MPA Governance and Management and MEAT PHILIPPINES 2 University phase 1 3 October 2012.

MPA Governance and Management and MEAT

PHILIPPINES 2 University phase 1 3 October 2012

Session mapTopics Time (m)Part 1: MPA Governance and Management

Session 1: MPA Governance and Management Systems

18 slides

Session 2: MPA Governance and Management Strategies

21 slides

Session 3: Mechanisms for Strengthening TWGs and MCs

27 slides

Part 2: MEAT as an assessment and planning tool

Session 4: MEAT as an assessment tool 23 slidesSession 5: Using MEAT as organizational learning tool and MEAT baseline results

34 slides

Insight

UICI

CCUC

Unconsciously Incompetent – I am not aware that I do not know

Consciously Incompetent – I am aware that I do not know

Consciously Competent – I am aware that I know

Unconsciously Competent – I am not aware that I know - I just can do it!

CCTacit knowledge – not transferrable

Explicit knowledge – transferrable

Insight

“You have to believe in yourself”Sun Tzu, The Art of War

If you do not believe in what you do then do not expect others to trust you. Everything begins with you, first you believe in yourself, take responsibility for yourself and then you can start taking responsibility for others as a designer.

PART 1MPA GOVERNANCE AND

MANAGEMENT

900 to 1200

GOVERNANCE AND MANAGEMENT SYSTEMS 900 - 945

Session 1

Session 1 learning objectives

At the end of the session, CFs will:1. Gain a better understanding of resource

governance or environmental governance2. Appreciate the nature of managing common

pool resources such as those found in MPAs3. Learn the typology of MPA governance systems4. Understand the meaning of “institutions”5. Differentiate between governance and

management

What “kind” of resources are found in MPAs?

Common pool resources (public good)

1. Non-excludable – individuals cannot be effectively excluded from use (open access)

2. Essentially rivalrous (subtractable) – use by one individual prevents use by others

3. Because subtractable, therefore vulnerable to “congestion” or overuse (tragedy of the commons)

4. Could have formal or informal arrangements for resource access (common property regimes or governance)

Governance

Governance deals with the processes and systems by which a society makes decisions regarding its key policy issues and objectives.(Neo and Chen 2007, National University of Singapore)

Key policy issues – for us this is about management of marine resources (fish, coral reefs, mangroves, seagrass, etc.)Objective is conservation and protection of core livelihood

Governance

Governance is the relationship between governments and citizens that enable public policies and programs to be formulated, implemented and evaluated.(Neo and Chen 2007, National University of Singapore)

Policy: Declare a portion of municipal waters as No Take ZoneProgram: MPA operations

Governance

Governance is the process of facilitating the unity of the will of the people.

Will of the people: Declare a portion of municipal waters as No Take Zone

Resource governance

“…refers to the formal and informal arrangements, institutions and mores that

determine how resources or an environment are utilized; how problems and opportunities are analyzed; what behaviour is deemed acceptable or forbidden; and what rules and sanctions are applied

to affect the pattern of resource and environmental use.”

Juda 1999 in Christie and White 2007

Typology of MPA governance systemsMPA governance system

Basic features

Traditional Based on informal social norms passed through generations (no ordinance, no plans, no documentation but has worked for generations)

Community-based management

Led by civil society groups where formal higher level institutions are weak (with ordinances, plans, documentation)

Co-management Involved resource users and formal policy-makers in a process of joint decision-making; frequently the outcome of a community-based process that has matured. Led by government.

Centralized Government-led , prevalent in areas with strong government bureaucracies

Private Led by the private sector – Chumbe Island, Tanzania (Chumber Island Coral Park Ltd) or CHICOP)

Adapted from Christie and White 2007

Institutions

Institutions refer both to the social rules and legal framework within which activities take place in society, and the organizations set up to coordinate the activities or enforce the rules.Institutions are the rules of the game in a society, the humanly devised constraints that structure incentives in human exchange and shape human interaction.(Neo and Chen 2007, National University of Singapore)

Institutions need to be created because the market cannot be left on its own to organize the affairs of society. In MPA governance, absence of institutions means an “open access” system that results in the tragedy of the commons.

Institutions

What are the institutions in MPA governance and management?

Legal framework = Municipal ordinanceSocial rules = Municipal ordinance and MPA management planOrganization = MPA management bodyOperational routines = annual planning, annual financial management reports, 24/7 patrolling, annual local reef monitoring

What is management?

Management is the process by which human (knowledge and skills) and material resources (equipment, funds, etc.) are harnessed to achieve a known goal within a known institutional structure.

In other words, in the public sector, it is the process involved in enforcing the will of the people.

What is management?Functions Explanation1. Planning Core function. Involves assessing where organization is at

present, where it wants to be and how to get there. Strategic planning entails the assessment of internal and external factors that affect the organization.

2. Organizing (includes staffing)

Determination of internal organizational structure and relationships and allocation of resources.

3. Directing Influencing and overseeing the behaviour of the members of the organization in order to achieve its goal. Involves effective communication, building positive relationships and problem-solving

4. Controlling Establishing performance standards based on the organization’s objectives and reporting and evaluating actual performance.

Management of learningHave we:1. Gained a better understanding of resource

governance or environmental governance?2. Appreciated the nature of managing common

pool resources such as those found in MPAs?3. Learned the typology of MPA governance

systems?4. Understood the meaning of “institutions?”5. Understood the difference between governance

and management?

GOVERNANCE AND MANAGEMENT STRATEGIES

Session 2


At the end of the session, CFs will:1. Gain a better understanding of the term

“strategy.”2. Learn the difference between a strategy and

an activity3. Understand how the MEAT can be used as a

strategy formulation tool4. Learn how to analyze reasons for performance

gaps and assess whether strategies will work or not.

Insight

“Victorious warriors win first and then go to war, defeated warriors go to war first and then seek to win”

Sun Tzu, The Art of War

In other words, do your research well before acting, that is how you win.

Insight

“Strategy without tactics is the slowest route to victory. Tactics without strategy is the noise before defeat.”

Sun Tzu, The Art of War

You need to know your strategy before you act. A strategy sets out your vision and goals. Strategy is the foundation in which the tactics are born. It is after you have set out a strategy that the “how tos” will become clear.

Strategy for MPA governance and management

Baseline-diagnostics

-strategy formulation

Organizational learning Endline

Strategy or activities?

Example: baseline “enforcement” MEAT scores

Enforcement

Total allowable points

Score July 2012

1.4.5 MPA boundaries delineated 1 0

1.4.6 MPA enforcers identified 1 1

2.1.1 Enforcement plan or its equivalent is in place 1 0

2.1.2 Marine enforcement group is trained 1 1

2.1.3 Patrolling and surveillance conducted regularly 3 0

2.1.4 Violations documented 3 0

2.1.5 Cases filed or violators penalized 3 3

3.1.4 Enforcement system fully operation in the last 5 consecutive years

3 0

3.1.10 Violators prosecuted and sanctioned 3 3

4.1.8 Management body can adjudicate certain cases 1 0

Totals 20 8

Why?

Example: baseline overall MEAT percentage scores per management focus area

Management plan

Management body

Legal instrument and support

Financing

IECCommunity participation

Enforcement

Monitoring and evaluation

Site development

0.0%

50.0%

100.0%

20122014

Fisher to population ratio: 0.16%MPA budget to LGU gross revenue ratio: 0.12%

Why?

Strategy

ActivityTraining of

bantay dagats

Implicit assumption

Expected result

MPA resources conserved

Adapted from Foundations of Success 2007

?

StrategyStrategies make your assumptions explicit about how change will be achieved Example falls under the “Enforcement” MEAT management focus area

Expected result

MPA resources conserved

Adapted from Foundations of Success 2007

Training of bantay dagats

Educate legislators and executive on

importance of incentives

Improved knowledge,

skill and attitude in

MPA patrolling

24/7 guarding initiated and

document with spot checks

Intruders deterred and

caught

Legislators/executive see importance of

incentives

MPA plan includes

provision for incentives

Bantay dagats become more enthusiastic in

patrolling

Strategies1. Institutionalize an incentive system for MPA patrolling within the LGU (assumption: spending for

MPA is less than 0.2% of LGU total revenue)2. Embed 24/7 patrolling by enhancing intangible resources (knowledge, skills and attitudes) through

training of local fishes (including women) in patrolling (assumption: there are only 5 bantay dagats who are all volunteers)

Activity Output Outcome

2 years

Logic model

External to MPA mgt body

Internal to MPA mgt body

OutputsChanges in knowledge and skills

ImpactChanges in livesChanges in the health of environment

OutcomesChanges in behavior and practices

InputsVolunteersFinancialEtc

ActivitiesGuardingResource assessmentsEtc

InputsKnowledgeFinancialTechnicalTime

ActivitiesTrainingResource assessmentsPublic educationEnforcement activitiesCoachingEtc.

OutputsProducts/services produced by activitiesChanges in knowledge, skills and attitudes

OutcomesIntermediate effects of outputsChanges in behavior and practices

ImpactChanges in livesChanges in the health of environment

Realm of:Can doEfficiencyMore control

Realm of:Will doEffectivenessLess control

Leve

l of d

etai

l/sc

ope

Broad

Fine

Weeks Months Quarter 2 yearsYear

StrategicCDP/PDPFPVisionMPA Management PlanMPA Governance and Management Plan

TacticalAIPMPA Annual plans

OperationalAction plans Activities

Strategy

Time

What is a strategy?

A course of action for achieving organizational objectives and accomplishing organizational goals.

Organizational objectives = see MEAT results per management focus areaOrganizational goals = at impact and outcome levels (see logic model)

Type of MPA governance system in Philippines 2

Community-basedBut mostly, co-management

Governance and management strategies for these types of MPA governance systems use formal public sector governance and management systems such as the MEAT framework.

How to assess if a strategy will work

Do you have champions (with influence and commitment)

on your side?

Have youconsidered

informal context?

Have you instituted organizational

Learning?

Have you mastered the processes

that would lead to better Results?

BETTER RESULTS

Adapted from Kuzek, JZ (IPDET) 2012

Stakeholder analysisPower interest

Things that ‘cost’ more time during implementation

Stakeholder analysis

Power

Interest

High

Low

Low High

Monitor(minimum effort)

Keep informed

Keep satisfied “Manage” closely

SB chair of agri - R

SB chair of tourism - AR

Brgy capt - R

Fishers org - R

Resort owners - AR

Some fishers org - AR

R = Reformer AR = Anti-reformhttp://www.mindtools.com/pages/article/newPPM_07.htm

http://www.mindtools.com/pages/article/newPPM_07.htm

The power of what we do not seeRational forcesWhat is visible

Vision, mission, goals, valuesStrategic plan, annual plans, budgetsJob descriptionsOperating policies

What is not immediately seenPatron-client networksOrganizational culture (Theory X or Theory Y?)Power dynamicsEmotions. feelingsInter-personal relations

Irrational forces

Process mapsActors Routine process: 24/7 patrolling

Input documentLGU Finance

Chair of Enforcement committeeMAO staff

Bantay dagats

PNP

MC

TWG

Output doc

PrepareAnnual enforcement Plan and budget

Planning template

Annual enforcement

plan

Agree patrolling schedule and assignments

Actual guarding-docu in duty and observation logbooks

Payment of honoraria

Spot checks

Patrolling schedule

Monthly meetings of BDs

Duty and observation

logbook

Spot check reports

Vouchers, minutes

Regular MC meeting

Vouchers, minutes

Logbooks

Checklist for analyzing breaks in the results chain or analyzing reasons for performance gaps

Components Questions

Intangible resources

Do we have the knowledge to produce the desired result?Do we have the skill to produce the desired result?

Tangible resources

Do we have the equipment to carry out the activities?Do we have the operational funds to carry out the activities?

Policy Do we have the mandate the carry out the activity?

Organizational culture

Is the activity consistent with our organizational culture?

Power balance

Is there broad support for the activity and the desired result?

Others Are lines of accountability clear?Have we tried achieving this desired result before? What lessons did we learn?

Strategies: MEAT management focus areasManagement focus

Baseline score and analysis

Target score Strategies Activities

Management planManagement bodyLegal instrument and supportCommunity participationFinancing

IEC

Enforcement

Monitoring and evaluationSite development

Exercise

Review your MEAT baseline resultsSelect one MEAT management focus area with a performance gapIdentify the factors that explain the performance gap (this is preliminary formulation only, this is not your final output)

Management of learning

Have we:1. Gained a better understanding of the term

“strategy?”2. Learned the difference between a strategy and

an activity?3. Understood how the MEAT can be used as a

strategy formulation tool4. Learned how to analyze reasons for

performance gaps and assess whether strategies will work or not?

MECHANISMS TO STRENGTHEN TWGS AND MCS

Session 3

Session 3 learning objectivesAt the end of the session, CFs will:1. Better understand the term “organization”2. Gain a better understanding of an MPA

management body as an organization within the LGU structure and its constituents.

3. Learn the key principles in structuring and strengthening TWGs and MCs

4. Be aware of the ideal MPA TWG and MC structure, composition and functions

5. Gain a better understanding of how MEAT can be used as an OD tool to strengthen TWGs and MCs

Mechanism

A method or process for getting something done within a system or organization

MacMillanDictionary

MEAT as OD tool

The mechanism that we will employ in strengthening TWGs and MCs is organizational development using the MEAT as a tool for

Diagnosing level of management effectivenessSetting target end statesFormulating strategies and activitiesPerformance monitoring Organizational learning

But first, why TWGs and MCs?An MPA management body is a complex organization, but in essence it is still an organization.

The Technical Working Group (TWG) and the Management Committee (MC) represent the separation of the governance and management functions within an MPA management body….

….within a CB-based and co-management MPA governance systems

Organization definedDefinition of an Organization:A social unit of people systematically structured and managed to meet a need or to pursue collective goals on a continuing basis.

Source: business dictionary

Elements of an organizationBasic elements of an Organization:1. Collective goals2. People – members and management staff3. Management structure – mandate, relationships among units and

functions4. System of operating – organizational policies, organizational practices5. Resources for operations

The MPA management body

In a co-management governance system, the MPA management body is an organization whose “members” are the entire community in the municipality and whose “leaders” are elected politicians.

And the “managers” are working within the local government. They hire workers to carry out routine functions, mobilize volunteers or sometimes delegate specific tasks to members of the local community.

MPA Management Body in LGU structure

Mun/City Council (SB)

Office of the Mayor

Department Heads

Mun/City Devt Council

Barangay Council

Barangay Captain

MFARMC

BFARMC

Barangay committees

Policy-making Group)

Management Committee (MC(Implementing Unit) – agri, MPDC,Budget, Tresasurer, Civil Society

With execom?)

MPA Coordinator

MPA Resource Monitoring TeamMPA Enforcement TeamMPA Infra Maintenance TeamMPA Public Education TeamMPA management body

LGU structure

POs

B Tanods

Agri/Fish MPDC PNP

MPA Resource Monitoring TeamMPA Infra Maintenance TeamMPA Public Education Team

NGOs

MENRO Budget Treas

Organizational strengthening framework

Capacity Performance Impact

Elem

ents

Organizational structure, roles and responsibilitiesKnowledge and skillsTools and resourcesStrategic policy and plansPractices (routine)

Effectiveness (no intrusions)Efficiency (cost and time)

Sustainable fish catchBetter health status of the marine environmentCoral reef healthSpecies richnessSpecies diversity

Area

s

MEAT MERF

Ideal MPA management body

Capacity area MEAT management focus areaOrganizational structure, roles and responsibilities

Management body

Knowledge and skills (Intangible resources)

All management focus areas

Tools and resources (Tangible resources)

FinancingSite development

Strategic policy and plans Legal instrument and supportManagement plan

Practices (routines) – process maps

All management focus areas

3Rs modelCapacity area MEAT management focus area

Routines (processes)

Management planEnforcementMonitoring and evaluationIECLegal instrument and support

Resources(tangible and intangible)

Management bodyFinancingSite developmentK/S elements of all management focus areas

Resilience(dynamo)

BehaviourStrategies

Ideal MPA management bodyManagement focus Ideal characteristics (MEAT indicators – see next slides)

Management plan

Management body

Legal instrument and supportCommunity participationFinancing

IEC

Enforcement

Monitoring and evaluationSite development

The assumption is that if you get a perfect score in all the MEAT management focus areas, your MPA management body will perform well and achieve the desired impact.

However, the MEAT does not include all the characteristics of an ideal MPA management body in a co-management governance system. Perhaps because it came from the community-based MPA governance tradition.

So there is a need to include these other characteristics.

Key principles1. Separate policy making group and policy execution group

Checks and balances (public interest in mind) Efficiency

2. Ensure management structure at both municipal/city levels and barangay level.

3. With clear legal mandate (Executive Order or Ordinance)4. Identify lead person. Do not hide under the rug of the

collective.5. Master government administrative processes.6. Establish succession planning system.7. Establish incentive system, including those for volunteers

(not necessarily monetary).

Policy making group

1. Needs to involve as many sectors as possible as policy needs to reflect the “will of the people” including representatives from the barangay level

2. Does not need to meet regularly once policy has been defined (in the form of a strategic plan or ordinance).

3. Needs to meet when the policy needs to be reviewed and amended.

Policy execution group at the municipal/city levels

1. Ideally, needs to be led by a key person from the Agriculture unit

2. Needs to coordinate with other departments in terms of budget preparation, expenditure monitoring, etc.

3. Needs to meet frequently (weekly, monthly) to monitor progress and quickly address implementation issues – oversight function

Policy execution group at the barangay level

1. Ideally needs to be led by barangay officials who are paid by the government

2. Unpaid volunteers can be mobilized but their involvement needs to be carefully defined.

3. Can be divided into working committees4. Committees need to meet even more

frequently (weekly) to monitor progress and quickly address implementation issues especially those related to 24/7 patrolling

Ideal MPA management structure TWG composition

Technical working group (sometimes called MPA Management Board)Representative of the legislative council (Chair of Agriculture and Fisheries Committee)Representative of the Office of the Local Chief Executive (LCE), but not necessarily the LCERepresentative of the MFARMCRepresentative of the Agricultural OfficeRepresentative of the Planning OfficeRepresentative of the Budget and Treasurer’s OfficeRepresentative of the Municipal/City Development CouncilRepresentatives of the BLGU where the MPAs are locatedRepresentative of the NGOs working on CRM issuesRepresentative of fishers’ organizations in the areaRepresentative of other sectors interested in MPA (schools, elders, religious, civic organizations, private sector)Representatives of provincial and national agencies

Ideal MPA management structureTWG functions

Roles and responsibilities (routine functions)Formulates and signs off for endorsement to the SB the MPA Management Plan (every five years)Reviews and updates the MPA ordinance for endorsement to the SB (as needed)Reviews MPA management implementation performance and feeds lesson learned into the next annual MPA plan (every end of the budget cycle)Finalizes and signs off the MPA annual plan and budget (every year before the end of the budget submission in October)

Meets at most four (4) times in a year.

Ideal MPA management structureMC at municipal level composition

Management Committee (MC) at LGU levelRepresentative of the Office of the Local Chief Executive (LCE)Office of the Municipal AgriculturistOffice of the Planning and DevelopmentBudget Office/Treasurer’s OfficeInternal Audit UnitPNPBarangay GovernmentPeople’s Organization

Ideal MPA management structureMC at municipal level functions

Management Committee (MC) at LGU level functionsPrepare and sign off the MPA annual plan and budget based on the MPA long-term management planProvide overall supervision (including support to legal aspects if necessary) and oversight to the village-level patrolling and enforcement operationsProvide overall supervision and oversight to the village-level biophysical monitoring activitiesSupervise the public education activitiesSupervise the use and maintenance of all MPA infrastructure and equipmentMonitor progress of the implementation of the MPA annual plan and corresponding financial expendituresManage and document learning generated from implementation and feed these into the next cycle of planning and implementationCoordinate with other LGU units regarding MPA management and with various sectors interested to be involved in MPA management

Ideal MPA management structureMC at village level composition

Management Committee (MC) at Village levelBarangay Government (Committee on MPA)People’s OrganizationCommunity volunteers

Subcommittee on EnforcementSubcommittee on Resource MonitoringSubcommittee on Public Education

Ideal MPA management structureMC at village level functions

Management Committee (MC) at Village level functionsEntire barangay level MCImplement the MPA annual management planDirectly monitor progress of plan implementation and provide progress report to the Municipal level MPA MCSupervise the activities of the subcommittees

Subcommittee on EnforcementImplement the MPA patrolling and enforcement plan

Prepare scheduling system for patrollersRegularly check integrity of duty and observation logbook systemProvide regular reports to municipal level MC regarding progress of

implementation of enforcement planProvide required support in cases of apprehensionsEnsure that all fish wardens are properly trained


Management Committee (MC) at Village levelImplement MPA infrastructure maintenance annual plan

Prepare a maintenance schedule for all MPA infrastructure and equipment

Keep an inventory of all MPA infrastructure and equipmentRegularly check status of MPA infrastructure and equipmentSupervise maintenance-related activitiesReport progress of implementation of maintenance plan to the village

level MC

Subcommittee on Resource MonitoringImplement the Biophysical and Socio-economic Monitoring Annual PlanEnsure that reef monitors are properly trainedSupervise the conduct of reef monitoring or fish catch surveysPrepare regular reports on the status of MPA resources and report to the village level MC


Management Committee (MC) at Village levelSubcommittee on Biophysical Monitoring (continuation)Lead the conduct of “clean up” activities if necessary

Subcommittee on Public EducationImplement the MPA Public Education annual PlanLead the conduct of public speaking engagement in schools and other public eventsLead the conduct of MPA-related campaignsPrepare education materials for the MPAMaintain the visitor and learning centre if there is one

Other subcommittees (Enterprise to manage user fees, etc.)

MPA management structureTWG/MPA Council or Board

MPA MC municipal level

MPA MC village level



Multi-sector groupMeets at most quarterlyOverall direction

Inter-department groupMeets at least monthlyCould have an executive unitOverall supervision, oversight and control

Enforcement Sub-comm

Monitoring Sub-comm

Education Sub-comm

Barangay or PO-ledMeets as often as weeklyOn-site supervision

Implementation

Management of learningHave we:1. Understood the term “organization” better?2. Gain eda better understanding of an MPA

management body as an organization within the LGU structure and its constituents.

3. Learned the key principles in structuring and strengthening TWGs and MCs

4. Known the ideal MPA TWG and MC structure, composition and functions

5. Gained a better understanding of how MEAT can be used as an OD tool to strengthen TWGs and MCs

PART 2MEAT as an assessment, planning

and performance management tool

100 to 300 pm (120 minutes)

MANAGEMENT EFFECTIVENESS ASSESSMENT TOOL (MEAT)

Session 4


At the end of the session, CFs will:1. Have a shared understanding of the MEAT as

an OD tool and its strengths and limitations2. Review the uses of the MEAT as a diagnostic,

planning and performance management tool3. Situate MEAT in the context of OD theories

and tools

THRESHOLDSBaseline assessment conductedManagement plan adoptedLegal instrument approvedManagement body formed and roles clarifiedBudget allocated for at least one year

THRESHOLDSPatrolling and surveillance conducted regularlyViolations documentedCases filed/violators penalized

THRESHOLDSFunds generated/ accessed for the last 2 yearsEnforcement system fully operationalPerformance monitoring of the management body conducted regularlyRegular participatory monitoringViolators prosecuted and sanctioned

THRESHOLDSMPA management plan incorporated in broader plansEcological and socio-economic assessment impact assessment conductedPerformance monitoring and evaluation linked to incentive systemIEC sustained over five yearsMPA financially self-sustaining

YEAR 1

Min 20 pts

YEAR 2

Min 31 pts

LEVEL 2

Strengthened

LEVEL 3

Sustained

LEVEL 1

Established

LEVEL 4

Institutionalized

YEAR 5

Min 47 pts

YEAR7

Min 63 pts

INPUT/

OUTPUTS

RESULTS/

IMPACT

MEAT as a diagnostic tool

As a planning tool

Capacity Performance Impact

Elem

ents

Organizational structure, roles and responsibilitiesKnowledge and skillsTools and resourcesStrategic policy and plansPractices (routine)

Effectiveness (no intrusions)Efficiency (cost and time)

Sustainable fish catchBetter health status of the marine environmentCoral reef healthSpecies richnessSpecies diversity

Area

s

MEAT MERF

What are the performance gaps?What are the reasons for these gaps?What can be done to address these gaps?

Diagnosis + planning + performance management = Organization Development (OD)

Definition of OD Explanation

Organizational Development is the practice of planned intervention….

OD requires a process of data gathering, diagnosis, feedback, intervention and impact assessment.

….to bring about significant improvements…..

The changes sought are an organizational level, or whole system level, with sustainable changes in culture.

…in organizational effectiveness.

The goal of OD is to enhance organizational effectiveness, ie to achieve what it was set out to do. For MPA management bodies, this is to manage MPAs effectively.

Behavior change strategies continuum

Agency theories

Structural theories

Focus on the Individual

KnowledgeSkillsAttitudeBehaviour

Focus on ”structure” – the work environment of the individual

RulesProcessesStructures

MEAT

OD theories

Agency

MEAT

Wea

knes

ses

Stre

ngth

s

Structure

Appreciate inquiry

Lewin’s 3-step theoryUnfreeze – transformation - Refreeze

Burke’s environment theory

Lewin’s action research model theoryProb id, hypothesis devt and testing, data analysis

McKinsey’s 7S model

Shared values

Structure

Systems

Style

Staff

Skills

Strategy

Hard – easy to identify and influence by the management

Soft – difficult to define and identify and less tangible, influenced by culture

Source: http://www.mindtools.com/pages/article/newSTR_91.htm

http://www.mindtools.com/pages/article/newSTR_91.htm

http://www.mindtools.com/pages/article/newSTR_91.htm

Balanced Score Card – strategic planning and management tool

Source: http://www.balancedscorecard.org/BSCResources/AbouttheBalancedScorecard/tabid/55/Default.aspx

http://www.balancedscorecard.org/BSCResources/AbouttheBalancedScorecard/tabid/55/Default.aspx





3Rs model

RoutinesRegular, repetitive, predictable activities and transactions of an organization. Eg, monthly regular meetings, annual financial reports, quarterly replacement of buoys, 24/7 patrolling

Resources Tangible assets (patrol boats, guard house, honoraria for fish wardens, funds for meetings and public education and intangible assets (knowledge, skills, expertise that enable an organization to execute its strategies

Resilience Capacity to transform (change) routines and resources for better results.

OD tools used in LGUs in the Philippines

1. LGPMS – Local Government Performance Management System (performance)

2. SCALOG – System on Competency Assessment for Local Governments

3. LRMPAT – Local Road Management Performance Assessment Tool

Ideal “management plan”Management plan Total

allowable points

1.2.1 Management plan drafted

1

1.2.2 MPA plan prepared in a consultative and participatory manner

1

1.2.4 Management plan adopted

3

3.1.1 Management plan and ordinance reviewed and updated

1

4.1.2 MPA management plan incorporated in broader development plans

3

Ideal characteristics not included in the MEATManagement plan with a realistic investment programLong-term management plan broken down into annual plans and linked to realistic budgetsAnnual plans crafted through the coordination of various LGU departments (Budget , Planning, Executive, Agriculture Offices, PNP and barangay level MPA management committeeAnnual plans consider lessons from implementation of previous annual plan

Compliance or Reform?

MPA Management plan is not just a nice document!

Ideal “management body”Ideal characteristics not included in the MEATHas a separate multi-stakeholder policy –making group that meets at most quarterlyHas a separate municipal level implementation group represented by various LGU departments and barangay level MC that meets at least monthlyHas working committees with clear responsibilities for at least enforcement, reef monitoring, and public educationHas a clear succession planDocuments all processes (meetings and activities)


MPA Management body is not just the barangay level MPA management committee (MC).

Management body


1.2.3 Functions of MPA management body explained through IEC

1

1.4.1 Management body determined and identified

1

1.4.2 Management body formed and roles clarified

3

3.1.3 Management body able to supervise management activities of the MPA and access technical assistance, if necessary

1

3.1.6 Performance monitoring of the management body conducted regularly

3

4.1.1 Political support from the provincial government or LGUs

1

4.1.4 Coordination with LGUs and other clearly defined and formalized

1

Ideal “legal instrument and support”

Ideal characteristics not included in the MEATOrdinance can provide clear guidance for crafting of MPA management plan and its implementation.Ordinance is regularly reviewed and updated


MPA municipal ordinance is not just a nice document!

Legal instrument


1.3.1 Legal instrument declaring the MPA has been drafted

1

1.3.2 Consultations with stakeholders on legal instrument conducted

1

1.3.3 Legal instrument approved

3

Ideal “community participation”Ideal characteristics not included in the MEATClearly defined tasks where involvement from volunteers in the community (formulation of plans, enforcement, public education, local reef monitoring, revenue generation) Recognizes community contribution and does not exploit or overburden community volunteers who are also involved in your own livelihood activities.


Community participation is not confined to the setting up stage of the MPA only.

Community participation


1.1.1 MPA concept explained to stakeholders

1

1.1.2. MPA accepted and approved by the community or local government

1

Ideal “financing”Ideal characteristics not included in the MEATAdequate financing from the LGU commensurate to its financially capacity (examine MPA budget against LGU gross revenue ratio) Separable financial statements for MPA management operations that can be analyzed to determine efficiency


Financing


1.4.3 Budget allocated for at least 1 year

3

2.1.6 Funds accessed and used

1

3.1.2 Funds generated or accessed for the last 2 years

3

3.1.9 Sustainable financing strategy established

1

4.1.3 Management body capable of outsourcing funds

1

4.1.11 MPA financially self-sustaining in the last 7 consecutive years

3

Ideal “IEC”Ideal characteristics not included in the MEATDesign of public education based on thorough research (KAP) surveyConsiders appropriateness of IEC collaterals to specific audiencesMonitors and evaluates effects of public education activities to the behaviour of target audiences


IEC


1.4.4 IEC activities coordinated by the management body

1

2.1.7 Infrastructure maintained

1

2.1.8 IEC program conducted to sustain public awareness and compliance

1

3.1.5 IEC program enhanced 1

4.1.7 IEC sustained over 7 years

3

Ideal “Enforcement”Ideal characteristics not included in the MEATOversight system in place to ensure integrity of 24/7 guardingAdequate incentives for fish wardensClear policy for mobilizing volunteersClear policy to protect fish wardens and volunteers


Enforcement


1.4.5 MPA boundaries delineated 1

1.4.6 MPA enforcers identified 1

2.1.1 Enforcement plan or its equivalent is in place

1

2.1.2 Marine enforcement group is trained

1

2.1.3 Patrolling and surveillance conducted regularly

3

2.1.4 Violations documented 3

2.1.5 Cases filed or violators penalized

3


3

3.1.10 Violators prosecuted and sanctioned

3

4.1.8 Management body can adjudicate certain cases

1

Ideal “Monitoring and Evaluation”Ideal characteristics not included in the MEATResults of bio-physical and socio-economic monitoring feeds into the annual and long-term plans of the MPA




1.1.3 Baseline assessment conducted

3

1.4.7 Biophysical monitoring activities coordinated by the management body

1

2.1.9 Participatory biophysical monitoring in the last 3 years

1

3.1.7 Regular participatory biophysical monitoring conducted

3

3.1.8 Socio-economic monitoring conducted regularly

1

3.1.11 Feedback system in place 1

4.1.5 Ecological and socio-economic assessment conducted

3

4.1.6 Performance monitoring and evaluation system linked to an incentive system

3

Ideal “Site development”Ideal characteristics not included in the MEATMaintenance plan for equipment and infrastructures that considers their design lifeAdequate resources for operations incorporated in the annual MPA management plan


Site development


4.1.9 Expansion strategies or resource enhancement programs initiated

1

4.1.10 Support facilities constructed

1

Management of learning

Have we:1. Achieved a shared understanding of the

MEAT as an OD tool and its strengths and limitations?

2. Reviewed the uses of the MEAT as a diagnostic, planning and performance management tool?

3. Situated MEAT in the context of OD theories and tools?

ORGANIZATIONAL LEARNING USING MEAT

Session 5


At the end of the session, CFs will:1. Gained a shared understanding of

“organizational learning” and how this differs from individual learning

2. Reviewed the lessons learned in the implementation of Philippines 1 using the MEAT management focus area outline

3. Reviewed performance gaps, reasons for these and strategies and activities initially identified to address these.

Organizational learning

Type of learning ChangesIndividual learning Knowledge

SkillsAttitudes Behaviour


Group practices (routines)Policies (rules)

Organizational learningEvery organization is a collection of adult learners, all of whom learn according to the basic principles of adult learning.

Real learning in organizations tends to be social, taking place in groups and in shared practices.

Learning in organizations is the result of the continuous testing of experiences and transformation of those experiences into knowledge

Organizational learning happens through repetition, experimentation, social interaction and search

Formulate strategies for next cycle


1) Experience

2) Reflect3)

Adapt

Review strategies implemented

Identify facilitating and hindering factorsIdentify lessons


Data Information Knowledge

Data-information KnowledgeKnows whatWhat isInteresting

Knows howWhat worksUseful

Generating lessons from experience

(Sinkers)Factors that will make the boat sink!

What does not work?Effectiveness – achieves the objectiveEfficiency - uses appropriate level of resources

What works?Effectiveness – achieves the objectiveEfficiency – uses appropriate level of resources

(Floaters)Factors that will help the boat float!

A lesson is a program of action

Learning lessons

Lesson – program of action based on the experience of others (space) and our own experiences in the past (time). It is an action plan on how to improve our work in the future to produce better outcomes.

Evaluating lessons

Doubly desirable Unwanted technical solution

Siren call Doubly rejected

PRAC

TICA

LITY

DESIRABILITY

High Low

Hig

hLo

w

Philippines 1 – MPA management

Management plan

Management Body

Legal Instrument and support

Community Participation

FinancingIEC (social marketing?)

Enforcement


Maintenance of infrastructure and site development

0.00%

50.00%

100.00%

20112012

Lessons: Management Plan MPA management can be done

without a plan but it is like a boat with a lot of paddlers without any steerer

It helps to have a good coordinator at the LGU (not necessarily technical person)

Planning should be linked to budgeting (not allocation culture)

MPA planning should not be dependent on external facilitators

Management plan Total allowable points

1.2.1 Management plan drafted 1

1.2.2 MPA plan prepared in a consultative and participatory manner

1

1.2.4 Management plan adopted 3

3.1.1 Management plan and ordinance reviewed and updated 1

4.1.2 MPA management plan incorporated in broader development plans

3

Lessons: Management Body There should be an MC at the

municipal level separate from TWG Municipal level MCs should conduct

planning, supervision and oversight functions on barangay level MCs not just act as funder

Inter-department coordination at MLGU level is important

Commitment emanates from basic awareness – so keep allies at all levels informed

Use or build on existing structures (CRM structure for instance)

Building trust is important

Management body


1.2.3 Functions of MPA management body explained through IEC

1

1.4.1 Management body determined and identified

1

1.4.2 Management body formed and roles clarified

3

3.1.3 Management body able to supervise management activities of the MPA and access technical assistance, if necessary

1


3

4.1.1 Political support from the provincial government or LGUs

1

4.1.4 Coordination with LGUs and other clearly defined and formalized

1

Lessons: Legal instrument and support Maintain good personal

relationships with allies at all levels Invite reps from provincial and

national agencies in your TWG Master established government

process for accessing support from higher levels of government

Good performance attracts more support!

Legal instrument


1.3.1 Legal instrument declaring the MPA has been drafted

1

1.3.2 Consultations with stakeholders on legal instrument conducted

1

1.3.3 Legal instrument approved

3

Lessons: Community participation Participation of women in patrolling

lessened workload The key to broad community

participation is massive information campaign

Study tour works! Be clear on what type of

participation you would like from the community.



1.1.1 MPA concept explained to stakeholders

1

1.1.2. MPA accepted and approved by the community or local government

1

Lessons: IEC Maintain constant personal

communication “A peso spent in IEC is a peso saved

in enforcement” Total community support impossible

to achieve but SM activities help get broadest support

Consult local communities in the design of SM collaterals

Use local celebrities as ambassadors Have a strategic IEC plan Film showings should be capped

with educational discussions

IEC


1.4.4 IEC activities coordinated by the management body

1

2.1.7 Infrastructure maintained

1

2.1.8 IEC program conducted to sustain public awareness and compliance

1

3.1.5 IEC program enhanced 14.1.7 IEC sustained over 7 years

3

Lessons: Financing MC head in coordination with

Budget dept at LGU level should ensure inclusion of MPA budget in the AIP

Expenditure monitoring should be part of regular MC meetings at the LGU level

MPAs near big cities can secure sponsorships from private sector

Assured funding from LGU for MPA management is a function of the legislative, LCE and strong community support

Maximize user fee collection system

Financing


1.4.3 Budget allocated for at least 1 year

3

2.1.6 Funds accessed and used 13.1.2 Funds generated or accessed for the last 2 years 33.1.9 Sustainable financing strategy established 14.1.3 Management body capable of outsourcing funds 14.1.11 MPA financially self-sustaining in the last 7 consecutive years

3

Lessons: Enforcement Monetary incentives important but

not the only motivating factor It takes a community to get an MPA to

an “enforced” status Good to have “hotlines” but personal

contacts most times work better MPA enforcement plan should be

integrated in the overall CRM plan MPA enforcement is a serious

business that should be led by professionals

Women can be a positive influence on an all male patrol system

Even trained fish wardens can be tempted to intrude in the MPA

MC at LGU level should perform oversight functions

Enforcement


1.4.5 MPA boundaries delineated 11.4.6 MPA enforcers identified 12.1.1 Enforcement plan or its equivalent is in place

1

2.1.2 Marine enforcement group is trained

1

2.1.3 Patrolling and surveillance conducted regularly

3

2.1.4 Violations documented 32.1.5 Cases filed or violators penalized

3


3

3.1.10 Violators prosecuted and sanctioned

3

4.1.8 Management body can adjudicate certain cases

1

Lessons: Monitoring and evaluation Results of reef and socio-economic

monitoring activities help public education efforts

Performance monitoring needs to be incorporated in regular MC meetings at both municipal and barangay levels

Continuous improvement comes from non-stop reflection of experience

Results of resource assessments should always be discussed with the local community

Local reef monitoring results may be technically inferior but can be useful for adaptive management

Monitoring and evaluationTotal allowable points

1.1.3 Baseline assessment conducted

3

1.4.7 Biophysical monitoring activities coordinated by the management body

1

2.1.9 Participatory biophysical monitoring in the last 3 years

1


3

3.1.8 Socio-economic monitoring conducted regularly

1

3.1.11 Feedback system in place 1

4.1.5 Ecological and socio-economic assessment conducted

3

4.1.6 Performance monitoring and evaluation system linked to an incentive system

3

Lessons: Site development A good guardhouse is a deterrent

against intruders Immediately replace destroyed

markers and buoys, do not wait for the entire system to get destroyed.

Assign a local person to look after the buoys and report its status

Site development


4.1.9 Expansion strategies or resource enhancement programs initiated

1

4.1.10 Support facilities constructed

1

One of the uses of a patrol boat

What good is a nicely written MPA municipal ordinance and management plan if your patrol boat is like this?

Philippines 2 overall MEAT baseline

Management planManagement body


Financing

IECCommunity participation

Enforcement


Site development

0.0%

50.0%

100.0%

20122014

Philippines 2 overall MEAT baselineScores

Excellent; 2; 13%

Very good; 9; 56%

Good; 4; 25%

Fair, 1, 6%

Excellent = 62 to 84 pointsVery good = 40 to 61 pointsGood = 25 to 39 pointsFair = below 24 points

Philippines 2 overall MEAT baselineLevels

Level 0 (pre level 1); 12; 75%

Level 2; 3; 19%

Level 3; 1; 6%

Philippines 2 overall MEAT baselineMPA expenditures over LGU gross revenue

below 0.25%; 4; 33%

0.26 to 0.50%; 3; 25%

0.51 to 0.75 %; 3; 25%

0.76 to 1.00%; 1;

8%

Over 1.00%; 1; 8%

n = 12Ave = 0.57%Highest = 2.08%Lowest = 0.07%

Philippines 2 overall MEAT baselineFisher pop’n to total pop’n ratio

n = 12Ave = 3.51%Highest = 9.36%Lowest = 0.12%

below 1%; 2; 17%

1 to 3%; 3; 25%

3 to 5%; 4; 33%

Over 5%; 3; 25%

Philippines 2 overall MEAT baselinethreshold indicators not satisfied

Level Management focus

Threshold indicators (TIs) # of sites that need to satisfy these TIs

1 Monitoring and evaluation

1.1.3 Baseline assessment conducted 1

1 Management plan

1.2.4 Management plan adopted 10

1 Management body

1.4.2 Management body formed and roles clarified 1

2 Enforcement 2,1,3 Patrolling and surveillance conducted regularly 62 Enforcement 2.1.4 Violations documented 23 Financing 3.1.2 Funds generated or accessed for the last 2 years 63 Enforcement 3.1.4 Enforcement system fully operation in the last 5

consecutive years13

3 Management body


13

3 Monitoring and evaluation


9

3 Enforcement 3.1.10 Violators prosecuted and sanctioned 3

Live hard coral cover and enforcement LHC EnfBindoy 43.6 100%Ipil 70.8 100%Marihatag

43.6100%

Lianga 47.8 85%Ayungon 15.9 80%Samal 61.0 80%Panabo 43.8 75%Caramoan

50.770%

Ubay 30.0 70%Pilar 11.6 65%Sagnay 37.1 55%Roxas 20.6 45%Siruma 11.8 45%Tigaon 22.1 40%

Correl = 0.66

Fish biomass and enforcement Biomass Enf%Bindoy 40.6 100%Ipil 24.4 100%Marihatag

10.0 100%Lianga 9.4 85%Ayungon 38.0 80%Samal 30 80%Panabo 4.3 75%Caramoan

29.9 70%Ubay 30 70%Pilar 16.0 65%Sagnay 12.8 55%Roxas 14.7 45%Siruma 34.7 45%Tigaon 33.2 40%

Correl = -0.04

Fish biomass and MEAT score

Correl = -0.21

Biomass ScoreIpil 24.4 74Marihatag

10.0 66Lianga 9.4 54Bindoy 40.6 52Samal 30 51Ayungon 38.0 48Ubay 30 47Panabo 4.3 45Pilar 16.0 42Caramoan

29.9 38Roxas 14.7 38Sagnay 12.8 38Siruma 34.7 32Tigaon 33.2 19

Exercise

1. Review your MEAT baseline assessment results:

1. Review baseline score2. Set target score3. Identify performance gaps and reasons for these4. Review and update strategies5. Review and update activities

Management focus

Scores (points and %)

Performance gaps and reasons

Strategies Activities Estimated cost

BL EL

Management plan

Management body



Financing

IEC

Enforcement


Site development

Do this in Excel (there is an available template already for your site, use the one done during the MEAT baseline assessment) so that you can generate before and after radar graphs.

THANK YOU.

[email protected]@rareconservation.org

mailto:[email protected]

mailto:[email protected]

MPA Governance and Management and MEAT PHILIPPINES 2 University phase 1 3 October 2012.

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Transcript of MPA Governance and Management and MEAT PHILIPPINES 2 University phase 1 3 October 2012.