of barriers to better management is the first step in addressing any shortcomings; Thresholds/tipping points· Feedbacks

44 Cycles & opportunities understood "Managing resilience requires understanding cycles of change & the vulnerabilities & windows of opportunity

Oil these .. .introduce." 11. p49 c 45 Conceptual model developed "A good [conceptual] model illustrates the cause-&-effect relationships that you & your team assume exist within the project '0 C area .. .it is ideal to ground-truth (or field test) the model with key stakeholders & partners both inside & outside the project ~ team to make sure that the model reflects their understanding of the situation." 10, plO; Use a conceptual model to visually - ~ = portray the relationships among the different factors in your situation analysis; "Models of alternate states & the pathways

~

E! between them can be valuable tools for managing for resilience. Developing a conceptual model also brings to the forefront

~ an individual's or group's existing mental models(s) & can facilitate a process of synthesizing diverse perspectives." II p38 ~ 46 Information is incorporated into design All available scientific, social & economic information is used to support planning & management & it is regularly updated &

= used for effective decision-making; Management plan is based on adequate/relevant information; Traditional knowledge is ~

~ incorporated into management; Results of monitoring, research & evaluation are routinely incorporated into planning; Is the experience from other coastal management initiatives being analyzed & incorporated?

47 The management initiative is focused on "Plan identifies primary issues and deals with them within the context of the desired future for the MPA"6, p38; "Nothing is

salient issues more critical to the success of a given generation of CM than the selection of the issues-both the problems & the

c opportunities-that a coastal management initiative will address" 4, p 15; Plan addresses the real needs/interests of relevant

.§.£ stakeholders; Issues are significant enough to gain formal approvaVresources; Conservation Targets; Efforts to til conserve/effectively manage eco-regions, priority areas or protected areas typically have a geographic scope. Efforts to <Il

address specific targets, threats, opportunities or enabling conditions have a thematic scope; Policy & management need to 0 focus on factors/slow variables that affect thresholds

48 Design sufficient to meet goals Site design: Adequacy ofMPA design (sizellocation/shape) in relation to the management targets & MPA capacity; Design in relation to its impact on ecological integri(y/biodiversity, community well-being & the ease of management (legal

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status/access/boundaries); Management design is able to achieve community well-being considering: access to key resources, size & ability to deliver ecological serviceslbenefits, external interactions (changes in governance, tourism), legal status

(including rights; uncertainty can lead to conflicts); Actions: Objectives/actions are adequate/appropriate for all issues; What management strategies, if any, can be employed to

move you further away from undesirable thresholds? Precautionary; "Many coastal management initiatives fail in Step 3 [formal adoption & funding] . They ... are so modified by the interagency negotiations & the political influence applied by some interest groups that their potential to achieve significant progress on the issues they have been designed to address is

reduced or lost." 4, p33 49 An appropriate spatial area is under Direct site management: Are the proposed boundaries for planning & management appropriate to the issues that have been

management selected? Size is adequate to fulfill stated conservation objectives related to: landscapes, species, environmental parameters, environmental services, ecosystem functions, & unique natural features/events; Design is adequate to maintain ecological

integrity (biodiversity management targets) & considers: key areas included, size, external interactions & connectivity; Percentage of marine area under protection; Broader area management: Upland/watershed management; Shoreline/foreshore

management; The MPA is integrated into a larger coastal management plan; Your MPA network has the backing of an efficient combination of legislative instruments that can extend outside the spatial domain of the MP A network if external threats need to be addressed; "governing bodies effectively co-ordinate with other governing bodies, technical bodies &

relevant actors, in particular at ecosystemllandscape & regional levels. " 12. p36 50 Well designed MPA network General criteria: "MPA is part of a network of MPAs which collectively sustain larger marine ecosystem functions &

represent a range ofbio-geographic variation in a marine eco-region" 7, p16; Risk from unmanageable disturbances spread across the network; Considers ecological processes, connectivity, external influences; Size/shape maximize achievement of

ecological objectives; Targets: "MPA network includes many self-sustaining, viable, no-take areas, which are all geographically dispersed within the wider area ensuring viability at all levels (i.e., at the ecosystem, species, genetic levels)

irrespective of natural cycles of variation" 8, p3 ; "MPA network includes spatially-separated replicates of no-take areas within 80% or more of the eco-regions occurring within the wider area" 8, p6; "MPA network includes representative

examples of 80- 1 00% of known marine habitats and/or ecological processes within the wider area" 8, p7; "30% or more of - the area is free from extractive activities or habitat-altering activities or other significant human-induced stresses" 8 p8 = 51 Appropriate for available capacity Scope/complexity appropriate to capacity of institutions responsible for implementation; Enforceability of arrangements ~

E ~ ensured

~ 'en 52 Use of incentives/disincentives Rewards/penalties; inducements offered to or the costs imposed on target groups in the management strategy; Various ~ d)

incentives & disincentives, from fees & taxes to recognition of social merit & boosting of social standing; Revenue = Cl ~ generating mechanisms established &providing. benefits to the community ~ 53 Resilience supported/enhanced The ability of a system to absorb shocks, to avoid crossing a threshold into an alternate & possibly irreversible new state, & to

regenerate after disturbance; Resilience is a critical property that provides some insurance for mistakes. ''The kinds of interventions that are most appropriate (& inappropriate) are influenced by the phase of the adaptive cycle ... ifthe focal

system is in a fore loop (growth & conservation ... ), consider two common fore-loop trends that may require intervention: I) Becoming too good at it, i.e. not recognizing that increases in efficiency of production are reducing response diversity.

Maximizing production through increased efficiency often leads to unwanted surprises-e.g., collapsed fish stocks, epidemics; 2) Becoming increasingly reluctant to change from what has developed into a successful production system .. .If the

focal system is in a late-conservation phase, there may be strong resistance to change. One option is to induce small disturbances, to force the release of resources & reorganization before it hapl'ens through a potentially large external

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disturbance ... A strong proposition in resilience theory is that generating back loops at sma\1 scales prevents systems at higher scales from approaching crisis & collapse .. .1f ... in a back loop ... the main goal is to retain as much capital as possible while fostering & speeding up the re-organization phase ... retaining 'memory' & resources .. . & allow[ing] novelty to flourish ." II,

p71 54 Appropriate Scope & Appropriate for Reflects all values to be addressed; Plan should be appropriate for the relevant environmental, social & economic contexts;

Context Adverse effects on traditional practices/relationships/social systems avoided/minimized

55 Logic is sound & explicit "Coastal programs typica\1y fail either because the program 'logic' (assumptions, hypotheses) is flawed or because implementation activities were poorly executed" 4, p37; The fundamental hypotheses upon which the strategy is based has

been made sufficiently explicit to permit the analysis of their validity; "We cannot emphasize enough the importance of documenting the reasons for your decisions at each step. Not only does this give you the opportunity to analyze why things

worked or did not but it also serves as a basis for others to understand the logic of your choices" 10, p5 56 Formally Adopted Approved by relevant legal authorities; By what process/at what political level was the program officially approved?

57 High quality Scope; Clarity; Practicality of aims; Relevance to on-ground management; Status & adequacy of management plans & other types of plans; Clear vision; Flexible strategies; Basis for monitoring; Designed for effective implementation; Programmed &

c prioritized set of actions; Management actions can be clearly understood & provide a useful basis for developing work CIS programs, budgets & other plans; Access to, transparency & simplicity of plan; Management plan has inter-institutional

2i: mechanisms with clear regulatory framework which includes different government sectors from national & local levels; .... "Multi-year CRM plan drafted with the following sections: description of the area, maps, management goals and objectives, c Q) strategies & actions, institutional & legal framework, timeline & funding requirements, & monitoring & evaluation plan" 3, E Q) p22

~ 58 Clear Direction & Priorities Prioritized set of actions; Clarity; Management plan acts as a decision framework for addressing new issues & opportunities; c Prioritizes amongst strategies/actions in a way that facilitates work programming & allocation of resources; Program goals CIS ::;; reflect identified issues· Management goals identified, taking into consideration the values of a diversity of stakeholders

59 Has clear, measurable, outcome-based Targets describing the desired results of management interventions have been set; There are a range of clear, achievable &

objectives/targets measurable objectives (including ecological, social & economic objectives) defined for the MPA network & derived from the legislation; Good objectives : results oriented, measurable, time limited, specific, & practical; MPA has agreed objectives & is

managed to meet them

60 Practical Practical aims; Feasible strategies; Enforceability of arrangements ensured; Designed for easy implementation; "Management ~ strategies that build on the user's self interest or encourage modest changes in behavior are more likely to be successful than c those that are perceived as dramatic, costly, punitive or unfair" 4, p27 - .9 = .... 61 Inclusive Institutions/processes try to serve all stakeholders; Responsiveness to power sharing; Stakeholder participation includes

Q) ::l

e .... representation from the various ethnic/religious/user groups & both genders; Stakeholders at all levels of governance have a .~

~ c say in management - 62 Respectful Working Relationships Quality relationships between protected area managers & local people; Successful conservation depends on forging effective = ---= CIl partnerships with key stakeholders = CIl

~ Q) 63 Good Communication Good communication between managers & stakeholders; Issue assessment results communicated; Management plan <.l 0 disseminated to all relevant stakeholders; Governing bodies successfully inform the public & interested parties about their ...

own functions/roles; Devise a plan for improving knowledge-sharing among stakeholders & formalizing mechanisms for ~ input from all levels of governance; Information is spread through several avenues· Is the process of knowledge-sharing

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fonnalized or institutionalized in any manner? Are impending program decisions announced & made known to those likely to be affected? Is the purpose of this initiative understood by those who are likely to be affected by it? Mechanisms exist/are

used to provide relevant infonnation to the public at large &. particularly, to the most directly concerned social actors 64 Atmosphere of Trust "By building capital & trust, the people & organizations involved in a social-ecological system can transfonn systems" 11 ,

p64' Identify trust-building opportunities & devise a plan for implementation 65 Impartial Fairness; Non-discriminatory recourse to justice; Management plan gender-sensitive; Legal frameworks are fair & enforced

impartially; Making certain that public service promotions are merit-based 66 Transparent Transparency is built on the free flow of infonnation; Guaranteed access to infonnation; To what extent are program data

(impact assessments, pennit decisions, development & conservation plans, violations) available to stakeholders/the public? Enough infonnation is provided to understand & monitor institutions & their decision-making process; The protected area's

governing processes, objectives & plans are clear, viable & respect the values collectively agreed upon; Access to, transparency & simplicity of management plan ensured

67 Flexible Flexible strategies; Appropriate changes are made to meet expressed needs; " If too much flexibility is lost. .. systems cannot respond to surprise & are vulnerable ... How much flexibility-in social, economic, & ecological domains-have you retained in your system?" II, p55; "It is essential that the program be alert to new problems & new opportunities & that it maintain the ability to respond to them" 4, p37; "Governing bodies demonstrate responsiveness to new ideas & institutional arrangements that explore constructive forms of sharing their governing powers" 12, p36; Accepts continuous change & acknowledges a

level of uncertainty 68 Conflicts resolved constructively "'Good governance' can handle conflict constructively allowing ... exploration of diverse meanings & the evolution of

consensus solutions. This, in tum, increases the governing bodies' legitimacy, their respect in the eyes of the relevant stakeholders, & social compliance to the relevant rules." 12, p21 ; What conflict resolution techniques have been used? '''Good

governance' .. .is founded upon the capacity & reliability of governing institutions to effectively respond to problems & achieve social unity throll&h various fonns of consultatiOl1,negotiation & multi-party agreements." 12, pl9

69 Innovative What are the sources of learning & innovation? "The governing bodies generate new ideas & launch innovative processes (e.g., cultural sensitivity training, conservation covenants) to address & resolve difficult issues. They support other social

actors engaged in innovative, promising work" 12, p39; "One of the insights from evaluating many case studies in resilience is that innovation & learning must be fostered regardless of the phase of the adaptive cycle" 11, p55; "Innovation . . . may

require ... cultivating tolerance for new & alternative ideas, resources & other sources of novelty" II , p59; Do existing social networks impede opportunity for change & innovation?

70 Learn & Adapt "Adaptive management allows you to determine why certain activities have succeeded or failed. Your monitoring data provide you with the opportunity to see whether the core assumptions you laid out in the planning steps above hold true in - - reality" 10, p23; Your MPA network is readily able to incorporate changes such as new infonnation becoming available; = c Encourage small scale tests; "Significant adaptations can be a sign of program 'learning', but they may also be evidence of ~ II) e E acquiescence to political pressure." 4, p38; "Managing resilience requires adaptability-the ability to monitor, assess,

~ ~ respond, recover & renew following known & unknown disturbances" 11, p62; Coastal management is an adaptive & ~ «I

iterative process; "Creating a learning environment is not easy. It requires leaders & donors who understand the need to = C ~ «I reallocate scarce resources from immediate action to the long-tenn work of adaptive management. It often requires enabling ~ ~ practitioners to take some chances .. .It requires providing project teams with the institutional security that innovation &

questioning assumptions are valued in their organizations" 10, p20-1 ; "Learning involves the comparison of mental models with data & infonnation from the world .. . incrementallearning can occur when infonnation & data are used to evaluate

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ongoing plans, models & policies ... to evaluate whether proposed management actions are achieving desired goals. In this case, the underlying mental model or scheme is fixed. Transformational learning occurs when underlying models, schema or

paradigms change. This type oflearning occurs after an environmental crisis .. .It requires innovation in the form of development of new ideas, models & policies." 11 , P 14; "The governing bodies provide or support initiatives to increase & improve the use of collaborative learning in various forums: policy & decision-making, conflict resolution, etc." 12, p39;

Building resilience offers some protection for maintaining ecosystem goods & services & for coping with unexpected shocks by nurturing a capacity to learn & to adapt; "Adaptive governance can enhance general resilience by encouraging flexibility,

inclusiveness, diversity, & innovation." 11 , p65 71 Robust Able to overcome a variety of threats/obstacles & come out strengthened from the experiences

72 Competent Ensuring a competent administration; Performance; Are staff sufficiently competent in technical & institutional/political issues?

73 Credible "Credibility: Governing bodies honour internal & external commitments ... Their decision-making processes inspire confidence because they are unbiased, fair & open" 12, p35; "The goal should be to have rules that are generally accepted by

most parts of society & that can be enforced. Chances for this are dependent on the knowledge level of the public & the credibility of government programs." 4 (quoting the World Bank), p38; "Technical excellence can help in creating credibility

for the proposed management program" 4, p33 74 Responsive to Complaints & Changing "Governing bodies are responsive to complaints & public criticism of their activities. Appropriate changes are made to meet

Needs the expressed needs" 12, p38; "It is essential that. .. the program be alert to new problems & new opportunities & that it maintain the ability to respond to them" 4, p37; Institutions are capable ofresponding to local interests & concerns; Decisive

interventions in the event of conflict 75 Smooth Administration Administration & workplace safety; Good staff morale; Are there policies & procedures for grievances, sickness &

compensation? New staff orientation; Regular meetings with managers; Is employee performance monitored & managed? To what extent does your project team operate smoothly? Are there areas where you could improve (e.g. communications,

delegation ofresponsibilities)?

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76 Good Financial Management (Planning Have the monetary costs & other resources required to implement the plan (staff, research, capital) been estimated? Has a

& Auditing) funding strategy been prepared? The budget in your MP A is weB managed & aB staff understand the financial situation; Your MPA network has a weB-developed & periodicaBy audited program oflong-term funding (assessed, & if necessary, increased

against a recognised financial index) in order to meet both core costs & emerging issues; How is financial accountability insured? Are there established budget processes, financial controls & tracking mechanisms in place?

77 Adequate Funding Continuous & adequate budget; "Repeated assessments of protected area effectiveness suggest, not surprisingly, that the level of resources available for management often has a major impact on effectiveness" 9, p20; There is a secure budget for the MPA & its management needs on a multi-year basis; Municipal/city budget aBocated for all CRM activities including plan

implementation, monitoring & evaluation & coastal law enforcement; Appropriate aBocation of funds -78 Balanced Portfolio of $ Sources (user "A variety of mechanisms can provide a program with a long-term infusion of core funds that may be raised from user fees,

~ fees, grants, government) dedicated tax revenues & commitments oflong-term financial contributions from central govenunent" 4, p35; Stakeholder

support; "The budget is not entirely dependent on govenunent funding; instead, funding also comes from NGO contributions, !

'u taxes, fees, etc." 7, p20; Other sources offunding leveraged; Revenues derived from charging users of the MPA (as cost-a..

recovery &/or management instrument); "There are clear financial contributions/agreements between MP A & tourism ::3 0 operators to recover MP A resources rents for local benefits" 7, p21; "Revenue generating mechanisms planned, initiated, <Il II)

finalized, & adopted: fee structure & mechanisms developed through consultations & public hearings, based on CRM plan & cz:: municipal water use zoning; fee structure finalized & adopted through municipal ordinance; revenue collection system

established" 3, p27 79 Adequate Staff Capacity Staff have excellent capacity/resources to enforce MPA legislation & regulations; availability of staff with appropriate skills;

available staff time; Numbers: Staff numbers are adequate for the management needs of the site; Analysis of staff workload & workflow can help determine whether the program has sufficient staff; Expertise/Training: What management/technical - training has been provided? Have the staff become conversant with relevant experience elsewhere in their nation, the region

= & the world? Is there a capacity-building strategy & is it effective? Governing bodies at various levels provide technical d)

e inputs & support to protected area staff; Staff training & skills are in tune with the management needs of the MPA & with

~ anticipated future needs; Identify the key skills each team member brings; Regular training of coastal law enforcement units; ~ Related Issues: Salaries are adequate = ~ 80 Infrastructure Develo~ed & Maintained Required equipment/facilities are available & they are weB maintained; Boats; Buildings; Visitor facilities ~ 81 Efficient Value for money; Resources are used in the best way; Processes & institutions produce results while making best use of

resources; "Efficiency is often achieved at the expense of flexibility" II, p55

82 Plan is Actively Implemented / Extent Plan implemented: An approved management plan exists & is being implemented; "[are] the plans actually being used or just C

of implementation gathering dust on someone's shelves: for instance whether they have been translated into annual work plans that are 0 .~ implemented & assessed" 9, p20; "Management plan is tied to the development & enforcement of regulations; Strategies & ..... actions articulated in multi-year CRM plan fuBy implemented & supported by ... collaborators" 3, p22; Extent/quality of c II) implementation: Quality of implementation activities; "programs typicaBy fail either because the program 'logic' ... is flawed E II) or because implementation activities were poorly executed" 4, p37; Outputs produced: Projects completed; Achievement of Q. identified activities/targets (e.g. number of patrols run, paths built or restoration activities achieved) E 83 AppropriatelEnforceable Regulations "Resource use & other activities clearly & authoritatively regulated" 6, p 19; Access points that are difficult to monitor may .....

Adopted increase illegal use; Do proposed penalties encourage compliance? Regulations adopted (e.g., for timing the use of a resource, opening/closing access to an area, allowing/disaBowing a particular technology); "Coastal area & municipal water use

zones ... with associated regulatory & revenue-generating mechanisms established through local ordinance" 3, p24

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84 Rules are Enforced Coastal law enforcement units equipped & conducting land-based & sea-based operations; Monitoring, control & survei\lance of activities conducted to stop illegal activities & destructive practices in municipal waters; "strong & objective enforcement

is often required, however, when parties are clearly benefiting economically from breaking the rules." 4 (quoting World Bank), p38; Apprehensions, cases filed, & convictions related to violations of coastal laws recorded; Official enforcement capacity/patrols; Because most jurisdictions lack the personnel/funds to engage in extensive surveillance of coastal users, management activities that encourage individual or collective self-management through cooperative user groups or other institutions can be critically important; There are additional sources of control (e.g., volunteers, national services, local

communities); Regulatory enforcement; Application of law/regulations adequately maintained/ improved; What is done to insure the validity of data submitted by permit applicants; Regular monitoring of fish catch & annual registration & licensing

conducted & sustained; "Compliance with policies is directly proportional to the risk of detection & the costs of noncompliance" 4, p27' Infractions regularly prosecuted & fines levied

85 Most Users are Aware of & Complying MPA users are aware of, understand, & comply with the regulations; "Rules for resource use & access clearly defined & with Rules social1y acceptable" 5, pl64; MPA boundaries are demarcated; "Virtual1y the entire community (including the local

communities & the wider public) are very familiar with the MPA network & the managing agency" 8, p8; "Making sure that rules are respected because they are 'owned' by people & not solely because of fear of repression" 12, p22

86 RestorationlRehabilitation Mangrove planting, rehabilitation; Creating/removing dams; Restoring wetlands

87 Strategies are implemented using 'Good Management interventions are being implemented using "best practices"; Standards of performance in management; Is the

Practices' experience from other initiatives being analyzed/incorporated? Exchanges of good practices; "Benchmarks ... set forth the ... best way .. . a particular management process should be conducted ... A stepped scoring system ... should ... be established,

ranging from 'complete failure' to meet management standards up to 'full compliance"' 9, p24 88 Fisheries management Regulatory mechanisms are planned to limit access & pressure to fishery resources (licensing, limitations on number of

fishers, closed seasons, gear restrictions, limitations on size offish caught, color coding of boats, & other catch restrictions); Fish spawning aggregations protected; Regular monitoring of fish catch & annual registration & licensing conducted; Local

legislation enacted/enforced for fisheries management measures; Certified fisheries products - c:: 89 Tourism management "Carrying capacity has been determined" 6, p20; Visitor facilities/services are sufficient for current levels of visitation

= 0 90 Catchment protection Upland/watershed management; Land use issues potential\y affecting municipal water use zones identified; Reforestation

Q,j .~

5 ..... projects implemented; Pollution minimization & prevention programs adopted by industries; Pesticide reduction program

~ c:: adopted by farmers; Solid waste management systems QIlerational 11)

~ E 91 Educational Activities Implemented There is a planned communication program that is being implemented to build support for the MPA amongst relevant

= 11)

~ e. stakeholders; Public education/involvement program designed; Signs in place; Have target audiences been identified? Have

~ E the key messages to be conveyed been formulated? With what success have they been transmitted? Development/distribution - of appropriate communication products; Materials/activities available; Accessible visitors' centre; Social marketing on regulatory measures conducted

92 Monitoring Good monitoring exists; Why: Ability to detect change; Ecological/environmental impact assessment; Monitoring should

(Ecological & Socio-economic) capture the essential dynamics of the system; Scientific understanding expanded through research & monitoring; To what

Occurs extent are the data generated actual1y being used in management activities? Are data broadly available? Progress against most ifnot al1 the objectives of the MPA network being monitored regularly & objectively, with the results being widely

disseminated & used in adaptive management; The MPA participates in national or international environmental monitoring programs; "Adaptive management allows you to determine why certain activities have succeeded or failed. Your monitoring data provide you with the opportunity to see whether the core assumptions you laid out in the planning steps above hold true

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in reality" 10, p23; What: "good" indicators; Water quality monitoring; Change in fishing effort; What technical data are routinely required? How are they generated? Are the indicators used generally consistent with international practice?

Biophysical, socioeconomic & governance indicators are monitored; Are the changes in controlling variables monitored? Is monitoring data gender-disaggregated so that effects of the project on women & men can be considered separately? How: Is there a sufficiently rigorous analytical design that will make it feasible to draw the types of conclusions desired from the data

being collected? Are there control sites? Is monitoring placing an unreasonable demand on staffs time? Is there citizen monitoring? " Level 2: Monitoring plan developed . .. to assess changes resulting from CRM plan implementation. Linkages with national government agencies, NGOs & academic institutions involved in monitoring developed to assess conditions & use data for decision making. Key indicators identified & highlighted in the monitoring plan. Municipal Coastal Database established & operational" 3, p22; "Level 3: Biophysical & socioeconomic assessments conducted on a regular basis for 3 years. Data analysis conducted & compared to baseline conditions. Data regularly updated & stored in Municipal Coastal

Database." 3, p22; "Effective monitoring uses the minimum amount of financial & human resources to. provide you with the minimum information needed to determine if your project is on track & what to do if you are not." 10, p17; "Remember, you should aim to collect the least amount of information to show that your project is making progress. Thus, for the most part,

you will want to limit the indicators you monitor to those that correspond to your results chains." 10, p 18; 93 Strategic Research Occurs Key information gaps are filled in with relevant research; There is a comprehensive, integrated program of survey & research

work which is relevant to management needs; " Basic & applied research programmes, covering ecosystems, species & socio-economics, support protection & management" 6, p20; Agreements with universities; Regulation to prevent adverse impacts

from research' Public/stakeholders involved in research 94 Partnerships are Formalized "Effective management almost always requires strategic partnerships & engagement with the individuals, groups or

organizations who influence an MPA's values &/or are dependent on an MPA's resources" 6, p\3; Develop & cultivate partnerships: successful conservation depends on forging effective partnerships with key stakeholders; Are the current

partners involved in management appropriate? Should others should be involved? Mangrove agreements 95 Program goals achieved "MP A management effectiveness is a systematic & structured measure of the degree to which management actions are

achieving stated goals & objectives." I, p154' Objectives have been significantly addressed

96 Awareness Increased Have public education/involvement efforts had a discernible impact on target audiences? Has the project changed public perceptions of the issues? Making sure that stakeholders possess an adequate knowledge regarding what is at stake in

decision-making; Stakeholders are aware & concerned about marine resource condition & threats; Increasing knowledge .... about marine ecosystems & biodiversity; Public's understanding of environmental & social 'sustainability' improved; Respect = ~ for & understanding of local knowledge enhanced; Levels of scientific knowledge held by the public increased E til

+-' 97 Behavior changed Are the changes in target group behavior sought by the management program being achieved? Willingness & acceptance of ~

:; til people increased to behave in ways that allow for sustainable management = d)

Destructive fishing stopped; "Over-exploitation of living and/or non-living marine resources minimized, prevented or = ~ 98 Unsustainable harvesting = reduced/eliminated prohibited entirely" 5, p52; "Large groupers & snappers indicate fishing regulation effectiveness" I, p52 ~

99 Water pollution reduced/minimized Pollution (sediment, nutrients, toxic chemicals) reduced; Measurable improvements in forest cover & water quality of major river systems

100 Impacts from tourism & recreation Boat groundings minimized; Impacts from tourism & its associated coastal development minimized; Impacts from recreation

reduced/eliminated minimized

101 Global climate change impacts (mass System's resilience to global climate chan~e enhan~ed through MPA network design

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bleaching/acidification) minimized I

102 Threats reduced "The status of current threats is another important measure of management effectiveness" 6, p25; Human impacts eliminated/minimized' Population density; Habitat destruction' Invasive species

103 Evaluations (internal, external) There is an established schedule & process for periodic review & updating of the management plan; There is an effective,

Periodically Implemented ongoing evaluation of governance, fostering improved performance & information sharing; "Information on management effectiveness is thus a cornerstone of good management" 9, pi; ~: Soundness of program hypotheses & the quality of implementation activities; Analyses of project results & assumptions; Analyses of operational & financial data; Who: Self-

assessment; External evaluation; Who is involved? "Coastal management. .. is an adaptive & iterative process ... This learning process ideally occurs through both internal processes of analysis, reflection & adjustment & by more formalized external evaluations typically conducted by individuals with no former involvement in the program" 4, p48; Process: How is the

evaluation structured? Were the results communicated? Is there evidence of changes in perspectives or behavior as a result of evaluation? Effective reporting systems

104 Representative decision-making Representative: Guaranteeing fairness of stakeholder representation in decision-making processes & dispute resolution; Stakeholders are satisfied with the process & outputs ofMPA management, including feelings that they are adequately

represented in decision-making; Institutions & processes try to serve all stakeholders; "All men & women should have a voice in decision-making, either directly or through legitimate intermediate institutions that represent their intention. Such

broad participation is built on ... capacities to participate constructively" 12, p22; Direct involvement/Collaborative gf management: Representativeness, equity & efficacy of collaborative management systems ensured; A wide range of

~ :.Q stakeholders are directly involved in decision making, e.g., through active participation in a formal capacity; Describe the ~

= tIS nature & extent to which stakeholders contribute to decision-making & their level of authority; Indigenous & traditional ~ e = , peoples directly participate in making decisions ... c::

105 Balanced & decent "Making sure that conservation is undertaken with decency: without humiliation or harm to people" 12, p21; "The design & ~ 0 .. 'iii implementation of your MPA network continues to consider the economic & socio-cultural setting, as well as the real benefits 0 C.!l u & costs of the network (including both tangible & intangible benefits & costs)" 8, p5; Compatibility between international, Q,)

0 national, state, & local rights & obligations maximized/ensured; The socioeconomic impacts of decisions are considered in the planning process; "The governing bodies establish & maintain a balanced & responsive overall design to structure their own activities & those of other PA actors. They are capable of embracing & merging conservation & other objectives (e.g.,

supporting sustainable livelihoods, strengthening cultural identity, satisfying spiritual needs" 12, p38; "Good governance mediates differing interests to reach a broad consensus on what is in the best interest of the group &, where possible, on

policies & orocedures" 12, p22

106 Appropriate governance model is used "How well a governance system supports the achievement of established goals & objectives ... how the results generated compare with the effort expended & the resources committed" 12, p5; Issues of ownership, power & management

~ tU responsibility & the way these are divided between government, other organizations & sectors of the community; "Selecting ~

= c:: an institutional design is a delicate process, & requires sensitivity to local traditions & power structures. There are always a ~ 0 multitude of management agencies, often with overlapping jurisdictions, & all concerned about their survival & their = '';:: ... ::l institutional 'territory'" 4, p28; Subsidiarity: decisions are taken at the lowest level compatible with relevant capacities; ~ ,t:: .. - "Institutional & political frameworks designed to adapt to changing relationships between society & ecosystems in ways that 0 til

C.!l c:: sustain ecosyStem services" II, p65; - 107 Shared vision developed around Common vision; Strategic vision; "The governing bodies provide an inspiring vision of the protected area's future based on

relevant issues values shared by its main relevant actors & society at large. They are able to mobilise support for that vision" 12, p39; - ---- -

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Desired future is clearly & explicitly articulated as a decision making reference point; Decide on a clear & common vision, a description of the desired state or ultimate condition that you are working to achieve;"People charged with making &

implementing plans do so based upon their world view, which is also referred to as a 'mental model''' I I , p3; "The key to transformation is the development of new approaches new mental models or the reframing of issues" II . p70

108 Integrated "'Policy integration' is a fundamental element of coastal management. It involves breaking down sectoral barriers by getting agencies to recognize their impact on other sectors, communities & the environment. "Your MPA network has well

established mechanisms for the vertical integration between all levels of government (e.g., national, state, & local), & horizontal integration among agencies with different mandates, as well as involving local communities, Indigenous people &

regional groups" 8, p6; MPA is integrated into a larger coastal management plan; MPA network tits within an integrated, holistic framework; Interdisciplinary; "Governing bodies effectively co-ordinate with other governing bodies, technical

bodies & relevant actors, in particular at ecosystem/landscape & regional levels." 12, p36; "Cross-Scale Interactions: The resilience of a focal system is in large part determined by the interaction of systems across this Panarchy" II . p58

109 Consistency between relevant Are there conflicts with other laws or programs? Land use & sea use plans reconciled & consistent; Local legislation

laws/policies across sectors & levels of reviewed & revised to be consistent with national policies/laws; Compatibility between international, national, state & local

government rights & obligations maximized! ensured; MPA objectives are derived from the legislation; MPA network has the backing of an efficient combination oflegislative instruments (laws, regulations) & administrative instruments (policies) at various levels (local/state/national), that collectively provide long-term protection for the MPA network & ensure its viability

110 Compatibility between formal laws & Compatibility between legal (formal) and local (informal) arrangements maximized!ensured; Local &/or informal governance

informal arrangements; Supports local system recognized & strategically incorporated into management planning; Mechanisms for sharing relevant protected area

culture; Sensitive to local arrangements decision-making with local & indigenous people exist & are utilized; MPA management is compatible with the local culture, including traditional practices, relationships, social systems, cultural features, historic sites & monuments linked to marine resources & uses; Community-based mangrove management agreements awarded; "'Cultural governance' may be invisible

but nevertheless playa key role in decision-making about a protected area, meshing in various ways with the institutional & legal governance" 12, p 17

III Supportive/adequate legislative Are there obvious jurisdictional gaps? Legal status of an MPA can affect the extent to which managers are able to control

framework (including int'I treaties) activities; CRM-related local legislation enacted supporting CRM plan & regulatory/management measures; Relevant international treaties rati tied

112 Jurisdictional boundaries are clear Municipal waters are officially delineated & boundaries shown on municipal/city maps

A-I5

113 Authorities are clear & appropriate Appropriate & clear roles/responsibilities; Establishing, structuring & putting into operation roles, responsibilities & accountabilities in decision-making about conservation & resource use; "Formal adoption of a new coastal management program & of a new approach to important resource management issues affects the distribution of authority & influence

among institutions, interest groups & politicians. This may trigger defensive behavior & bureaucratic maneuvering that is often mysterious & distasteful to the technical experts" 4 ~32-3

114 Clear land tenure & resource access "Rules for resource use & access clearly defined & socially acceptable" 5, p 164; Legal framework for land & resource rights use/tenure; Do the different kinds of tenure conflict with or complement each other? Disputes about land & resource use are

resolved Quickly 115 Coordination mechanisms are "Since coastal management, by definition, addresses more than one sector, the implementation of a management program

Vl functioning frequently requires the coordinated action of several governmental institutions" 4, p34; ..... Coordination status: Is needed interagency coordination working? Does the lead agency have power to assemble, coordinate, s:: 11) & motivate other relevant agencies? A high level of management coordination exists across all relevant jurisdictions & E ~

agencies (including across the land-water interface), as well as between users/sectors; Relationship between the MPA & the

s:: national protected area agency; Multi-institutional collaboration planned, initiated, formalized, & strengthened; Are other

~ governmental agencies continuing to carry out their programs without reference to the coastal program? Governing bodies are

--< able to influence decision-making processes in other components of a country's governing system; Are there barriers to

~ interagency cooperation?

s:: Coordination mechanisms: "Increased coordination among government agencies & with outside organizations involves a 0 combination of amending mandates to coastal management objectives & offering incentives to influence institutional '';::

.€ behavior" 4, p39-40; What are the incentives (funds, staff, etc.) for interagency cooperation/coordination? Are ..... formal/informal arrangements for coordination (MoA, consistency requirements, reassignment of staff, joint hearings, joint Vl

11) s:: permitting, SAM plans) established? "MOAs drafted defining ... modes of collaboration & resource sharing to provide y ..... = technical & financial assistance, training, monitoring & evaluation, livelihood, skills development, information, education, & ~ communication support & ... collaboration in coastal law enforcement" 3, p27 = ... 116 Leadership There is clear & effective leadership; Are there mechanisms in place to develop leaders & leadership skills? You may also 11) ..

t: need to identifY one or more advisors ... who can champion your cause; Are there individuals or organizations that you can 0 \!)

~ approach to discuss how to weaken these constraints in order to build resilience & flexibility?

117 Political Support Commitment to funding & implementation; There is commitment & support at both the political & agency levels; Do high ::s officials & opinion leaders speak publicly & favorably about coastal management? Do they understand the implications of V'J

~ the issues the project is addressing, their causes & possible solutions? "Technical excellence can help in creating credibility

.~ for the proposed management program, but the active support of key officials & stakeholders is likely to be more important

."t:: when seeking formal endorsement of the program" 4, p33; What organizations control or manage the critical resources in "0 your focal system? Who has the power to influence your issue? What is the degree of support for the institutional framework? 0..

118 Public Support MPA accepted by the community; Stakeholders are satisfied with the process/outputs ofMPA management; "The larger issue ~ .~

is whether public understanding & support of the program exists &, to the extent that these elements are lacking, what can be

::c done" 4, p44 ::s 119 Social Capital Enhanced "Social capital can be increased when the management of the resource system engages stakeholders at all levels of

0.. governance from local to international institutions" II, p64; Social networks; Number of interactions between MPA managers and community members

~ 120 Cooperative "The relevant actors in the governing bodies are able to entertain an effective dialogue among themselves, arrive at mutually

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satisfactory decisions & prevent the process from producing only 'lowest common denominator' agreements (vague, generic decisions)" 12, p34; How serious are conflicts between agencies? Will other agencies exercise 'vetoes' over any aspect of the

program as it is implemented? Is needed interagency coordination working? Successful conservation depends on forging effective partnerships with key stakeholders

121 Accessible Planning processes allows adequate opportunity for stakeholders to influence decisions; There are mechanisms by which those most affected by the program can influence its priorities & operations? Occasions to meet, discuss & negotiate specific

issues 122 Accountable Checks & balances; "Managers are likely to experience greater community support & trust when ... management is seen to be

open & accountable" 9, p7; "Accountability: Decision-makers are accountable to the public as well as to institutional stakeholders. This accountability differs depending on the organizations & whether the decision is internal or external" 12, p20; The avenues to demand accountability are accessible to all; Establishing & implementing accountabilities in decision-

making about conservation & resource use 123 Equitable Governing mechanisms (laws, policies conflict resolution forums, funding opportunities, etc.) distribute equitably the costs &

benefits deriving from conservation; Monetary & non-monetary benefits distributed equitably to & through coastal communities

124 Legitimate "'Good governance' ... is founded upon the capacity & reliability of governing institutions to effectively respond to problems & achieve social unity through various forms of consultation, negotiation & multi-party agreements." 12, p19; "Rules for

resource use and access clearly defined and socially acceptable" 5, p164; The protected area's governing processes, objectives & plans are clear viable & respect the values collectively agreed upon· Consistency between values & practice

125 Inquiring / reflexive Organization constantly reflects, seeks feedback & provides feedback; Governing bodies support improved use of collaborative learning in policy & decision-making, conflict resolution etc.

126 Adequate institutional capacity Institutions have the influence & capacity to carry out their roles & responsibilities; Institutional capacity to contribute to policy formulation, plan review & implementation; "The Environmental Sustain ability Index (ESI) measures the capacity of

(I) nations or their sub-divisions to sustainably manage their natural environment over the next several decades" I, p152; There u a c:: are 'nested institutions' capable of responding to local interests/concerns & assuring conservation outcomes; Building ro ·u institutional capacity at various levels E (I) ~ 127 Stakeholder capacity Broad participation is built on capacities to participate constructively; Resource user capacity built to participate in co-> ro

management; Stakeholders possess an adequate knowledge regarding what is at stake in decision-making, who is responsible 0 U 0 for what, & how responsibilities can be made accountable; Participatory governance builds on the knowledge & comparative

advantages (skills, resources, relationships, communication networks) of all actors; Community organizing & participation strengthened/enhanced· Local capacity to use resources sustainably

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AppendixB

Detailed Temporal Display of Effectiveness Concepts

A-I8

4

4

IMMEDIATE OUTCOMES INTERMEDIATE OUTCOMES ULTIMATE OUTCOMES

Evaluates progress

12. Learns & adapts Responds to changing

circumstances Innovates

6. Occurs through a legitimate governance process Occurs through representative

decision-making

Is transparent & accountable Resolves conflicts

•

• Is equitable

8. Has public, political & financial support ~ Builds social capital Has adequate & Is championed by Maintains cultural connections

appropriate funding skillful leaders

Facilitates a shared vision Designs formal institutions that are

compatible with informal ones

7. Is facilitated by functional,

Has adequate institutional

capacity

Improves human health & food security

Alleviates poverty

integrated institutional arrangement Raises

Enhances sustainable tourism

5. Enhances human health & well-being

Has institutions with clear authorities &

coordinating mechanisms

Is participatory

Has integrated laws/policies

awareness

Is efficient

10. Is competently implemented

Is administered smoothly

Has official & voluntary rule enforcement

Fosters changes to sustainable behavior

Has a management plan 11. Changes behavior &

reduces threats

Enhances sustainable harvesting

4. Enhances sustainable resource use & generates income

Restores water quality

Enhances reproduction & recruitment

2. Protects ecosystem condition Focuses on

appropriate goals Eliminates stressors 3. Supports ecological resilience Adopts practical &

sufficient strategies

9. Uses well-designed strategies

Is based on adequate information

Monitors change

Manages appropriate spatial areas

Protects representative areas

Protects key species & habitats

Maintains key functions & processes

Restores herbivory

1. Conserves biodiversity

Restores habitat extent

Maintains a coral-dominated

system

A-I9

Appendix C

On-line Experts' Survey of Effectiveness Concepts

A-20

What is effective coral reef management? Vi

Introduction

Understanding It Strengthening Effective Coral Reef Management: Experts' Survey

There is an urgent need to expand the rate and scale of effective coral reef management to halt the continued decline in coral reef ecosystem condition. This survey is part of a larger PhD study that aims to contribute toward that goal by replicating an approach used in Organizational Theory. Your involvement will help develop tools that assist practitioners in learning from different approaches to managing coral reefs.

This survey relies on the judgments of carefully selected experts to better understand the construct of effectiveness in coral reef management. Rather than being a single idea, effectiveness is a construct that encompasses a range of different concepts. This survey examines the relationship between these different concepts.

I ask you to rate the similarity between pairs of concepts on a 6-point scale (extremely similar to extremely different). Please base your answers on your expert understanding of each concept. Click here to see Example Rankings or Frequently Asked Ouestions

The concepts used in this survey have been selected through a review of the coral reef management literature to represent the breadth of the effectiveness construct. In the survey, you rate the similarity of everv combination of 17 concepts; a total of 136 judgments. In the pilot of this survey, respondents took between 30 and 45 minutes.

All information you provide in this questionnaire is confidential and will only be viewed by the research team. Your information will be analyzed together with everybody else's and it will not be possible to identify you. I am hoping to survey 100 experts in coral reef management, and if you are interested, I would be very happy to send you a summary of the results, once available.

Your involvement in this survey is completely voluntary. Please do not feel as if you have to answer every question if you don't have an opinion. If you have any questions, please do not hesitate to contact me. My contact details are provided in the email you received for your future reference.

I am sincerely grateful to you for offering to complete the survey. Your responses will make a valuable contribution to our joint endeavor to sustain the worlc!'s coral reef ecosystems.

Page 1

What is effective coral reef management? Vl - --------- --------- --- -------------------

Biodiversity Conserved: Judgments 1 - 8

In your expert judgment, please rank the similarity between the following pairs of concepts. In making your judgment,

I would like you to consider: Are the criteria conceDtua/lv similar? Do the concepts reflect the same underlying idea?

I would prefer if you did am: consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinas or Frequently Asked Questions

1.A. How similar is BIODIVERSITY CONSERVED to each of the concepts below?

BIODIVERSITY CONSERVED Is defined as: Ecological communities, hi!fl.lfi!~, Sl2ecies, aad geae 1200ls are adr:.guatel'/t. rel2a1.sentr:,d and I2rotected from i!nth!!ZR.f1Jl!:t1.ir;.l!i.tmssors

Extremely Very Sim ilar Different

Very Extremely

Similar Similar Different Different

Science-based 0 0 The best available biophysical and socio-economic information is used in

0 0 0 0 decision-making

Food security enhanced 0 0 Enhanced ability to meet the food requirements of present and future

0 0 0 0 generations in quantity, quality, and affordability

Funded

An adequate commitment of financial resources has been made to achieve 0 0 0 0 0 0

desired outcomes

Coral-dominated ecosystems maintained

Anthropogenic stressors do not cause coral reef ecosystems to degrade into 0 0 0 0 0 0

algal dominated reefs

A high quality management plan 0 0 0 0 0 0 A clear and practical management plan with explicit goals and objectives is

guiding budget allocations and on-the-ground work

Salient issues addressed

Interventions are directed toward meaningful issues that will produce important 0 0 0 0 0 0

management outcomes

Coordinated

Actions are coordinated between levels of government (e.g., national, 0 0 0 0 0 0

provincial, local) and across sectors (e.g., environment, tourism,

transportation) to resolve conflicts

Resilient

The system has the ability to absorb shocks, regenerate, and reorganize in 0 0 0 0 0 0

order to maintain key functions and processes

Page 2

What is effective coral reef management? Vi ---- -- ----------- - - -- ---- ------------- - ---- - -

Biodiversity Conserved: Judgments 9 - 16


I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlying ~

I would prefer if you did!1Qt. consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


1.B. How similar is CONSERVES BIODIVERSITY to each of the concepts below?

CONSERVES BIODIVERSITY is defined as: Ecological communities, hi!!zI!a~ sp,ecies, i!ad gmlS: I1.QJl.ls are ad§!l.uate/l£ !!:Jl.r:J:.seated

i!adl1.C9.tected from i!afb.C9.lZogeai, stressors

Extremely Very Similar Different

Very Extremely


Enforced

Rules are regularly and consistently enforced 0 0 0 0 0 0

Adequate area under management

The spatial area under management is adequate to achieve the desired 0 0 0 0 0 0

outcomes

A Constituency

A broad spectrum of people and institutions actively support the management 0 0 0 0 0 0

initiative

Monitored Regularly

Data relevant to resource management is collected through time using 0 0 0 0 0 0

comparable methods so that changes can be identified

Income created

The economic status and relative wealth of coastal residences and/or resource 0 0 0 0 0 0

users is improved

Adequate human capacity

There are adequate human resources to knowledgeably and competently 0 0 0 0 0 0

achieve desired outcomes

Participatory

All stakeholders have a voice in decision-making 0 0 0 0 0 0

Responsive

Relevant changes are implemented In response to new information 0 0 0 0 0 0

Page 3

What is effective coral reef management? Vl

Science-based: Judgments 1 - 8


I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlying idea?

I would prefer if you did l1Qt consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinqs or Frequently Asked Questions

2.A. How similar is SCIENCE-BASED to each of t he concepts below?

SCIENCE-BASED Is defined as: Thr.ll.est available Il.IQll.hr.~l i!.ad soc/Q-f:S!.9.nomic information I~ l!Bd.ln f!.r.cision -making

Extremely Very Similar Different Very Extremely


Food security enhanced 0 0 0 0 0 0 Enhanced ability to meet the food requirements of present and future

generat ions in quantity, quality, and affordabi/ity

Funded


desired outcomes


Anthropogenic stressors do not cause coral reef ecosystems to degrade Into 0 0 0 0 0 0


A high quality management plan

A clear and practical management plan with explicit goals and objectives is 0 0 0 0 0 0


Salient Issues addressed

Interventions are directed toward meaningful issues that will produce important 0 0 0 0 0 0

management outcomes

Coordinated 0 0 0 0 0 0 Actions are coordinated between levels of government (e.g., national,



Resilient 0 0 0 0 0 0 The system has the ability to absorb shocks, regenerate, and reorganize in


Enforced 0 0 0 0 0 0 Rules are regularly and consistently enforced

Page 4


Science-based: Judgments 9 - 15



I would prefer if you did l1Qt. consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


2.B. How similar is SCIENCE-BASED to each of the concepts below?

SCIENCE-BASED Is defined as: The be~t available bloQhr,slcl!l I!ad soclo-~onomlc Infp.r!D.l!fiJl.a Iii. !l§.f:.d.la ded~ion-maklng


Very Extremely




outcomes

A Constituency

A broad spectrum of people and Institutions actively support the management 0 0 0 0 0 0

initiative

Monitored regularly

Data relevant to resource management is col/ected through time using 0 0 0 0 0 0


Income created


users is improved




Participatory 0 0 0 0 0 0 Af/ stakeholders have a voice in decision-making

Responsive


Page 5


Enhances Food Security: Judgments 1 - 8



I would prefer if you did!1Qt. consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankings or Frequently Asked Questions

3.A. How similar is FOOD SECURITY ENHANCED to each of the concepts below?

FOOD SECURITY ENHANCED Is defined as: Enhan9:!l, il,bilitJt. to meet ttls: food reguiremen~ IlfDres!ll!' {lJ1.d future gens:ratlons In qUil,nt/tv. guality, and affordil,bllity

Extremely Very Similar Different Very Extremely


Funded


desired outcomes

Coral-dominated ecosystems maintained 0 0 Anthropogenic stressors do not cause coral reef ecosystems to degrade Into

0 0 0 0 algal dominated reefs



Salient Issues addressed 0 0 0 0 0 0 Interventions are directed toward meaningful issues that will produce important

management outcomes




Resilient 0 0 The system has the ability to absorb shocks, regenerate, and reorganize in

0 0 0 0 order to maintain key functions and processes

Enforced 0 0 0 0 0 0 Rules are regularly and conSistently enforced

Adequate area under management 0 0 0 0 0 0 The spatial area under management Is adequate to achieve the desired

outcomes

Page 6


Enhances Food Security: Judgments 9 - 14



I would prefer if you did not consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example RankinQs or Frequently Asked Questions

3.B. How similar is FOOD SECURITY ENHANCED to each of the concepts below?

FOOD SECURITY ENHANCED is defined as: EnhancflJ!. all.lli!J!. to meet the (Qed regulrements of Dresent i!ad f.uture generatlol!s in quaatlty, quality, i!ad affordi!ll.i/ity


Very Extremely


A Constituency 0 0 0 0 0 0 A broad spectrum of people and institutions actively support the management

initiative

Monitored regularly



Income created 0 0 0 0 0 0 The economic status and relative wealth of coastal residences and/or resource

users is improved

Adequate human capacity 0 0 0 0 0 0 There are adequate human resources to knowledgeably and competently


Participatory 0 0 0 0 0 0 All stakeholders have a voice in decision-making

Responsive 0 0 Relevant changes are implemented in response to new information

0 0 0 0

Page 7


Funded: Judgments 1 - 8


I would like you to consider: Are the criteria conceptualLy similar? Do the concepts reflect the same underlying idea?



4.A. How similar is FUNDED to each of the concepts below?

FUNDED is defined as: An adeguate commitment offlnanclal resources has been made to achieve des/red outcomes


Very Extremely



Anthropogenic stressors do not cause coral reef ecosystems to degrade into 0 0 0 0 0 0




Salient Issues addressed 0 0 0 0 0 0 Interventions are directed toward meaningful issues that will produce important

management outcomes




Resilient




Adequate area under management 0 0 0 0 0 0 The spatial area under management is adequate to achieve the desired

outcomes


initiative

Page 8


Funded: Judgments 9 - 13



I would prefer if you did!1Qt consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinqs or Frequently Asked Quest ions

4.B. How similar is FUNDED to each of the concepts below?

FUNDED Is defined as: An l!ttllWlbl ,ommitment offinln,lfl.l a:fi9,ucs.es has !1.een made to I!,llitl!e r!.esired out comes


Very Extremely


Monitored regularly 0 0 0 0 0 0 Data relevant to resource management is collected through time using


Income created

The economic status and rela tive wealth of coastal residences and/or resource 0 0 0 0 0 0

users is improved





Responsive


Page 9


Coral Dominated: Judgments 1 - 8


I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlying Idea?

I would prefer if you did l1Qt consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


S.A. How similar is CORAL-DOMINATED ECOSYSTEMS MAINTAINED to each of the

concepts below?

CORAL-DOMINATED ECOSYSTEMS MAINTAINED Is defined as: Anthropogenic stressot'S do not cause cora/reefecosvstems to degrade into algal dominated reefs


Very Extremely




Salient issues addressed 0 0 0 0 0 0 Interventions are directed toward meaningful issues that will produce important

management outcomes




Resilient





outcomes


initiative

Monitored regularly



Page 10


Coral Dominated: Judgments 9 - 12


I would like you to consider: Are the criteria conceptually simUar? Do the concepts reflect the same underlYing idea?

I would prefer if you did am: consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinqs or Frequently Asked Questi ons

S.B. How similar is CORAL-DOMINATED ECOSYSTEMS MAINTAINED to each of the concepts below?

CORAL-DOMINATED ECOSYSTEMS MAINTAINED 15 defined as: Anthropogenic stressocs do not cause coral reef ecosystems to degrade Into algal dominated reefs


Very Extremely



users is improved


achIeve desired outcomes


Responsive

Relevant changes are implemented in response to new information 0 0 0 0 0 0

Page 11


Management Plan: Judgments 1 - 8


I would like you to consider: Are the criteria conceptuaLly similar? Do the concepts reflect the same underlYing ~

I would prefer if you did llQ1 consIder: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


6.A. How similar is A HIGH QUALITY MANAGEMENT PLAN to each of the concepts below?

A HIGH QUALITY MANAGEMENT PLAN is defined as: ~ s;/§§.r:. i!D.sil2t:lr;t.ig,l milD.ilgSlmSlnt I2lilD. !!!!ltl.! f:1!I2ligt IiIQl/i and Q!zu:glu.alli IiIl!.ldlng budget allQldl.tlQD.1i i!D.d on-th§:.g!9.und work


Very Extremely


Salient Issues addressed 0 0 Interventions are directed toward meaningful issues that will produce important

0 0 0 0 management outcomes




Resilient





outcomes

A Constituency


initiative

Monitored regularly



Income created

The economic status and rela tive wealth of coastal residences and/or resource 0 0 0 0 0 0

users is improved

Page 12


Management Plan: Judgments 9 - 11



I would prefer if you did ClQt. consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Examole Rankinqs or Frequently Asked Questions

6.B. How similar is A HIGH QUALITY MANAGEMENT PLAN to each of the concepts below?

A HIGH QUALITY MANAGEMENT PLAN is defined as: A clear and practical management plan with expljcit gQals and obtectjves Is guiding budget allocations and on-the-ground worlc


Very Extremely






Responsive


Page 13


Salient Issues: Judgments 1 - 8


I would like you to consider: Are the criteria conceptuallv Similar? Do the concepts reflect the same underlYing 10m



7.A. How similar is SALIENT ISSUES ADDRESSED to each of the concepts below?

SALIENT ISSUES ADDRESSED Is defined as: IntenrentlQnll. if!! directed toward meaningful issues that will (!.roduce Im(!.ortant management outcomes


Very Extremely


Coordinated 0 0 0 0 0 0 Actions are coordinated between levels of government (e .g., national,



Resilient






outcomes

A Constituency 0 0 A broad spectrum of people and Institutions actively support the management

0 0 0 0 initiative

Monitored regularly 0 0 0 0 0 0 Pata relevant to resource management is co1lected through time using


Income created


users is Improved



Page 14


Salient Issues: Judgments 9 - 10



I would prefer if you did llQ1: consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


7.B. How similar is SALIENT ISSUES ADDRESSED to each of the concepts below?

SALIENT ISSUES ADDRESSED is defined as: Interventions are directed toward meaningful jssues that will produce Important management outcomes

Extremely Very Sim ilar Different

Very Extremely


Participatory


Responsive


Page 15


Coordinated: Judgments 1 - 9


I would like you to consider: Are the criteria conceptuallv similar? Do the concepts reflect the same underlYing idea?


Thank you very much for completing the survey! Click here to see Example Rankinqs or Frequently Asked Quest ions

8. How similar is COORDINATED to each of the concepts below?

COORDINATED Is defined as: Ar;!ions all! coordinil.b:.s!. ~!tween le'!!:.ls of govem meat (!.Q., national, llCR.'l.iacla/, locall aas!. il.crou.

sSQa(e.Q., eavlmnmenr;. tourlBD., tCil.asl19.rtationl tQ a:6.olve confl/~

Extremely Very Similar

Very Extremely Different


Resilient



Enforced

Rules are regularly and consistently enforced 0 0 0 0 0 0



outcomes

A Constituency


initiative

Monitored regularly



Income created 0 0 The economic status and rela tive wealth of coastal residences and/or resource

0 0 0 0 users is improved





Responsive


Page 16


Resilient: Judgments 1 - 8


I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlYing idea?

I would prefer if you did!lQ! consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


9. How similar is RESILIENT to each of the concepts below?

RESILIENT is defined as: Thf:. ~l!Itf:.m b.as the abllifJt. to ab§Sl.c.b shocks, !J:.generate, and reoCSl,anlzf:.ln ordr:.r to maintain kelt. functions and processes


Very Extremely


Enforced 0 0 Rules are regularly and consistently enforced

0 0 0 0 Adequate area under management 0 0 0 0 0 0 The spatial area under management is adequate to achieve the desired

outcomes


initiative

Monitored regularly




users is improved

Adequate human capacity 0 0 There are adequate human resources to knowledgeably and competently

0 0 0 0 achieve desired outcomes


Responsive


Page 17


Enforced: Judgments 1 - 7



I would prefer if you did lli2.t consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


10. How similar is ENFORCED to each of the concepts below?

ENFORCED is defined as: Bl!.lu illlllllQu/arl'L. and coalill!f£at/'L. eafJ1.t:S.ed


Very Extremely




outcomes

A Constituency


initiative

Monitored regularly 0 0 Pata relevant to resource management is collected through time using

0 0 0 0 comparable methods so that changes can be identified

Income created 0 0 The economic status and relative wealth of coastal reSidences and/or resource





Participatory

All stakeholders have a voice In decision-making 0 0 0 0 0 0

Responsive 0 0 0 0 0 0 Relevant changes are implemented in response to new information

Page 18


Area Under Management: Judgments 1 - 6



I would prefer if you did ~ consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


11. How similar is ADEQUATE AREA UNDER MANAGEMENT to each of the concepts below?

ADEQUATE AREA UNDER MANAGEMENT Is defined as: The spatial area under manaaement is adequate to achleye the desired outcomes


Very Extremely



initiative

Monitored regularly 0 0 0 0 0 0 Data relevant to resource management is collected through time using



users is improved



achieve deSired outcomes

Participatory


Responsive 0 0 0 0 0 0 Relevant changes are implemented in response to new Information

Page 19


Constituency: Judgments 1 - 5


I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlying isJ.1:21.

I would prefer if you did!J.Q1 consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinas or Freguently Asked Questions

12. How similar is A CONSTITUENCY to each of the concepts below?

A CONSTITUENCY Is defined as: A broad slZectrum of Qeop.le anf!.ln~titJJ.tlons active/r. sUQQO!! r.h~ milQiI!l!;ment initiativ~


Very Extremely


Monitored regularly




users is improved



Participatory



Page 20


Monitoring: Judgments 1 - 4



I would prefer if you did llQt. consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinos or Frequently Asked Questions

13. How similar is MONITORED REGULARLY to each of the concepts below?

MONITORED REGULARLY Is defined as: Data relevant to resource management is collected through time using comparable methods so that changes can be Identified


Very Extremely


Income created 0 0 The economic status and relative wealth of coastal residences and/or resource




Participatory 0 0 All stakeholders have a voice in decision-making

0 0 0 0 Responsive 0 0 Relevant changes are implemented in response to new information

0 0 0 0

Page 21


Creates Income: Judgments 1 - 3


I would like you to consider: Are the criteria conceptually sImilar? Do the concepts reflect the same underlying idea?

I would prefer if you dId not consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?


14. How similar is INCOME CREATED to each of the concepts below?

INCOME CREATED Is defined as: The economic status and relative wealth of coastal residences and/or resource users is Improved


Very Extremely




Participatory 0 0 0 0 0 0 Ali stakeholders have a voice in decision-making

Responsive 0 0 0 0 0 0 Relevant changes are implemented In response to new information

Page 22


Human Capacity: Judgments 1 - 2

In your expert judgment, please rank the similarity between t he following pairs of concepts. In making your judgment,

I would like you to consider: Are the criteria conceptually similar? Do the concepts reflect the same underlYing idea?


Thank you very much for completing the survey! Click here to see Example Rankings or Frequently Asked Questions

15. How similar is ADEQUATE HUMAN CAPACITY to each of the concepts below?

ADEQUATE HUMAN CAPACITY Is defined as: There are adeguate human resources to knowledgeably and competently achieve desired outcomes


Very Extremely


Participatory



Page 23


Participatory: Judgment 1


I would like you to consider: Are the criteria conceptually simj/ar? Do the concepts reflect the same underlying idea?

I would prefer if you did!1Q! consider: What are the causal relationships between the concepts? How important is a concept to the idea of effective management?

Thank you very much for completing the survey! Click here to see Example Rankinqs or Frequently Asked Questi ons

16. How similar is PARTICIPATORY to each of t he concepts below?

PARTICIPATORY Is defined as: All stakeholders have a voice In decision-making

Extremely

Similar

Responsive

Relevant changes are implemented in response to new information o

Very Similar Different Very Extremely Similar Different Different

o 0 o o o

Page 24


About You

Please take one more minute to answer'; questions about yourself and to Indicate if you would like to receive the survey results.

1. Which description ~ describes your current role: I am a coral reef manager working at a field site

I work for the government on policy, funding, and scientific support for coral reef management

I work at an academic or research institution providing technical support to coral reef managers

I work for a non-governmental organization providing technical and financial support for coral reef management

I work for a donor providing financial and other support for coral reef management

Other (please specify)

2. Which ~ describes the training you have completed at a university-level? Planning, Geography, or Multi-disciplinary

Mainly Natural Sciences (e.g ., Ecology, Geology, Oceanography)

Mainly Social Sciences (e.g., Sociology, Anthropology, Psychology)

Mainly Economics or Business

Mainly Engineering

Mainly Arts & Humanities

Mainly Education

Not Applicable

Other (please specify)

3. How many years have you worked in coral reef management?

~ Less than 2

2 - 5 years

6 - 15 years

More than 16 years

4. Approximately how many years have you worked in the coral reef regions below?

Haven't worked there Less than 1 year 1 - 5 years More than 5 years

Australia 0 0 0 0 Caribbean 0 0 0 0 East Africa 0 0 0 0 East Asia 0 0 0 0 Middle East 0 0 0 0 Pacific 0 0 0 0 South Asia 0 0 0 0 5. What is your gender?

o Male o Female

Page 25

What is effective coral reef management? Vl 6. What is your age?

Younger than 2S

26 - 40

41 - 55

56 - 70

Older than 70

Would you like to receive an analysis of the survey results?

8 Yes

No thanks

Page 26

What is effective coral reef management? Vi - - -- - -- - - -

THANK YOU VERY MUCH!

Page 27

AppendixD

Agenda for Field Assistant Training Held in Bali, Indonesia Prior to Field Data Collection

A-48

Understanding Approaches to Coral Reef Management in Southeast Asia

Field Officer Training. 13 - 15 October, 2008

Workshop Objectives: By the end of this workshop, Field Officers should:

1. Understand how to collect good. accurate data by -a. Identifying the right people in each organization to interview b. Explaining the survey clearly and consistently before each interview c. Administering the survey consistently and efficiently

2. Have confidence in how to implement the research design and handle problems

3. Have clarity about research logistics, including -

8:30 am

9:00 am

9:30 am

10:30 am

10:45 am

11:00 am

11: 20 am

12:30 pm

1:30 pm

1:40 pm

a. The organizations being interviewed for the study and their boundaries b. Travel schedules c. Financial reporting requirements

Monday, 13 October 2008

Meet in the hotel lobby and walk to WWF Office

Welcome (Heidi)

• Introductions (all) • Training goals & schedule (Heidi)

Overview of the research • An ecologist'S view on coral reefs: what are reefs and why should

we care? Games; 10 min)

• Research goals and methods (Heidi)

Tea break

Field Officer role: what does success look like? (Heidi)

Morning re-cap (group)

Conducting the survey: Practice 1

• Retno to give the survey to Anna

• Mo to give the survey to James

Lunch

Good scientific method: what's important (Retno; 10 min)

Survey in-depth: Section 1 - Goals for coral reef management (group)

A-49

2:30 pm

2:45 pm

3:30 pm

5:00 pm

5:15 pm

7:00 pm

8:30 pm

7:30 am

9:00 am

9:10 am

10:30 am

10:45 am

11:30 am

12:30 pm

1:30 pm

1:40 pm (Anna)

Tea break

Interviewing the right people & clarifying organizational boundaries: essential requirement for good data (Heidi)

Survey in-depth: Section 2.1 - Strategies for reducing threats to reefs

Afternoon re-cap (group)

Heidi and Mo meet to review:

• Organizations & their boundaries

• Schedule • Financial logistics

Others on own until dinner

Group dinner

Survey practice 2 (at hotel)

• James to give the survey to Retno

• Anna to give the survey to Mo

Tuesday, 14 October 2008

Heidi and Retno meet to review:



Others to meet at WWF for 9am start

Monday re-cap (group)

Survey in-depth: Section 2.2 & 2.3 - More strategies

Tea break

Introducing the survey: 3 key messages (Heidi)

Survey practice 3

• Mo to give the survey to Anna

• Retno to give the survey to James

Lunch

Morning re-cap (all)

What to do when things go wrong: responding to common problems

A-50

2:15 pm Survey in-depth: Sections 2.4 & 2.5 - Last strategies

4:15 pm Afternoon re-cap (all)

4:30 am Heidi and James meet to review:



Others on own until dinner

7:00 pm Group dinner

8:30 pm Survey in-depth: Section 3 - Organizational Context

Wednesday, 15 October 2008

7:30 am Heidi and Anna meet to review:



Others to meet at WWF for 9am start

9:00 am Tuesday Re-cap (group)

9:10 am Survey in-depth: Sections 4, 5, & Contact details

10:15 am Ending the survey: thank yous and follow-up (Heidi)

10:30 am Tea break

10:45 am Survey practice 4: Practicing with difficult respondents

• James to give the survey to Anna (difficult respondent)

• Retno to give the survey to Mo (difficult respondent)

12:00 pm Final survey de-brief (all)

12:30 pm Lunch

1:30 pm Opportunistic EXTRAs

• Finding and telling interesting stories: experience from the field (Mo; 10 min)

• Qualitative notes (Anna)

• Photo contest (Heidi)

• Project documents (Heidi)

2:15 pm Tea break

A-51

2:30 pm Reporting REQUIREMENTS • Submitting data: format and frequency (Heidi) • Financial reporting (Heidi)

3:15 pm Review & Wrap-up

4:30 pm Farewells

A-52

Documents

Schuttenberg, Heidi Zabriskie (2010) Understanding and ... · PhD thesis, James Cook ... (does not include projects that promote the use of ... 11 , p65; "Multi-year CRM plan prepared