mpa governance and management and meat philippines 2 university phase 1 3 october 2012
TRANSCRIPT
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
Session 2 learning objectives
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
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
Ideal MPA management structureMC at village level composition
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
Ideal MPA management structureMC at village level composition
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
MPA MC village 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
Session 4 learning objectives
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
Balanced Score Card – strategic planning and management tool
Source: 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)
Compliance or Reform?
MPA Management body is not just the barangay level MPA management committee (MC).
Management body
Total allowable points
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
Compliance or Reform?
MPA municipal ordinance is not just a nice document!
Legal instrument
Total allowable points
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.
Compliance or Reform?
Community participation is not confined to the setting up stage of the MPA only.
Community participation
Total allowable points
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
Compliance or Reform?
Financing
Total allowable points
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
Compliance or Reform?
IEC
Total allowable points
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
Compliance or Reform?
Enforcement
Total allowable points
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
3.1.4 Enforcement system fully operation in the last 5 consecutive years
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
Compliance or Reform?
Monitoring and evaluation
Total 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
3.1.7 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
Compliance or Reform?
Site development
Total allowable points
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
Session 5 learning objectives
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
Organizational learning
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
Organizational learning
1) Experience
2) Reflect3)
Adapt
Review strategies implemented
Identify facilitating and hindering factorsIdentify lessons
Organizational learning
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
Monitoring and evaluation
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
Total allowable points
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
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
Total allowable points
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.
Community participation
Total allowable points
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
Total allowable points
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
Total allowable points
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
Total allowable points
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
3.1.4 Enforcement system fully operation in the last 5 consecutive years
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
3.1.7 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
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
Total allowable points
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
Legal instrument and support
Financing
IECCommunity participation
Enforcement
Monitoring and evaluation
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
3.1.6 Performance monitoring of the management body conducted regularly
13
3 Monitoring and evaluation
3.1.7 Regular participatory biophysical monitoring conducted
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
Legal instrument and support
Community participation
Financing
IEC
Enforcement
Monitoring and evaluation
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.