buku e kkp3k english

(1)

MINISTRY OF MARINE AFFAIRS AND FISHERIES

DIREcTORATE GENERAl OF MARINE, cOASTS AND SMAll ISlANDS DIREcTORATE FOR cONSERVATION OF AREA AND FISH SPEcIES

Jl. Medan Merdeka Timur No. 16 Gedung Mina Bahari III, lt. 10, Jakarta Pusat 10110

ISBN : 978-602-98450-8-2

DEcREE OF THE DIREcTOR GENERAl OF MARINE, cOASTS AND SMAll ISlANDS

NUMBER KEP.44/KP3K/2012

cONcERNING

TEcHNIcAl GUIDElINES FOR EVAlUATING THE MANAGEMENT EFFEcTIVENESS

OF AQUATIc, cOASTS AND SMAll ISlANDS

(2)

ii Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

iii

This Technical Guidelines was written by the Working Group for Development of Guidelines for Evaluating Aquatic Conservation Areas Management Effectiveness at the Directorate for Conservation of Area and Fish Species (KKJI), Directorate General of Marine, Coasts and Small Islands, Ministry of Marine Affairs and Fisheries. The Working Group members were:

1. Drs. Riyanto Basuki, M.Si, Deputy Director for Area Conservation, KKJI. 2. Suraji, SP, M.Si, Head of Area Protection and Conservation Section, KKJI.

3. Arisetiarso Soemodinoto, Ph.D., The Nature Conservancy (TNC) Indonesia Marine Program. 4. Handoko Adi Susanto, D.Sc., USAID Marine Protected Areas Governance (MPAG) Program. 5. Irfan Yulianto, M.Si, Wildlife Conservation Society (WCS) Indonesia Marine Program. 6. M. Khazali, M.Si, Conservation International (CI) Indonesia.

7. Ir. Sudarsono Kimpul, World Wide Fund for Nature (WWF) Indonesia.

Suggested citation

Directorate for Conservation of Area and Fish Species (2012). Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K). Jakarta: Directorate for Conservation of Area and Fish Species, Directorate General of Marine, Coasts and Small Islands, Ministry of Marine Affairs and Fisheries, ix + 61 pp.

ACKNOWLEDGEMENTS

Contributions from the following, either direct or indirectly, are greatly appreciated. Apologies for those who are not mentioned due to limited space.

1. Dr. Sudirman Saad, M.Hum, Director General of Marine, Coasts and Small Islands (KP3K). 2. Ir. Sri Atmini, M.Sc, Secretary to the Director General of Marine, Coasts and Small Islands. 3. Dr. Toni Ruchimat, M.Sc, Director for Conservation of Area and Fish Species (KKJI). 4. Ir. Agus Dermawan, M.Si, Director for Utilization of Small Islands.

5. Dr. Subandono Diposaptono, M.Eng, Director for Marine, Coasts and Small Islands Spatial Planning. 6. Ir. M. Eko Rudianto, M.Bus.IT, Director for Marine and Coasts Affairs.

7. Ir. Ansori Zawawi, M.Si, MM, Director for Coastal Community Empowerment and Business Development. 8. Syamsulbahri Lubis, A.Pi, MM, Deputy Director for Area and Fish Species Utilization, KKJI. 9. Ir. Ahsanal Kasasiah, M.Agr.Bus, Deputy Director for Conservation Data, Information and Network, KKJI. 10. Dr. Pamuji Lestari, Deputy Director for Conservation of Fish, KKJI.

11. Ir. Yulita Wismaneli, Head of Monitoring & Evaluation Section, KP3K. 12. Ir. Iriawanti, Auditor of Inspectorate III.

13. Dr. Yesaya Mau, Head of National Aquatic Conservation Area Ofice (BKKPN) Kupang. 14. Dr. Ahmad Aris, Head of National Aquatic Conservation Area Ofice (LKKPN) Pekanbaru. 15. Raimundus Nggajo, ST, M.Si, Head of Utilization and Surveillance Section BKKPN Kupang. 16. Agus Widayanto, S.Sos, Head of Conservation Area Utilization Section, KKJI.

17. Roi Alhanif, M.Sc, Head of Conservation Network Section, KKJI.

18. Cora Mustika, A.Pi, MM, Head of Fish Species Conservation Design Section, KKJI. 19. Dr. Firdaus AK, M.Sc, Head of Conservation Area Design Section, KKJI.

20. Suko Wardhono, A.Pi, MM, Head of Ofice Administration, KKJI.

21. Sarmintohadi, M.Si, Head of Fish Species Protection and Conservation Section, KKJI. 22. Asri Nurhayati, Head of Reporting Section, Secretariat of Director General KP3K. 23. Ir. M. Saefudin, M.Si, Staff of KKJI.

24. Leny Dwihastuty, S.Pi, Staff of KKJI. 25. Yusuf Arif Affandy, ST, Staff of KKJI. 26. Yusra, S.Si, M.Si, Staff of KKJI. 27. A. Darwis, S.Sos, Staff of KKJI. 28. Muschan Ashari, S.Hut, Staff of KKJI. 29. Ahmad Soiullah, S.Pi, Staff of KKJI. 30. Anita Setianingsih, M.Si, Staff of KKJI. 31. Amehr Hakim, M.Si, Staff of KKJI. 32. Ana Rojayati, S.Pi, Staff of KKJI. 33. Sinta Agustina, ST, Staff of Inspectorate III.

34. Ugeng Wijanarko, A.Md, Staff of Monitoring & Evaluation Section KP3K. 35. Helena Yusik, S.TP, ME, Staff of Monitoring & Evaluation Section KP3K. 36. Susi Susanti, S.St.Pi, Staff of Monitoring & Evaluation Section KP3K. 37. Jeffry Syam, SH, Staff of Legal Section KP3K.

38. A. Boby Yefry Adi Rianto, S.Pi, Staff of BKKPN Kupang. 39. Yudi Herdiana, M.Si, WCS Indonesia Marine Program. 40. Ir. M. Imran Amin, TNC.

41. Dr. Budy Wiryawan, Bogor Agricultural University (IPB). 42. Dr. Ir. Fernando Dangeubun, M.Si, IPB.

43. Rony Megawanto, ST., MIDEC, USAID-MPAG. 44. Ir. Anton Wijonarno, WWF Indonesia. Financial support for formulating the Technical Guidelines

(and printing of this booklet through The Nature Conservancy Indonesia Marine Program) was provided by Marine Protected Areas Governance (MPAG) program, an

(3)

iv Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

FOREWORD

Director for Conservation of Area and Fish Species Ministry of Marine Affairs and Fisheries

C

onservation is of global concern today, and is a strategic issue for several countries, including Indonesia. With an abundant ish resource potential, Indonesia has to be able manage these resources effectively and sustainably for the good of its people. Management of ish resources in Indonesia was initiated in 1990 with the passing of Law 5 on conservation of biological resources and their ecosystems. However, a more speciic legal umbrella for conservation of ish resources did not come until 2004, when Law 31/2004 on isheries was passed, and subsequently amended by Law 45/2009. Further, the ish resource conservation mandate is outlined in Government Regulation 60/2007, which was followed by other technical regulations in the form of guidelines and ministerial regulations. Since the establishment of this legal umbrella, conservation of ish resources in Indonesia has intensiied.

National and local government initiatives in ish resource conservation had created no less than 16 million hectares of marine conservation areas by the end of 2012. The Indonesian government has committed to increasing this expanse of marine conservation area to 20 million hectares by 2020. This commitment is in keeping with the commitment to making management of these areas more effective.

Preparation of these Technical Guidelines for Evaluating the Management Effectiveness of Marine, Coasts and Small Islands Conservation Areas is an initiative of the Directorate for Conservation of Area and Fish Species towards achieving this target of effective management. These guidelines are the result of the adoption and combination of a number of internationally accepted methods for evaluating the effectiveness of the management of conservation, such as ‘Guidebook of Natural and Social Indicators for Evaluating Marine Protected Area Management Effectiveness’, ‘Score Card to Assess Progress in Achieving Management Effectiveness Goals for Marine Protected Areas’, ‘Guide for Improving Marine Protected Area Management Effectiveness in Indonesia’, and others.

REMARKS

Director General of Marine, Coasts and Small Islands Ministry of Marine Affairs and Fisheries

T

he Government of Indonesia has committed to establish 20 million hectare of aquatic (marine) conservation areas in 2020. This commitment certainly must be accompanied by efforts to effectively manage those areas so they able to provide great beneits to the stakeholders, particularly local communities, and the conserved biodiversity resources.

Effectively managed conservation area is in agreement with the Ministry of Marine Affaris and Fisheries’ program aiming at generating social-economic and cultural beneits for people and sustainability of resources. Furthermore, conservation areas can also be developed to embrace principles of blue economy, i.e. poverty eradication, social inclusiveness, and resources sustainability.

I therefore welcome this Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas which is known as E-KKP3K Guidelines. I also applaud the efforts of Directorate for Conservation of Area and Fish Species (KKJI), in collaboration with a consortium of international non-governmental organizations under Marine Protected Areas Governance (MPAG) program, to produce the Guidelines. Besides timely, the Guidelines will close the gap of lacking of tools that can be used to evaluate management performance and effectiveness of aquatic (marine) conservation areas comprehensively.

I really hope that this E-KKP3K Guidelines can be adopted by decision-makers as standard tools for evaluating the performance of aquatic, coasts and small islands conservation areas in Indonesia, and can simultaneously be utilized by managers and planners at site level to prioritize activities for managing the area effectively.

Finally, I hope this manual will contribute to the effective and sustainable management of aquatic, coasts and small islands conservation areas in Indonesia.

(4)

vi Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

vii

This manual contains the procedures or guidelines for evaluating the effectiveness of the sustainable management of marine conservation areas. This manual is expected to be used by policy makers as an instrument for evaluating the performance of marine, coast and small islands conservation areas in Indonesia, and as a tool for establishing development priorities for the effective management of these areas. At the macro level, the guidelines are intended for use by the Ministry of Marine Affairs and Fisheries to evaluate the effectiveness of the management of marine conservation areas across Indonesia. At the macro level, the guidelines can be used for self-evaluation of the effectiveness of management of a particular marine conservation area, and for making plans to improve management performance.

The guidelines divide effective management of an aquatic, coasts and small islands conservation area into ive levels. Starting from the lowest level of management, these are: Level 1 (red), Level 2 (yellow), Level 3 (green), Level 4 (blue) and Level 5 (gold). These levels are determined by 17 (seventeen) criteria, which are elucidated in 74 (seventy-four) questions. These parameters are used in the process of evaluating effectiveness to assess the status of the area’s reserves, institutions, management and zoning plans, and infrastructure. The scope of the evaluation covers management, conservation/resources, and socio-economic-cultural aspects that are relevant to conservation area management.

Preparation of these guidelines went through a process of discussions and workshops, which involved stakeholders to get their input and feedback. Trials were also conducted in selected locations, such as Pesisir Selatan District, Batang District, and all National Marine Conservation Areas. During these processes, a great deal of input was gathered and revisions were made to create the guidelines that can now be used as the manual for evaluating management effectiveness. On 9 October 2012, the Director General of Marine, Coasts and Small Islands signed Decree Number Kep.44/KP3K/2012 which ratiied the issue of these guidelines. Accompanying software is now being developed to facilitate actual evaluations in the ield. This software is expected to be operational in the near future.

In follow up to the preparation of this manual, in 2013 the Directorate for Conservation of Area and Fish Species will perform evaluations of the effectiveness of the management of all aquatic, coasts and small islands conservation areas in Indonesia using this instrument. The conservation area deemed to have the most effective management will be rewarded with a KKP

Award. The activities planned for this year’s agenda should motivate the managers of these conservation areas to continue to work hard to create conservation areas that are effectively and sustainably managed. As well as the KKP Award, another key output of these activities is the recommended management priorities for the all conservation areas that have been evaluated.

We would like to thank everyone for their contribution to the preparation of this manual, in particular the partner NGOs in the Marine Protected Areas Governance (MPAG) consortium for their hard work. We welcome constructive feedback and input to improve these guidelines, and hope that this manual will contribute to the effective and sustainable management of conservation areas in Indonesia.

(5)

viiiTechnical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

viii

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

TAbLE Of CONTENTS

Acknowledgements ... Remarks ... foreword ... Table of Contents ... List of figure ... List of Table ... Chapter 1 – Introduction ... A. Background ... B. Purpose and Objectives ... C. Scope ... D. Organization of the Technical Guidelines ... List of Abbreviations and Terms ... Chapter II – Theoretical framework ... A. Background ... B. Literature Background to the Development of the Technical Guidelines ... C. Legal Basis ... Chapter III – Method for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas ...

A. General ... B. Implementer ... C. Timing ... D. Evaluation Tools and Methods ... Chapter IV – Reporting ... A. Evaluation data Collected ... B. Analysis ... C. Conclusions ... D. Report Structure ... Chapter V – Recommendations and follow Up Action ... A. Recommendations ... B. Follow Up Action ... Chapter V – Conclusion ... Appendix: List of Score Cards for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas ...

A. Background Information of the Conservation Area ... B. Evaluation Score Cards:

• Red (Level 1): Conservation Area Initiated ... • Yellow (Level 2): Conservation Area Established ... • Green (Level 3): Conservation Area Managed Minimally ... • Blue (Level 4): Conservation Area Managed Optimally ... • Gold (Level 5): Self-Reliant Conservation Area ... References ...

LIST Of fIGURES Title

The basic principles of evaluating the management effectiveness of aquatic, coasts and small islands conservation areas ... Steps in evaluating management effectiveness of aquatic, coasts and small islands conservation area ...

LIST Of TAbLES Title

Status of Marine, Coasts and Small Islands Conservation Areas in Indonesia (per July 2012) ... Strategies and Activity Programs included in the governance, area resources, and socio-economic and cultural aspects of the management of a conservation area ... Criteria used for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas at the macro level ... Recommended structure of a report on the indings of an evaluation of the management of an aquatic, coasts and small islands conservation area ...

Page 8 32

Page 2

4 6 36 Number

1 2

Number 1 2

3 4 Page

iii iv v viii

ix ix 1 1 3 3 4 5 6 6 7 8 10 10 10 10 11 35 35 35 35 36 37 37 37 38 39 40 41 45 49 52 60 61

(6)

x Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

DECREE OF THE DIRECTOR GENERAL OF MARINE, COASTS AND SMALL ISLANDS

NUMBER KEP.44/KP3K/2012 CONCERNING

TECHNICAL GUIDELINES FOR EVALUATING THE MANAGEMENT EFFECTIVENESS OF AQUATIC, COASTS AND SMALL ISLANDS

CONSERVATION AREAS (E-KKP3K)

THE DIRECTOR GENERAL OF MARINE, COASTS AND SMALL ISLANDS

Considering: a. that for the purposes of evaluating the effectiveness of the sustainable management of aquatic, coasts and small islands conservation areas, technical guidelines for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas are required, using the indicators as established;

b. that this should be established by Decree of the Director General; In view of: 1. Law 31/2004 concerning Fisheries as amended by Law

45/2009 concerning Amendments to Law 31/2004 concerning Fisheries;

2. Law 32/2004 concerning Regional Governments as amended by Law 12/2008 concerning Amendments to Law 32/2004 concerning Regional Governments;

3. Law 26/2007 concerning Spatial Planning;

4. Law 27/2007 concerning Management of Coasts and Small Islands;

5. Government Regulation 60/2007 concerning Conservation of Fish Resources;

6. Government Regulation 62/2010 concerning Use of Outermost Small Islands;

7. Government Regulation 64/2010 concerning Disaster Mitigation in Coasts and Small Islands;

8. Presidential Regulation 47/2009 concerning the Formation and Organization of State Ministries as amended by Presidential Regulation 91/2011 concerning the Third Amendment to Presidential Regulation 47/2009 concerning the Formation and Organization of State Ministries;

9. Presidential Regulation 5/2010 concerning 2010-2014 Medium-Term National Development Plan;

10. Presidential Regulation 24/2010 concerning the Position, Tasks and Functions of State Ministries and the Organizational Structure, Duties and Functions of State Ministry Echelon I Personnel as amended by Government Regulation 92/2011 concerning the Second Amendment to Presidential Regulation 24/2010 concerning the Position, Tasks and Functions of State Ministries and the Organizational Structure, Duties and Functions of State Ministry Echelon I Personnel;

11. Minister of Marine Affairs and Fisheries Regulation Number PER.17/MEN/2008 concerning Conservation Areas of Coasts and Small Islands;

12. Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009 concerning the Procedure for Establishing Aquatic Conservation Areas;

13. Minister of Marine Affairs and Fisheries Regulation Number PER.30/MEN/2010 concerning the Aquatic Conservation Area Management and Zoning Plans.

14. Minister of Marine Affairs and Fisheries Regulation Number PER.15/MEN/2012 concerning the 2010-2014 Strategic Plan of the Ministry of Marine Affairs and Fisheries;

15. Minister of Marine Affairs and Fisheries Decree Number KEP.24/ MEN/2002 concerning Procedure and Process for Legal Drafting within the Ministry of Marine Affairs and Fisheries;

DECREES:

To enact : DECREE OF THE DIRECTOR GENERAL OF MARINE, COASTS AND SMALL ISLANDS CONCERNING TECHNICAL GUIDELINES FOR EVALUATING THE MANAGEMENT EFFECTIVENESS OF AQUATIC, COASTS AND SMALL ISLANDS CONSERVATION AREAS.

FIRST : To enact Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas, hereinafter referred to as the E-KKP3K Technical Guidelines as set forth in the Appendix to this Decree of the Director General. SECOND : The E-KKP3K Technical Guidelines as referred to in the FIRST

paragraph are used as guidelines for evaluating the effectiveness of the sustainable management of aquatic, coasts and small islands conservation areas using the indicators as established. THIRD : The indicators established in the E-KKP3K Technical Guidelines as

referred to in the SECOND paragraph consist of 5 (ive) levels and 17 (seventeen) criteria, as follows:

(7)

xii Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

xii

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

xiii

FIFTH : This Decree of the Director General comes into force on the date of its enactment.

Enacted in Jakarta On 9th_{October 2012}

DIRECTOR GENERAL

OF MARINE, COASTS AND SMALL ISLANDS Signed

SUDIRMAN SAAD

Deemed a true copy of the original

Head of Legal Affairs, Organization and Public Relations Bureau

Achmad Satiri FOURTH : Costs arising as a result of the enactment of this Decree of the

Director General shall be borne by the Budget of the Director General of Marine, Coasts and Small Islands, and other oficial, non-binding funding sources.

3 THIRD : The indicators established in the E-KKP3K Technical Guidelines as

referred to in the SECOND paragraph consist of 5 (five) levels and

17 (seventeen) criteria, as follows:

Level/Stage Criteria Number of _Questions

Red

(1) Conservation Area Initiated

1 Initiative proposal

8 2 Area identification and

inventory 3 Reservation of

conservation area

Yellow

(2) Conservation Area Established

4 Management

organizational unit and personnel

11 5 Management and

zoning plans 6 Facilities and

infrastructure to support management 7 Management funding

support

Green (3)

Conservation Area Managed

Minimally

8 Approval of management and zoning plans

21 9 Management standard

operating procedures (SOPs)

10 Implementation of management and zoning plans

11 Designation of Aquatic Conservation Area Blue

(4)

Conservation Area Managed

Optimally

12 Boundary marking

28 13 Institutionalization

14 Resource management 15 Socio-economic and

cultural management Gold

(5) Self-Reliant Conservation Area

16 Improving community

welfare 6

17 Sustainable funding

FOURTH : Costs arising as a result of the enactment of this Decree of the Director General shall be borne by the Budget of the Director General of Marine, Coasts and Small Islands, and other official, non-binding funding sources.

(8)

xivTechnical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

xiv

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

5 Appendix I: Decree of the Director General of Marine, Coasts and Small Islands Number KEP.44/KP3K/2012 concerning Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K).

CHAPTER I INTRODUCTION A. Background

Indonesia, as one of the largest archipelagos in the world, is blessed with a very rich marine biodiversity. Recent studies indicate that more than 90 percent of the world’s coral species are found, and some only found, in our waters. Likewise, more than two-thirds of the world’s fish species are found, and some only found, in Indonesian waters.

If managed sustainably, this rich marine biodiversity could provide the renewable resources needed to support the country’s long-term economic development. Unfortunately, their use is far from optimal, and most marine environments and resources are simply exploited, with little or nothing done to conserve them to ensure they can be used sustainably in the long term. Aware of this, the government of the Republic of Indonesia intends to set aside a part of its marine area for conservation purposes.

At an international forum of the Convention on Biological Diversity (COP CBD) in March 2006 in Brazil, President Susilo Bambang Yudhoyono said that the Indonesian government had committed to developing 10 million hectare of marine conservation area by 2010, and had committed to expand that area to 20 million hectares by 2020 (UNEP-WCMC, 2008). This declaration and commitment requires multi-stakeholder support because establishing and managing conservation areas should offer benefits that support sustainable fisheries, for the good of the welfare of communities, in particular marine and fishing communities, most of which fall within the category of poor communities. This expansion does not just mean expanding geographical area. Consistent related efforts are needed to create marine conservation areas that are managed effectively in order to conserve biodiversity and contribute to the welfare of local communities.

Conservation is a challenge and a necessity, as part of the effort to balance the economic needs of the community and the wish to conserve existing resources for the future. As of July 2012, marine conservation areas in Indonesia covered a total of 15.78 million hectares (Table 1). This figure exceeds the target of 15.5 million hectares of conservation area set in the 2010-2014 National Medium-Term Development Plan.

(9)

2 Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

6 Table 1 – Status of Marine, Coasts and Small Islands Conservation Areas in

Indonesia (per July 2012)

No. Category Total Area (ha)

A Ministry of Forestry Initiated 32 4,694,947.55

1 Marine National Park 7 4,043,541.30

2 Marine Natural Tourism Park 14 491,248.00

3 Marine Wildlife Reserve 5 5,678.25

4 Marine Nature Reserve 6 154,480.00

B Ministry of Marine Affairs and _{Fisheries Initiated} 76 11,089,181.97

1 Aquatic National Park 1 3,521,130.01

2 Aquatic Nature Reserve 3 445,630.00

3 Aquatic Tourism Park 6 1,541,040.20

4 Aquatic Conservation Area (Regional) 66 5,581,382.76

Total 108 15,784,129.52

To support the above initiative, sustainable management of aquatic, coasts and small islands conservation areas has been made a part of two national strategic targets. First, sustainable conservation has been made one of the key performance indicators for marine and fisheries development. Second, sustainable conservation has been made a priority target of the Millennium Development Goals to help support fair development, as referred to in Presidential Instruction 3/2010 concerning Fair Development.

The indicators for sustainable management of marine conservation areas are interpreted to mean management that pays heed to principles of utilization and management that guarantee availability and sustainability though the continuous maintenance and improvement of the quality and biodiversity of existing resources. To measure sustainable management, indicators of the achievement of conservation area management have been established. The parameters used is the decree that reserves the area, management agencies, management plans, institutional strengthening (partners, networks and human resources), and management initiatives, management infrastructure and facilities. Management effectiveness is categorized into five stages, based on the above parameters: stage 1 (red) – the area has been reserved; stage 2 (yellow) – stage 1 + management agency formed; stage 3 (green) – stage 2 + institutional strengthening, infrastructure and core management; stage 4 (blue) – stage 3 + optimal management of conservation area; and stage 5 (gold) – stage 4 + sustainable funding mechanism (decree, contribution from non-governmental organizations).

These guidelines were developed as a manual to evaluate the effectiveness of sustainable management of individual conservation areas, using the established management indicators.

7 B. Purpose and Objectives

The purpose of developing these technical guidelines for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas is to produce a standard for evaluating the achievement of the sustainable management of a particular conservation area, as referred to in the Minister of Marine Affairs and Fisheries Regulations Number PER.17/MEN/2008 concerning Conservation Areas of Coasts and Small Islands, Number PER.02/MEN/2009 concerning Procedure for Establishing Aquatic Conservation Areas, and Number PER.30/MEN/2010 concerning Aquatic Conservation Area Management and Zoning Plans.

The objectives of the Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas are as follows: (1)To provide an instrument that can be used by policy makers at the national level to evaluate the performance of all aquatic, coasts and small islands conservation areas in Indonesia, and to set priorities for the effective management of these areas;

(2)To provide an instrument that can be used by managers and stakeholders for planning activities to improve management performance; and

(3)To provide an instrument that can be used by managers and stakeholders for evaluating the performance or level of management of a particular area.

C. Scope

The scope of these Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas includes national (macro) evaluation and site (micro) evaluation. The materials covered by the evaluation include management, conservation/resources, and socio-economic and cultural aspects that are relevant to management of conservation areas. Some relevant examples are shown in Table 2.

(10)

4 Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

8 Table 2 – Strategies and Activity Programs included in the governance, area

resources, and socio-economic and cultural aspects of the management of a conservation area

Aspect Strategies and Activity Programs Management Human resource development

Institutional management Infrastructure capacity building

Development of community

organizations/institutions Development of partnerships

Establishing an aquatic conservation area network Developing a sustainable funding system

Monitoring and evaluation

Area resources Protecting fish habitats and populations Rehabilitating fish habitats and populations Research and development

Use of fish resources

Eco tourism and environmental services Surveillance and control

Monitoring and evaluation Socio-economic &

cultural Community socio-economic development Community empowerment Preservation of culture and traditions Monitoring and evaluation

D. Organization of the Technical Guidelines

This manual for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas contains procedures or standards for evaluating the performance of the sustainable management of a particular aquatic conservation area. Following is an outline of the content of each chapter:

 Chapter I – Introduction, including background, purpose and objectives, scope, and organization of the technical guidelines.

 Chapter II – Theoretical framework for Effectiveness of the Management of Aquatic, Coasts and Small Islands Conservation Areas, including an overview of the management effectiveness of aquatic, coasts and small islands conservation areas, which will act as the benchmark for the management, area resources, and socio-economic and cultural aspects, and implementation of the management of an aquatic conservation area by a management organization unit (national or local government) as a form of social responsibility to the public.

 Chapter III – Method for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas, which is a process for determining the effectiveness (outcomes) and impacts of activity programs against targets that will be achieved systematically and objectively. This evaluation seeks to explain why the outcomes, effects and impacts of activities are achieved or not. And whether the activities are effective, as targeted.

9  Chapter IV – Reporting, or the findings of the evaluation of the management effectiveness of aquatic, coasts and small islands conservation areas based on the data collected and analyzed, and follow-up recommendations for the management of conservation areas. Reporting is done periodically and at various levels, or as needed.

 Chapter V – Recommendations and Follow Up, contains the recommendations and follow up for managers to implement in order to achieve an effective level of management.

 Chapter VI – Conclusion.

LIST OF ABBREVIATIONS AND TERMS

Below are some of the common abbreviations and terms used in these guidelines for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas:

E-KKP3K: Efektivitas Pengelolaan Kawasan Konservasi Perairan, Pesisir dan Pulau-Pulau Kecil (Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas)

Evaluation: a process for determining the relevance, efficiency, effectiveness and impacts of program activities against targets that are to be achieved systematically and objectively. This evaluation seeks to explain why the outputs, effects and impacts of activities are achieved or not.

Reporting: a key activity in development processes. Reporting is done to provide relevant and accurate data/information quickly to stakeholders as material for decision making in keeping with existing conditions, and for making relevant policies. Reporting is carried out regularly and at various levels.

Level Red: or stage 1 (conservation area initiated), and the area has been reserved by decree.

Level Yellow: or stage 2 (conservation area established) – stage 1 + management agency formed and management plan prepared.

Level Green: or stage 3 (conservation area managed minimally) – stage 2 + organizational strengthening and core management activities.

Level Blue: or stage 4 (conservation area managed optimally) – stage 3 + management of the conservation area running effectively.

Level Gold: or stage 5 (self-reliant conservation area) – stage 4 + sustainable funding mechanism (by decree, contributions from non-governmental organizations).

IKU KKP: Indikator Kinerja Utama Pembangunan Kelautan dan Perikanan (Marine and Fisheries Development Key Performance Indicators)

(11)

6 Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

10 CHAPTER II

THEORETICAL FRAMEWORK A. Background

Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas or E-KKP3K is a method of evaluating the management effectiveness of aquatic, coasts and small islands conservation areas that indicates the level or degree to which management of a conservation area has had a positive impact on the area’s biophysical resources and on the socio-economic and cultural aspects of the local community, which contributes to improving management performance.

On this basis, therefore, all management activities carried out, as well as having their own targets, must also have conservation and socio-economic and cultural targets, the achievement or outcomes of which are a logical consequence of an effective management activity.

E-KKP3K tools can be used to conduct an evaluation of the management effectiveness of conservation areas, including aquatic, coasts and small islands conservation areas in Indonesia. At the macro level, E-KKP3K tools are used by the Ministry of Marine Affairs and Fisheries to get a spatial view of the overall management effectiveness of all aquatic conservation areas in Indonesia; while at the micro level, these tools are used to self-evaluate the effectiveness of the management of a particular aquatic conservation area and to make plans to improve its management performance.

Table 3 – Criteria used for evaluating the management effectiveness of aquatic, coasts and small islands conservation areas at the macro level

Level/Stage Criteria Number of _Questions

Red

(1) Conservation Area Initiated

1. Initiative proposal

8 2. Area identification and inventory 3. Reservation of conservation _area

Yellow

(2) Conservation Area Established

4. Management organizational unit _{and personnel}

11 5. Management and zoning plans

6. Facilities and infrastructure to _{support management} 7. Management funding support

Green

(3) Conservation Area Managed Minimally

8. Approval of management and _{zoning plans}

21 9. Management standard operating _{procedures (SOPs)}

10. Implementation of management _{and zoning plans} 11. Designation of Aquatic _{Conservation Area}

Blue

(4) Conservation Area Managed Optimally

12. Setting area markers

28 13. Institutionalization

14. Resource management 15. Socio-economic and cultural _management Gold

(5) Self-Reliant Conservation Area

16. Improving community welfare

6 17. Sustainable financing

11 B. Literature Background to the Development of the Technical Guidelines

Conceptually, the development of these technical guidelines was based on available literature (Hockings et al., 2000, 2006; Pomeroy et al., 2004; Staub & Hatziolos, 2004; White et al., 2006; Carter et al., 2010), in which evaluation of management effectiveness is seen as a way of evaluating one or several activities related to the management cycle of a conservation area, i.e. an overall evaluation of the inputs, processes, outputs, outcomes and impacts. Also, all stages of the development of these technical guidelines made reference to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 concerning the Procedure for Establishing Aquatic Conservation Areas, Number PER.30/MEN/2010 concerning Aquatic Conservation Area Management and Zoning Plans, and Number PER.17/MEN/2008 concerning Conservation Areas of Coasts and Small Islands. Based on analysis of these regulations, in general the stages of effective management of conservation areas are:

(1)Conservation area is initiated; (2) Conservation area is established; (3) Conservation area is managed minimally; (4) Conservation area is managed optimally; and

(5) Conservation area is managed effectively and is fully functional (self-reliant) The combination of the above explains why there is little difference in the level of management between the proposed, which reflect more the maturity stage of a conservation area than an evaluation of the performance of each component in the management cycle, although in principle, the theoretical framework used does refer to Hockings et al. (2000, 2006). As will become apparent in the succeeding sub-chapters, use of this approach does make it easier to evaluate the progress towards effective management. Also, this ranking also roughly reflects the chronology of the management cycle. According to Kapos et al. (2008, 2009), management effectiveness can be equated with the outcomes of management intervention, which means that a conservation area will be deemed not effective as long the processes undertaken are limited to inputs, processes and outputs.

In the management of a conservation area, three interconnected principles must be considered: the area resources, the local socio-economic and cultural aspects, and the management aspect itself. These principles are shown in Figure 1.

(12)

8 Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

12 Figure 1 – The basic principles of evaluating the management effectiveness

of aquatic, coasts and small islands conservation areas

In their use, E-KKP3K tools adopt the principles as defined above, whereby the area resources and the local socio-economic and cultural aspects are a function of management. Thus, management initiatives and their effectiveness are a precondition for achieving the outcomes and impacts on the area resources and the socio-economic and cultural aspects of the local community, which means to be effective, management must be verified by these other two aspects. For example, enforcing the rules of a conservation area is a management activity, the effectiveness of which is indicated by an improvement in the condition of the area resources and reduced pressure on these resources as a result of positive support to the management of the area. Furthermore, there should be positive interconnection and verification between the area resources and socio-economic and cultural aspects as a further indicator of the effectiveness of the management of a conservation area. C. Legal Basis

Law 5/1990 concerning Conservation of Biological Resources and their Ecosystems. Law 5/1994 concerning Ratification of the United Nations Convention on Biodiversity.

Law 31/2004 concerning Fisheries as amended by Law 45/2009 concerning Amendments to Law 31/2004 concerning Fisheries.

Law 32/2004 concerning Regional Governments as amended by Law 12/2008 concerning Amendments to Law 32/2004 concerning Regional Governments. Law 26/2007 concerning Spatial Planning.

Law 27/2007 concerning Management of Coasts and Small Islands Areas.

Government Regulation 39/2006 concerning Procedures for Monitoring and Evaluating Implementation of Development Plans.

Government Regulation 60/2007 concerning Conservation of Fish Resources.

Management

Social-economic

& cultural

Area resources

13 Government Regulation 26/2008 concerning Spatial Plans for National Areas. Presidential Regulation 24/2010 concerning the Position, Tasks and Functions of State Ministries and the Organizational Structure, Duties and Functions of State Ministry Echelon I Personnel as amended by Government Regulation 92/2011 concerning the Second Amendment to Presidential Regulation 24/2010 concerning the Position, Tasks and Functions of State Ministries and the Organizational Structure, Duties and Functions of State Ministry Echelon I Personnel.

Minister of Marine Affairs and Fisheries Regulation Number PER.17/MEN/2008 concerning Conservation Areas of Coasts and Small Islands.

Minister of Marine Affairs and Fisheries Regulation Number 23/2011 concerning the Second Amendment to the Minister of Marine Affairs and Fisheries Regulation 22/2008 concerning the Organization and Work Procedures of Technical Implementing Units for the Management of Coasts and Marine Resources. Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009 concerning Procedure for Establishing Aquatic Conservation Areas.

Minister of Marine Affairs and Fisheries Regulation Number PER.15/MEN/2010 concerning the Organization and Work Procedures of the Ministry of Marine Affairs and Fisheries.

Minister of Marine Affairs and Fisheries Regulation Number PER.30/MEN/2010 concerning Aquatic Conservation Area Management and Zoning Plans.

Convention of Biological Diversity Conference of the Parties to Decision X/31 on Protected Areas (Nagoya, 18-29 October 2010), Point B. Issues that need greater attention, Article 3 (Management Effectiveness) and Article 5 (marine protected areas, MPAs).

(13)

10 Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

14 CHAPTERIII

METHOD OF EVALUATING THE MANAGEMENT EFFECTIVENESS OF AQUATIC, COASTS AND SMALL ISLANDS CONSERVATION AREAS

A. General

The E-KKP3K technical guidelines are used not only for the evaluation of management performance, but also for self-evaluation, to generate constructive input for conservation area planning in order to improve management effectiveness. B. Implementer

Evaluations using the E-KKP3K technical guidelines are carried out by a team of evaluators, with members as required. This team can consist of:

1. National government; 2. Local government; and 3.Independent evaluators.

At the macro level, the evaluation team is appointed by government based on their key tasks and functions. At the micro level, the evaluation team will depend on needs: (1) for internal and planning needs, and (2) for external needs with the participation of stakeholders.

For internal and planning needs, all team members come from the conservation area concerned, and include the head and management of the area and the planners. For external needs, the stakeholders in the evaluation team include representatives of the conservation area management team (for example the head and planners), and direct stakeholders such as representatives of fishers, tourism businesses, private companies, and universities. If necessary, the conservation area management team may appoint an independent team to conduct the evaluation. C. Timing

Based on the fact that E-KKP3K tools are used to evaluate the stage and level of management, evaluations should be performed periodically over a set period of time. These evaluations are useful for planning to improve the management performance of a conservation area, so that each process at each stage of E-KKP3K management can be quickly achieved.

For management levels 1 (red) and 2 (yellow), annual evaluations until all processes at management level 2 (yellow) have been completed are recommended. For levels 3 (green) and 4 (blue), evaluations can be performed once every two to four years, with evaluations every two years strongly recommended to promote completion of all processes at level 3 (green) and/or some of the processes at level 4 (blue). For management level 5 (gold), evaluations every five years are recommended.

15 D. Evaluation Tools and Methods

D1: Evaluation Tools

The E-KKP3K technical guidelines are a tool designed to evaluate the performance and the management effectiveness of conservation areas in terms of their expected outcomes on institutional, area resources, and socio-economic and cultural aspects.

The evaluations are performed with the help of software to measure and determine the stage or level of management of a conservation area. Supplementing this software is a manual and appendices that can be used by the team conducting the evaluation. The software automatically calculates the management stage of a conservation area. The criteria are explained towards the end of the following section (D2: Evaluation Method).

It should be emphasized that the software can be used only when all the data and information collection steps as described in D2: Evaluation Method have been completed. This is because the final result – the management stage or level – obtained by using the software must be accompanied by recommendations to improve management performance.

An explanation/description of each stage in the E-KKP3K technical guidelines is presented in pages 16 to 35 of this document.

(14)

nic

uid

eli

s f

ati

e M

t E

ffe

cti

f A

ati

sts

all

s C

ati

-K

)

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

16 Description of each level/stage

Level Stage

Red 1: Conservation Area _Initiated

CRITERIA NO. QUESTION _YesANSWER _No VERIFICATION TOOL REMARKS

1: Initiative proposal

Proposal to initiate establishment of the conservation area

submitted by (select one) List of proposers, if more than one.

User must attach initiative proposal documents as referred to in Article 9 clause (2) of the Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009.

Self-explanatory. User is asked to choose one from a list of proposers. Where there is more than one proposer, just select the main proposer and list the other proposers in the verification column. In cases where the area has already been identified/ reserved, the answer to this question is taken to be ‘Yes’. M1 Individual

Community group Research institute Educational institute Government organization NGO

17 Level RED: stage 1 – conservation area initiated (continued)

CRITERIA NO. QUESTION _YesANSWER _No VERIFICATION TOOL REMARKS

1: Initiative proposal

Proposal to initiate establishment of the conservation area

is submitted to: (select one) Documents as referred to in Article 11 clause (2) of the

Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009.

Self-explanatory. User selects ‘Yes’ to answer this question if the proposal is as referred to in Article 11 clauses (1) and (2) of the Minister of Marine Affairs and Fisheries Regulation Number 02/2009. User must select ‘No’ for question M2b. In cases where the area has already been identified/ reserved, the answer to this question is taken to be ‘Yes’.

M2a National government or local

government without preliminary survey and map.

M2b National government or local

government with preliminary survey and map.

Documents as referred to in Article 10 of the Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009.

Self-explanatory. User selects ‘Yes’ to answer this question if the proposal is as referred to in Article 10 clauses (1), (2) and (3) of the Minister of Marine Affairs and Fisheries Regulation Number 02/2009. User must select ‘No’ for question M2a. In cases where the area has already been identified/ reserved, the answer to this question is taken to be ‘Yes’.

(15)

nic

uid

eli

s f

ati

e M

t E

ffe

cti

f A

ati

sts

all

s C

ati

-K

)

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

18 Level RED: stage 1 – conservation area initiated (continued)

CRITERIA NO. QUESTION _YesANSWER _No VERIFICATION TOOL REMARKS

2. Area identification and inventory

M3 Has a survey and evaluation of the proposed area been carried out pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Study reports pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008.

Self-explanatory.

M4 Has socialization of the proposed area been carried out pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Socialization reports pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008.

Self-explanatory.

M5 Have public consultations regarding the proposed conservation area been carried out pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Public consultation reports pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008.

Self-explanatory.

M6 Has coordination with relevant government agencies regarding the proposed conservation area been carried out pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Coordination reports pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008.

Self-explanatory.

M7 Have the results of identification and inventory been used to recommend the proposed conservation area pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Recommendation for the proposed conservation area pursuant to Article 19 of the Minister of Marine Affairs and Fisheries Regulation Number PER.02/MEN/2009 and/or Article 15 of Regulation Number PER.17/MEN/2008.

Self-explanatory.

19 Level RED: stage 1 – conservation area initiated (continued)

CRITERIA NO. QUESTION _YesANSWER _No VERIFICATION TOOL REMARKS

3. Reservation of

conservation area

M8a Has the area been reserved, but not pursuant to the Minister of Marine Affairs and Fisheries Regulations Number

PER.02/MEN/2009 and/or PER.17/MEN/2008?

Decree/regulation, that will need to be revised accordingly (refer to Article 20 clause (2) of the Minister of Marine Affairs and Fisheries Regulation Number 02/2009).

Self-explanatory. Areas are generally reserved by decree/regulation.

M8b Has the area been reserved, pursuant to the Minister of Marine Affairs and Fisheries Regulations Number PER.02/MEN/2009 and/or PER.17/MEN/2008?

Decree/regulation reserving the

area. Self-explanatory. Areas are generally reserved

by decree/regulation.

Total number of ‘Yes’ answers Percentage

(1)

52

nic

uid

eli

s f

ati

e M

t E

ffe

cti

f A

ati

sts

all

s C

ati

-K

)

52

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

56 Level

Stage

Blue

4: Conservation Area Managed Optimally

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

4. Management

organizational

unit and

personnel

B41

Do personnel in the

management unit have

qualifications in the required

management competencies?

Documents and/or reports

relevant to management

personnel capacity (planning,

monitoring & evaluation,

surveillance, research, resources

and socio-economic and cultural

monitoring). Training certificates

and/or diplomas as proof of

qualifications.

Self-explanatory

5. Facilities and

infrastructure to

support

management

B42

Are the required facilities and

infrastructure in place?

Reports and physical checks.

Self-explanatory

6. Management

funding

support

B43

Is management funding

support available as planned?

Activity implementation and

funding source reports.

Response to this question

refers to the budget

requirement per question

H27.

9. Management

standard

operating

procedures

(SOPs)

B44

Are there training and

education SOPs in place?

Training and education SOP

documents.

Self-explanatory.

B45

Are the SOPs on aquatic

tourism activities in place?

Eco-tourism SOP documents.

Self-explanatory.

B46

Are there SOPs on aquaculture

in place?

Aquaculture SOP documents.

Self-explanatory.

B47

Are there SOPs on fishing in

place?

Fishing SOP documents.

Self-explanatory.

57 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

11. Designation of

Aquatic

Conservation Area

B48

Has designation of the

conservation area been

publicized?

Reports of socialization activities,

including attendance lists and

photographs of activities.

Self-explanatory.

12. Boundary

marking

B49

What is the status of the boundary marking?

_{- Boundary marking initiated.}

Decree of boundary marking committee as per Article 24 of Regulation of the Minister of Marine Affairs and Fisheries Number PER.02/MEN/2009.

Self-explanatory.

- Boundary marking in

progress.

Activity reports (measuring, mapping and socialization).

Self-explanatory.

- Boundary marking approved.

Notification of boundary marking

established by Decree of the Minister of Marine Affairs & Fisheries.

Self-explanatory.

13. Institu-tionalization

B50

Have partnerships with

stakeholders been agreed?

Activity coordination reports, agree-ments, joint programs, and similar.

Self-explanatory.

B51

Have partnerships with stakeholders been implemented?

Self-explanatory. Users

should choose one of

the options provided.

No

Yes, but incidental.

Activity reports.

Self-explanatory.

Partnerships are

temporary or incidental.

Yes, sustainable

partnerships.

Activity reports.

Self-explanatory.

Partnerships

(2)

nic

uid

eli

s f

ati

e M

t E

ffe

cti

f A

ati

sts

all

s C

ati

-K

)

54

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

55

58 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

13. Institutionaliz

ation

B52

Has strengthening of local

institutions been

implemented?

Activity

reports,

technical

assistance, guidance, training,

extension.

Self-explanatory.

B53

What is the status of

enforcement of rules

(monitoring & surveillance) in

the conservation area by the

management unit?

Self-explanatory.

Users should select

one of the options

provided.

Rules are not enforced.

Self-explanatory.

Rules are consistently

enforced.

Regulation socialization reports;

information boards; surveillance

reports.

Self-explanatory.

B54

What is the status of

community based surveillance

in the conservation area?

Self-explanatory.

Users should select

one of the options

provided.

Not done.

Self-explanatory.

Initiated and in progress

(organization & system).

Documents (reports of activities

and formation of community

surveillance group).

Self-explanatory.

Regular surveillance carried

out.

Documents (reports of community

surveillance activities).

Self-explanatory.

59 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

13. Institutionaliz

ation

B55

Is the conservation area

mentioned in the National

Medium-Term Development

Plan / National Government

Strategic Plan and/or the Local

Medium-Term Development

Plan / Local Government

Strategic Plan?

National Medium-Term

Plan/National Government

Strategic Plan; Local Medium-Term

Development Plan / Local

Government Strategic Plan

documents.

Self-explanatory.

B56

Is the conservation area

mentioned in the Area Zoning

Plan / Coasts and Small

Islands Area Zoning Plan?

Self-explanatory.

Users should select

one of the options

provided.

No

Self-explanatory.

In the process of being

brought into line with the

nomenclature of current

regulations

Activity documents/reports.

Self-explanatory.

In the process of being

designated by local

regulation

Activity documents/reports.

Self-explanatory.

Yes, the conservation area

is mentioned in the Area

Zoning Plan / Coasts and

Small Islands Area Zoning

Plan

Area Zoning Plan / Coasts and

Small Islands Area Zoning Plan

documents.

(3)

56

nic

uid

eli

s f

ati

e M

t E

ffe

cti

f A

ati

sts

all

s C

ati

-K

)

56

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

60 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

14. Resource

Management

B57

What is the condition of fish resource habitats in the conservation area?

Self-explanatory.

B57A

Has there been improvement to the condition of habitats in the core zone, sustainable fishing zone, use zone, restricted use zone, and/or other zones, as indicated for example by an increase in the coverage of coral reef ecosystems and/or seagrass meadow and/or mangrove forest?

Baseline condition (t

) in each

zone compared with the results of

monitoring of fish resource

habitats in these zones (should

refer to temporal progression

data).

Self-explanatory.

B57B

Has there been improvement to the condition of habitats in the core zone, sustainable fisheries zone, use zone, restricted use zone, and/or other zones, as indicated for example by an increase in the area of coral reef ecosystems and/or seagrass meadow and/or mangrove forest?

Baseline condition (t

) in each

zone compared with the results of

monitoring of fish resource

habitats in these zones (should

refer to temporal progression

data).

Self-explanatory.

B57C

Has the physical-chemical-geological quality of the waters in the core zone, sustainable fisheries zone, use zone, restricted use zone, and/or other zones been maintained/ preserved?

Baseline condition (t

) in each

zone compared with the results of

monitoring of fish resource

habitats in these zones (should

refer to temporal progression

data).

Self-explanatory.

61 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

4. Resource

Management

B58

What is the condition of fish populations or non-fish target species populations in the conservation area?

Self-explanatory. Users should select one from the options B58A to B58F that is most relevant to the situation and type of area.

B58A

Have fish populations been

maintained or increased in the core zone, sustainable fisheries zone, and use zone?

Fish population monitoring reports for conservation targets (including biomass, number of fish species, abundance, diversity).

Self-explanatory.

B58B

Has the quality (length and weight) of dominant fish species in the core zone, sustainable fisheries zone, use zone and/or restricted use zone (capture fisheries) been maintained or improved?

Quality (length/weight) monitoring

reports of fish in these zones. Self-explanatory.

B58C

Has the volume of fishers’ catches in the sustainable fisheries zone/restricted use zone been maintained or improved?

Monitoring reports on the volume of fishers’ catches (total biomass per number of fishers per unit/time period).

Self-explanatory.

B58D

Have fisher production volumes in the sustainable fisheries zone/ restricted use zone (aquaculture) been maintained or improved?

Monitoring reports on aquaculture production volumes (biomass per number of fishers per unit/time period).

Self-explanatory.

B58E

Have the number and diversity of non-fish target species in the core zone, sustainable use zone and/or restricted use zone been maintained or increased?

Monitoring reports on number and

diversity of non-fish target species. Self-explanatory.

B58F

Have populations of endemic species

(4)

58

Technical Guidelines For Evaluating The Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K)

59

62 CRITERIA

NO.

QUESTION

_Yes

_No

VERIFICATION TOOL

REMARKS

14. Resource

Management

B59

Has research and development

relevant to the area been

carried out to support

management activities?

Published research & development

documents.

Self-explanatory.

B60

Is use of the area’s resources

organized, without having a

negative impact on

habitats/populations in the area?

Analysis of resource use reports

and habitat/population monitoring

reports.

Self-explanatory.

15. Socio-economic &

cultural

management

B61

Does management of the

conservation area

accommodate local traditional

and cultural conditions and/or

local knowledge?

Reports of interviews with

indigenous peoples.

Self-explanatory.

B62

Has the level of community

support for management of

the conservation area

increased?

Report of monitoring of local

community perceptions (which

indicate increased community

awareness of and action that

supports conservation area

management).

Self-explanatory.

B63

Has community participation in

management of the

conservation area increased?

Report of conservation area

management activities (that

indicate community representation

and participation in all

management processes, or

community participation in

implementing programs that are

relevant to the community.

Self-explanatory.

63 Level BLUE: stage 4

–

conservation area managed optimally (continued)

CRITERIA

NO.

QUESTION

_Yes

ANSWER

_No

VERIFICATION TOOL

REMARKS

15. Socio-economic &

cultural

management

B64

Has the incidence of breaches in the conservation area

decreased?

Patrol reports containing data about illegal and environmental unfriendly activities, and the number of habitats damaged in the conservation area (time series reports), community patrol reports.

Self-explanatory.

B65

Do stakeholders use the conservation area as a place for training and education?

Reports on training and education

in the conservation area.

Self-explanatory.

B66

Do tourism activities in the

conservation area provide socio-economic benefits to

stakeholders, particularly the local community?

Impact analysis of tourism

activities in the conservation area.

Self-explanatory.

B67

Do aquaculture activities in the conservation area provide socio-economic benefits to

stakeholders, particularly the local community?

Impact analysis of aquaculture

activities in the conservation area.

Self-explanatory.

B68

Do capture fisheries activities in the conservation area provide socio-economic benefits to stakeholders, particularly the local community?

Impact analysis of capture

fisheries in the conservation area.

Self-explanatory.

Total n

umber of ‘Yes’ answers

Percentage

(5)

60

ca l G ui de lin es fo r Ev al ua tin g th e M an ag em en t E ffe ct iv en es s of A qu at ic , C oa st s an d S m al l I sl an ds C on se rv at io n A re as ( E-K K P 3K )

61

64 Le

ve

l

Sta

ge

G

old

5:

S

el

f S

us

ta

in

g Co

ns

er

va

tio

n

Ar

ea

C

RI

TE

R

IA

N

O

.

Q

U

ES

TI

O

N

A

N

S

W

ER

VERI

FI

C

A

TI

O

N

T

O

L

RE

MA

RK

S

Yes

N

o

sti

tuti

onal

iz

ion

E69

Are p ar tn ers hip s w ith st ak eh old er s prog re ss in g w ell an d ha vin g a po si tiv e im pa ct ? Ac tiv ity a nd m on ito rin g re po rt s, a nd in de pe nde nt s tu dy re po rt s th at in di ca te a po sit iv e im pa ct fr om p ar tn er sh ips .

Sel

f-exp

la

nat

or

y.

I

m

p

ro

vi

n

g

m

u

n

ity

lfar

e

E70

Is m an ag em en t ha vin g a po sit iv e im pa ct o n m an ag em en t perf or m an ce? In dep en de nt s tu dy rep ort s th at in di ca te m an ag em en t ac tiv iti es h av e a po si tiv e im pa ct o n th e are a’ s res ou rc es , a nd o n so ci al an d ec on om ic a sp ec ts ( in clu di ng m an ag em en t org an iz at io n) .

Sel

f-exp

la

nat

or

y.

E71

H av e in co m es ( pu rc ha si ng po w er) in cre as ed a s an im pa ct of m an ag em en t? Su rv eill an ce rep ort s/ in dep en den t ev alu at io ns , s ta tis tic s ag en cy d at a.

Sel

f-exp

la

nat

or

y.

E72

H as ec on om ic a ct iv ity in c or e sec to rs in t he co ns erv at io n ar ea (fis herie s/ to uri sm ) in cre as ed ? Su rv eill an ce rep ort s/ in dep en den t ev alu at io ns , s ta tis tic s ag en cy d at a.

Sel

f-exp

la

nat

or

y.

E73

H av e in crea sed loc al in co m es rais ed p ub lic a w are nes s of t he nee d to s up po rt c on serv at io n of th e area ’s re so urc es ? Su rv eill an ce rep ort s/ in dep en den t ev alu at io ns .

Sel

f-exp

la

nat

or

y.

u

sta

in

ab

le

n

d

in

g

E74

H av e ac tiv iti es c ar rie d ou t be en a pa rt o f a s us ta in ab le fu nd in g sy st em th at e ng age s st ak eh ol de rs ? Ac tiv ity rep or ts a nd fi na nc ial rep ort s.

Sel

f-exp

la

nat

or

y.

Tot

al

n

um

ber

of

‘Y

es

’ an

sw

er

s

Per

cen

e

REfERENCES

Carter, E., Soemodinoto, A. & White, A. (2011).

Guide for Improving Marine Protected Area

Management Effectiveness in Indonesia. Bali: The Nature Conservancy Indonesia

Marine Program, xi + 49 pp.

Convention of Biological Diversity Conference of the Parties 10 Decision X/31 on Protected

Areas (Nagoya, 18–29 October 2010), Point B. Issues that need greater attention,

Article 3 (Management Effectiveness) and Article 5 (marine protected areas, MPAs).

Available at http://www.cbd.int/decision/cop/?id=12297.

Hockings, M., Stolton, S. & Dudley, N. (2000).

Evaluating Effectiveness: A Framework for

Assessing the Management of Protected Areas. Gland, Switzerland & Cambridge, UK:

IUCN (The World Conservation Union), x + 121 pp.

Hockings, M., Stolton, S., Leverington, F., Dudley, N. & Courrau, J. (2006).

Evaluating

Effectiveness: A Framework for Assessing Management Effectiveness of Protected

Areas, second edition. Gland, Switzerland & Cambridge, UK: IUCN (The World

Conservation Union), xiv +105 pp.

Kapos, V., Balmford, A., Aveling, R., Bubb, P., Carey, P., Entwistle, A., Hopkins, J., Mulliken, T.,

Safford, R., Statterield, A., Walpole, M. & Manica, A. (2008). Calibrating conservation:

new tools for measuring success. Conservation Letters, 1: 155–164.

Kapos, V., Balmford, A., Aveling, R., Bubb, P., Carey, P., Entwistle, A., Hopkins, J., Mulliken,

T., Safford, R., Stattersield, A., Walpole, M. & Manica, A. (2009). Outcomes, not

implementation, predict conservation success. Oryx, 43(3): 336–342.

Pomeroy, R.S., Parks, J.E. & Watson, L.M. (2004).

How is Your MPA Doing? A Guidebook

of Natural and Social Indicators for Evaluating Marine Protected Area Management

Effectiveness. Gland, Switzerland & Cambridge, UK: IUCN (The World Conservation

Union), xvi + 216 pp.

Staub, F. & Hatziolos, M.E. (2004). Score Card to Assess Progress in Achieving Management

Effectiveness Goals for Marine Protected Areas. Washington, DC: The World Bank, 30

pp.

UNEP-WCMC (2008). National and Regional Networks of Marine Protected Areas: A Review of

Progress. Cambridge: UNEP-WCMC.

White, A., Poririo, A. & Meneses, A. (2006). Creating and Managing Marine Protected Areas in

the Philippines. Cebu City, Philippines: Fisheries Improved Sustainable Harvest Project,

Coastal Conservation and Education Foundation, Inc., and University of the Philippines

Marine Science Institute, viii + 83 pp.

(6)

62

Technical Guidelines for Evaluating the Management Effectiveness of Aquatic, Coasts and Small Islands Conservation Areas (E-KKP3K) Te

l G

lin

tin

t E

ffe

, C

l I

(

E-K

)

MINISTRY OF MARINE AFFAIRS AND FISHERIES

DIRECTORATE GENERAL OF MARINE, COASTS AND SMALL ISLANDS DIRECTORATE FOR CONSERVATION OF AREA AND FISH SPECIES Jl. Medan Merdeka Timur No. 16, Gedung Mina Bahari III, Lt. 10, Jakarta Pusat 10110