Sustainable Financing: PAN Funds and Endowments

First, each jurisdiction developed sustainable finance plans, including financing targets, strategies, and the creation of Protected Area Network (PAN) Funds. For example, Palau created a Green Fee, and FSM and RMI are working on Tuna Licensing Fee legislation and a tourism fee to support sustainable financing of the Micronesia Challenge. Pohnpei and Kosrae State are creating PAN funds and are evaluating an amendment to the airport tax law to allow some of the departure fees to go into the FSM's Micronesia Challenge Endowment Fund. Additionally, several other sustainable financing schemes have been and/or are being set up (i.e. the Yela Conservation Easement Endowment, the Awak Sustainable Community Development Revolving Fund, the Nett Water Fund). An endowment for the MC is another important component to sustainable financing. Interest income from an endowment of approximately $56 million ($17 million as of 2015) will be needed to supplement local sources for the long-term sustainability of the MC in all five jurisdictions. Although the endowment funds are invested together, each jurisdiction has their own sub-account and will develop their own dissemination mechanisms for their interest income.

  • The Micronesia Conservation Trust (founded 2002) had structure and relationships in place prior to receiving funds, which was a key component to project success. Past success with pass-through grants helped build credibility.
  • The Endowment was seeded with over $11 million from the Global Environment Facility, The Nature Conservancy (TNC), and Conservation International, and leveraged additional resources from the countries.
  • Innovative financing ideas are being developed in each of the five jurisdictions and at the community level
  • Regional conservation trusts can be a powerful mechanism for building capacity and creating a hub for regional networks and partnerships, and MCT has served as a model for other regional funds, such as the Caribbean Biodiversity Fund (CBF) established in 2012.
  • The Micronesia Challenge incentivizes longer-term planning, because criteria such as establishing management plans are required before tapping into the endowment funds.
  • Innovative financing mechanisms developed in one jurisdiction or by one community can be replicated and scaled in other places, because the Micronesia Challenge encourages sharing of information to achieve a regional goal.
Engaging politicians and champions throughout the planning

It is important to engage the key political players from the start of the planning process rather than wait until nearer the completion of any such process. Soon after the start of the GBR planning process, a formal ‘Leader’s Guide’ was delivered to all State and federal politicians along the GBR coast and wherever possible, personal briefings were undertaken by senior GBRMPA staff. This helped ensure all politicians had the correct information, had extra materials to give to their constituents and had a contact within GBRMPA if further information was required. While some decision-makers would prefer all planning decisions to be consensus-based, or achieve a ‘win-win’ for all concerned, neither consensus nor ‘win-wins’ are achievable goals for stakeholder processes dealing with issues of such magnitude and complexity as most MPA planning processes. In the GBR, it was important to explain to politicians early in the planning process that compromises were the expected outcomes. At the end of the GBR rezoning, no one stakeholder group felt they got exactly what they wanted; but every group knew they had ample opportunities to become engaged and to provide input – and most understood the compromises all sectors had made.

The formal ‘Leader’s Guide’ delivered to all politicians along the GBR coast ensured they had the best available information and a person to contact within GBRMPA for further information. Maintaining contact with the key political players throughout the planning process was also invaluable and paid dividends when the final plan was presented to parliament. The use of telephone polling (outlined in Building Block 2) was invaluable to demonstrate the wider public views to politicians.

  1. Do not raise false expectations with stakeholders or politicians as to the likely outcomes.
  2. Consensus and ‘win-wins’ for all those concerned in MPA planning processes are unlikely to be achievable goals when dealing with issues of such magnitude and/or complexity.
  3. The timelines favoured by politicians are often not compatible with comprehensive planning processes.
  4. Compromise is essential – but recognise that this is considered by some to be winners and losers.
  5. The use of ‘Champions’ (e.g. sporting heroes, national identities) to endorse the planning process or deliver key messages is helpful to raise the planning profile.
  6. At the end of the day, almost all planning processes are political, and whether planners like it or not, there will be political compromises imposed at the end of the process – how much your political masters are aware of the issues, the implications of the recommended plan and the full range of public views will help them make the best possible decisions.
Targeted educational material

Throughout the GBR planning program, targeted educational material was prepared and widely distributed. For example the map of the 70 bioregions across the GBR was a key foundational document upon which a lot of subsequent public engagement was based. The preparation of Technical Information Sheets (see below) helped to explain concepts like ‘biodiversity’ in layman’s terms as many people did not understand what it was nor its importance. Similarly trying to explain the importance of ‘connectivity’ in the marine environment was greatly enhanced by a poster entitled ‘Crossing the Blue Highway’ (see Photos below). It used a combination of digital art, photos and words to explain the importance of connectivity between the land and the sea, and within habitats of the GBR - this reinforced the need for the ‘representative’ approach to the zoning. Different stakeholder groups have differing interests so the communication messages were appropriately tailored by experts who understood the sectors e.g. what was presented to fishers was different to how a very similar message was presented to researchers or to politicians.

Having experts within the planning team who understood the issues facing the key sectors proved invaluable:

  • For ‘tailoring’ key messages (e.g. an ex-fisheries manager really understood the concerns of all types of fishers; an ex-tourism employee knew what was important for tourist operators; Indigenous persons in the team helped engagement with Indigenous groups).
  • Having a good understanding of each industry was also reassuring for those who felt their livelihoods might be affected.
  1. Many stakeholders initially were misinformed about the key issues and what could, or should, be done.
  2. People needed to understand there was a problem before accepting that a solution was required and that new zoning was necessary.
  3. It is essential to tailor key messages for different target audiences – a blend of technical and layman’s information was produced and made widely available.
  4. Having experts on the planning team who could tailor information relevant to the various stakeholder sectors was critical.
  5. The rezoning was not about managing fisheries, but rather about protecting all biodiversity.
  6. The use of graphics to explain complex issues like ‘connectivity between habitats’, or the legal definition of ‘a hook’, proved invaluable to educate a range of audiences.
  7. Some elements of how GBRMPA undertook public participation/education were more successful than others (e.g. minimising public meetings whenever possible), so learn from other’s experience.
Ongoing/continuing public engagement during the planning

The GBR legislation mandates 2 formal phases of public engagement when planning – one seeking input prior to developing a draft plan, and the second to provide comments on that draft plan. However previous planning processes in the GBR demonstrated that public engagement was more effective if undertaken throughout the process. This included the preparation of various brochures, technical information sheets (some tailored for different target audiences), periodic updates (see Resources below) and graphics explaining concepts like connectivity. Throughout the planning process (1999-2003) the public were engaged by a variety of methods e.g. newspapers, radio, TV, the website (refer Resources below). Planners knew a revised plan was needed. However, communication experts pointed out that the wider public did not understand why a new zoning plan was needed when there already was an existing plan. Rather than progressing the new draft plan, communications experts advised the planners to pull back for several months to conduct an awareness campaign called “Under Pressure”. Once the public were more aware of the problems facing the GBR, they were more accepting of the need for a new plan but also understood they could have their say.

The supporting role of experts in public education and communications was critical throughout the planning program. These specialists are experts in public engagement, so their perspective on a number of issues (e.g. ensuring the public understood the problems facing the GBR and why a new plan was necessary) was invaluable during the GBR process. Keeping the public informed and on-side using a range of methods were key components for success before, during and after the planning program.

  1. Public engagement was more effective when undertaken throughout the planning process.
  2. The ‘Under Pressure’ campaign was successful in raising public awareness as to why a new plan was needed.
  3. The support from communications experts throughout the planning program is invaluable.
  4. The periodic updates were useful to keep the public informed of progress between the formal engagement periods.
  5. The media can be a great/influential ally – or a potent opponent. Work closely with all forms of local media so they get to know you and how you work.
  6. A trained media spokesperson in your team who knows both the topic and how to present well is important.
  7. Expect that some media will be critical or opposed to what you are doing – and be prepared to counter those views with clear and concise messages.
  8. Keep a running list of all meetings/engagement events and the numbers present – politicians are usually interested to see how many people you have engaged.
Correcting misinformation and unrealistic expectations

During any planning exercise, some key messages or information may become deliberately (or inadvertently) distorted or mis-represented by those who are opposed to the process. Many people believe everything they hear (without always checking the accuracy) and are also suspicious of any changes proposed by bureaucrats. Every time these concerns are passed onto others, they are embellished, leading to distortions from the original facts. Furthermore some stakeholders selectively quote from ‘research’ when it suits their concerns whilst ignoring evidence with a contrary position. Some stakeholders have unrealistic expectations and do not understand what is possible, or impossible, as part of the planning process. Unless this misinformation is addressed, the public may only hear the distorted or unclear messages which may then become reinforced by others with similar perspectives. Such misinformation, and the consequent fear and uncertainty, resulted in some of the largest public meetings during the GBR planning process. To counter some of these problems and address unrealistic expectations, GBRMPA produced a fact sheet titled ‘Correcting the mis-information’ - this was widely distributed, especially at large public meetings.

During the rezoning, the scientific experts were unable to provide 100% certainty. They did, however, provide a strong scientific consensus for the recommended levels of protection based on theoretical and empirical evidence. In doing so, they also took into consideration:

  • the national and international expectations associated with managing the GBR, the world’s largest coral reef ecosystem; and
  • international experience and opinion advocating increased protection of the world’s oceans.
  1. Many stakeholders were initially misinformed about what were the key issues and pressures and what was needed to address them.
  2. People needed to understand: there was a problem with biodiversity before they would accept that a solution was required (i.e. a new zoning plan was needed); that the rezoning was not about managing fisheries, but about protecting all biodiversity; to focus on the problem (protecting biodiversity) rather than on what the consequences might mean (i.e. reduced fishing areas).
  3. Be prepared to refute contrary claims and correct misinformation, irrespective of whether it is due to a misunderstanding or deliberate mischievous behaviour – and address it as soon as possible (leaving misinformation out in the community just exacerbates the issue).
  4. A lack of perfect data or lack of 100% scientific certainty may sometimes be given as reasons to delay progress or to do nothing; but if you wait for ‘perfect’ data, then nothing will ever happen.
    Assessing the views of those who don’t want to get involved

    It should not be assumed that all those who have an interest in an area or the planning process will necessarily provide a written submission. Around 1 million people live adjacent to the GBR and many millions of people elsewhere in Australia and internationally are concerned for the future of the GBR. However the 31,600 written public submissions represented only a small proportion of all those concerned citizens (noting many individual submissions were prepared on behalf of groups representing many hundreds of members). At many public events during the planning or in the media, it was a small ‘noisy minority’ who dominated the discussions. Different techniques were therefore applied to determine the views of the ‘silent majority’, many of whom were interested or concerned but did not bother to write a public submission. This included commissioning telephone polling of major population centres elsewhere in Australia to determine the ‘real’ level of the wider public understanding and support. In addition, community attitudes and awareness were monitored through public surveys. These showed that many stakeholders were misinformed about the key issues/pressures and what could, or should, be done to address their concerns.

    Telephone polling in major population centres around Australia is an approach used by political parties for political purposes. The same polling companies who undertake these surveys were used in the rezoning, with the planners working closely with them to determine the most useful questions. The results helped politicians to understand the wider public perspective, not just the noisy minority or the media reports. Community attitudes were also monitored through public surveys.

    1. Don’t ignore those stakeholders who choose to remain silent.
    2. Remember that politicians are usually more interested in what the wider community thinks than just those who send submissions.
    3. Recognise the ‘noisy minority’ usually does not represent the silent majority comprising all those with an interest in the future of the MPA.
    4. Public meetings are often dominated by a few – ways are needed to allow wider concerns to also be heard.
    5. Some stakeholders ‘leave it to others’ to send a submission – either because they think everything is fine, or else they believe changes are unlikely and so are not motivated to act.
    6. Telephone polling of the wider public or internet surveys can determine the real level of understanding and support.
    7. Tailor your key messages for different target audiences (take a strategic approach).
    8. Monitor wider community attitudes and awareness through media analysis, via the internet (e.g. Survey Monkey) or face-to-face interviews or surveys.
    Written public submissions during the planning

    Given that GBRMPA had previously never received so many public submissions (> 10,190 in the 1st phase and 21,500 in the 2nd phase commenting on the draft zoning plan), the following multi-stage process was used to analyse all the submissions:

    1. Contact details from each submission were recorded in a database, a unique identification number was assigned, and an acknowledgment card was sent to whoever made the submission.
    2. All submissions were individually scanned and the electronic files were saved into an Oracle submissions database.
    3. Trained GBRMPA staff analysed each submission using a coding framework consisting of keywords for a range of themes and attributes. The framework was developed from a stratified random sample of submissions based on place of origin and sector. The database linked the scanned PDF with the relevant contact details and analytical information (i.e. keywords)
    4. A search and retrieve ability based on the keywords enabled planners to search and retrieve PDFs of specific submissions or to run various queries of all the information in the submissions.
    5. Many submissions involved spatial information, including some 5,800 maps in the formal submission phases; these maps were digitized or scanned.

    The legislation outlines a comprehensive process for community participation in the planning process. The fact that the locals were ‘familiar’ with two phases of public participation and written submissions from previous experiences with GBR planning processes did assist this most recent planning process. Many groups assisted by submitting joint submissions. Consistency of analysis across the analytical team was ensured by the team leader checking a sample of the analysed submissions.

    1. The analysis method must consider the substance of submissions rather than the number of times a comment is made. The submission process is not a numbers game but more about the quality of any argument that is made.
    2. In the first public phase, many open questions on the submission form led to long rambling answers; these proved hard to code, as were the large maps that were also distributed.
    3. The 2nd phase was more effective as a simple two page A3 size submission form asked more specific questions. Not everyone used the submission form, but it did make scanning and coding easier.
    4. Many pro-forma submissions were received; easy to code but not helpful.
    5. Linking spatial information with a qualitative coding system in the GIS was important.
    6. Coding was based on seven key themes and a range of sub-themes, allowing a detailed analysis of each submission and all information provided.
    7. Public feedback is important to demonstrate that all comments were considered.
    Post training monitoring of progress and feedback
    The monitoring of the interpretive efforts over time is essential as it provides continued reinforcement that the interpretation is working. Furthermore, it also acts as an opportunity for the operators to come together and discuss openly challenges faced, challenges overcome and success stories they have enjoyed. Learning from each other is the best possible feedback and having a facilitated opportunity to do this makes it realistic and beneficial to the overall effort of protecting the marine resources. The Kenya Wildlife Service (KWS) took on the responsibility of monitoring the interpretive efforts. The KWS was able to oversee a few meetings with various operators to discuss progress but sadly the monitoring momentum slowed down after the initial meetings.
    Having regular meetings is essential. Do not assume that since the interpretive efforts are working well 2 weeks after the workshop that they will continue to do so for many more weeks thereafter. Continual reinforcement is a necessity.
    In this particular solution the feedback sessions were appointed to a third party. Sadly this third party did not uphold their commitment to host these feedback sessions and as a result the interpretive efforts gradually reduced over time. When the same workshop was conducted in another Kenyan marine park efforts were made to maintain these feedback sessions and as a result interpretive efforts worked better over the long run.
    Community data collection and participatory analysis

    This building block relates to the ownership and in situ analysis of collected monitoring data. At the pilot site, four village school-leavers were recruited and trained to record data on octopus catches at each of two landing sites. Training was given in weighing and measuring the catch of 30 fishers/day over the 16 main fishing days of the lunar month (spring tides). Data books were then submitted monthly to the data logger; a local school teacher who was trained in excel using a laptop computer. Project leaders kept in regular contact with data recorders and the results were checked to identify problems at an early stage. After 8 months of recording, two parameters were chosen by which to examine the results of the exercise with the recording team: total catch per fishing period for both landing sites, and average size of octopus per fishing period. Recorders were shown how to make bar-charts to display the results. A detailed discussion with project leaders explored what the data and trends might suggest. The data recorders then visited the headquarters of the Department for Fisheries Development and presented their results. An ensuing discussion explored the implications for management and any changes suggested.

    • Members of the community that can read and write in order to be able to make written records of catch data
    • Buyers who are amenable to their catch being weighed and recorded at the landing site
    • A community member who can be trained to log data on a laptop
    • Regular support and interest in the work of the data recorders by project leaders
    • A supporting partner/project leader who can facilitate simple analysis of data collected in a participatory manner
    • Data recorders need a thorough understanding of the data to be collected and of the importance of correct recordings. (People’s exact names and ages, as well as the time spent fishing are important so that fishing effort can be calculated for instance).
    • Regular logging and checking of data is crucial so that mistakes or misunderstandings can be picked up early and corrected accordingly (use of a restricted entry form (macro) helps minimize errors).
    • Participatory analysis of data needs to be given adequate time and kept at a level that is easily assimilated and presented.
    • Participatory analysis of data gives the data recorders and the Village Fisheries Committee pride and confidence in their work and raises their standing with Fisheries Department officers. It also gives them evidence/references for discussion of future management options with the community.
    Critical reflection and review
    Reflection and review gives room to an evaluation of the learning and change that has occurred and the contributing factors. It is an essential part of the process to ensure that learning continues. Engaging in a critical reflection and review of the changes that have happened enables dissonance borders to be stretched and for participants to acknowledge mistakes and successes and to be able to determine the reasons why. Through engaging in a reflexive practice, new influences and pressures were also considered as benefits and or constraints. These then informed subsequent actions.
    Synthesizing information, creating space for knowledge learning and sharing of experiences to understand and change outcomes from local people’s perspectives. Understanding the different roles and responsibilities has proven to strengthen relationships necessary for sustainable prosperity of interactions locally and globally.
    Lesson learning has been a priority from the outset and the project adopted a participatory action framework for its evaluation. A range of data collection methods was used, ranging from informal discussions and focus groups to photo-voice exercises. As the data and lessons learned were through a collaborative process, so the shift toward sustainable change outcomes was also collaborative, highlighting the importance of shared learning and importance of creating space for a deliberative dialogue between different participants. This reflexive approach ensures those lessons are continually learned collaboratively and that sustainable change and adaptation become synonymous.