THE CONTRIBUTIONS OF MARINE AND COASTAL AREA-BASED MANAGEMENT APPROACHES TO SUSTAINABLE DEVELOPMENT GOALS AND TARGETS Supplementary Annex

UN ENVIRONMENT REGIONAL SEAS REPORTS AND STUDIES NO. 205 Contents

Introduction ...... 3 Case Study 1. Area of Particular Environmental Interest: Clarion-Clipperton Zone Areas of Particular Environmental Interest, Mid Pacific ...... 6 Case Study 2. Fisheries Closure and Conservation Area: Lyme Bay Reserve, United Kingdom ...... 16 Case Study 3. Integrated Coastal Zone Management: Coastal and Marine Spatial Planning in Belize ... 24 Case Study 4. Integrated Coastal Zone Management: Patagonian Coastal Zone Management Plan, Argentina ...... 33 Case Study 5. Integrated Coastal Zone Management: Mediterranean Integrated Coastal Zone Management Protocol ...... 43 Case Study 6. Large Marine Ecosystem: Bay of Bengal Large Marine Ecosystem Project (BOBLME)..... 54 Case Study 7. Locally Managed Marine Area: Madagascar Locally Managed Marine Area Network (MIHARI) ...... 67 Case Study 8. Marine Protected Area: Black Sea MPA Network, Black Sea (Romania and Bulgaria) ...... 78 Case Study 9. Marine Protected Area: Caribbean Specially Protected Areas and Wildlife Protocol ...... 87 Case Study 10. Marine Protected Area: Florida Keys National Marine Sanctuary, U.S.A (Florida) ...... 96 Case Study 11. Marine Protected Area: Nha Trang Bay Marine Protected Area ...... 108 Case Study 12. Marine Protected Area System: Coral Triangle Marine Protected Area System ...... 115 Case Study 13. Marine Protected Area Network: Raja Ampat Marine Protected Area Network, Indonesia ...... 131 Case Study 14. Marine Protected Area Network: Red Sea and Gulf of Aden Regional Marine Protected Area Network...... 140 Case Study 15. Marine Spatial Planning: Marine Bioregional Planning, Australia ...... 150 Case Study 16. Marine Spatial Planning: Pacific North Coast Integrated Management Area (PNCIMA) ...... 160 Case Study 17. Marine Spatial Planning: Marine Spatial Planning in Portugal ...... 178 Case Study 18. MARPOL Emission Control Area: MARPOL North American Emission Control Area, North Atlantic ...... 187 Case Study 19. MARPOL Special Area – Sewage: Baltic Sea Special Areas for Sewage ...... 193 Case Study 20. Particularly Sensitive Sea Area: Galapagos Archipelago Particularly Sensitive Sea Area, Ecuador ...... 199 Case Study 21. Particularly Sensitive Sea Area: Wadden Sea Particularly Sensitive Sea Area, Netherlands ...... 205 Case Study 22. Ridge to Reef: Kubulau District Ridge to Reef, Fiji ...... 212 Case Study 23. Ridge to Reef: Grenada Ridge to Reef Programme...... 225 Case Study 24. Ridge to Reef through community based management: Nansei Shoto Ecoregion Ridge to Reef, Japan ...... 237 Case Study 25. Vulnerable Marine Ecosystem: Mid Atlantic Vulnerable Marine Ecosystem, North-East Atlantic ...... 247

Introduction

What are area-based management approaches? An area-based management approach enables the application of management measures to a specific area to achieve a desired policy outcome. A wide variety of area-based management approaches exist, each with their own purpose, mandate and authority. Some tools are focused on managing individual activities in a specific area, such as fisheries closure areas, pollution management zones, and seabed mining exclusion areas. Other approaches, such as marine spatial planning and integrated coastal zone management, seek to coordinate several types of activity in the same area. Regulation of activities may be required to support blue growth and sustainable development, conservation of critical habitats such as coral reefs or marine features such as seamounts, and to align with provisions or requirements set out in national or regional policies and legislation.

Area-based management approaches have been recognised as a useful mechanism for working towards the sustainable use of marine and coastal resources. As such, the use of specific area-based management approaches in marine and coastal zones has been defined by a number of global and regional agreements, and the commitment to use them has been reiterated in many international processes, including the 2030 Agenda for Sustainable Development. The 2030 Agenda stimulates national and regional action towards sustainable development through the creation of 17 Sustainable Development Goals and 169 associated Targets. Area-based management tools can provide an integrated approach to sustainable development as they can address economic, social and environmental matters through the considerate and balanced management of marine and coastal activities.

Aim The aim of this work is to review how area-based management approaches can be implemented effectively in order to contribute towards the delivery of Sustainable Development Goals and associated Targets. The review is based on a detailed examination of different types of area-based management approaches, represented in this study by twenty-five examples from around the world (Table 1). Within the review, enabling conditions and barriers that support or inhibit the contribution of area-based management approaches to Sustainable Development Goals are identified. In addition, the influence of other factors such as scale, sectoral focus and policy drivers on contributions is explored.

Methodology This documents provides information for each of the twenty-five case studies, including both factual information on the approach design and implementation, and analytical information identifying the extent to which various approach attributes have influenced approach implementation. *Please note that Area- Based Management Tools (ABMT) is the terminology used in the case studies. However, in the accompanying Technical Report, the word “tool” has been replaced with “approach” to encompass cross- sectoral and broader scale approaches.

To collect information, a literature review was undertaken for each of the twenty-five case studies. Information was collected using a variety of sources, including peer-reviewed literature, grey literature, annual reports, published action plans, policy documents and online articles. Case studies were then sent to relevant experts and practitioners for external review and have been updated in accordance with reviewer feedback. Case studies for which external review has not been possible are indicated in Table 1.

As noted above, this document contains information for twenty-five case studies and the structure of this document is such that each case study is numbered and comprises four sections:

. Factual information: this section provides a factual description of various components of the case study. For example, components such as, inter alia, the type of approach, region, institutional framework and data collection. Information in this section provides a factual basis for case study analysis in the following section. . Case Study Assessment: case studies have been assessed against a series of key questions to generate reflective and analytical answers that provide insight into how various approach attributes and external circumstances influence the application and implementation of the area-based management approach. . SDG policy Analysis: this section sets out 45 ocean-related Targets across 10 different ocean- related Sustainable Development Goals. For each case study, evidence of tool contributions to a particular target is provided. In cases where an approach is still in its infancy, tangible contributions to Sustainable Development Goals may not have occurred yet, and so the information included provides an indication of the potential contributions of that tool to a particular target. . References: this section provides a list of references from which information has been gathered and included in the case study.

Table 1: List of area-based management approach case studies. Case studies for which external review has not been possible are denoted with (*).

No. Area-based management approach Case Study Location 1. Area of Particular Environmental Interest Clarion-Clipperton Zone Areas of Particular Environmental Mid Pacific Interest* 2. Fisheries closure and conservation area Lyme Bay Reserve* United Kingdom 3. Integrated Coastal Zone Management Coastal and Marine Spatial Planning in Belize Belize 4. Integrated Coastal Zone Management Patagonian Coastal Zone Management Plan Argentina 5. Integrated Coastal Zone Management Mediterranean Integrated Coastal Zone Management Mediterranean Protocol 6. Large Marine Ecosystem Bay of Bengal Large Marine Ecosystem Project (BOBLME) Bay of Bengal 7. Locally Managed Marine Area Madagascar Locally Managed Marine Area Network Madagascar (MIHARI) 8. Marine Protected Area Black Sea MPA network* Black Sea (Romania & Bulgaria) 9. Marine Protected Area Caribbean Specially Protected Areas and Wildlife Protocol Caribbean 10. Marine Protected Area Florida Keys National Marine Sanctuary* U.S.A (Florida) 11. Marine Protected Area Nha Trang Bay Marine Protected Area Viet Nam 12. Marine Protected Area System Coral Triangle Marine Protected Area System Coral Triangle 13. Marine Protected Area Network Raja Ampat Marine Protected Area Network Indonesia 14. Marine Protected Area Network Red Sea and Gulf of Aden Regional Marine Protected Area Red Sea - Gulf of Aden Network* 15. Marine Spatial Planning Marine Bioregional Planning Australia 16. Marine Spatial Planning Pacific North Coast Integrated Management Area Canada - Pacific North coast (PNCIMA) 17. Marine Spatial Planning Marine Spatial Planning in Portugal Portugal 18. MARPOL Emission Control Area MARPOL North American Emission Control Area North Atlantic 19. MARPOL Special Area - Sewage Baltic Sea Special Areas for Sewage* Baltic Sea 20. Particularly Sensitive Sea Area Galapagos Archipelago Particularly Sensitive Sea Area Galapagos (Ecuador) 21. Particularly Sensitive Sea Area Wadden Sea Particularly Sensitive Sea Area* Wadden Sea (Netherlands) 22. Ridge to Reef Kubulau District Ridge to Reef Fiji 23. Ridge to Reef Grenada Ridge to Reef Programme Grenada 24. Ridge to Reef through community based Nansei Shoto Ecoregion Ridge to Reef Japan management 25. Vulnerable Marine Ecosystem Mid-Atlantic Vulnerable Marine Ecosystem North East Atlantic

Case Study 1. Area of Particular Environmental Interest: Clarion-Clipperton Zone Areas of Particular Environmental Interest, Mid Pacific

Facts about the case study Case-specific entries Tool Area of Particular Environmental Interest (APEI) Region Pacific: North East/North West (Mid) Implementation status The Clarion-Clipperton Zone Environmental Management Plan (EMP) (CCZ-EMP) was adopted in 2012 and implemented over 3 years. [1] In 2012, the Council of the International Seabed Authority (ISA) adopted the Clarion-Clipperton Zone Environmental Management Plan (CCZ- Governance EMP) which designates the network of APEIs. [2] Mechanisms The ISA was established under the 1982 United Nations Convention on the Law of the Sea (UNCLOS) and the 1994 UNCLOS Agreement to organise and control activities on the seabed, ocean floor and subsoil in areas beyond national jurisdiction. United Nations Convention on the Law of the Sea (UNCLOS) (1982) and Part XI UNCLOS Agreement (1994) What is the legal basis of the ABMT? Decision of the Council relating to an environmental management plan for the Clarion-Clipperton Zone (Decision ISBA/18/C/22, July 2012) - which led to the adoption of the CCZ-EMP Is there government APEIs occur in Areas Beyond National Jurisdiction, where no single government has control. The work that the ISA does, in identifying APEIs, support for the ABMT? is mandated under UNCLOS indicating that parties to UNCLOS support the process. The CCZ is managed by the International Seabed Authority (ISA) - a global organisation with a dedicated mandate to regulate deep seabed What is the institutional mining and mineral resource use in the Area, with a specific focus on environmental protection. framework of the ABMT? The Legal and Technical Commission of the ISA is responsible for making recommendations on the protection of the marine environment and for the review of rules, regulations and procedures, such as the designation of APEIs and the appropriateness of their locations. [1] What type of organisation is the Lead The CCZ is managed by the International Seabed Authority (ISA), an autonomous international organisation established under UNCLOS. Entity? Under UNCLOS, States parties have a general obligation to protect and preserve the marine environment, which encompasses the responsibilities to prevent, reduce and control pollution and other hazards that may interfere with the ecological balance of the marine What policies are being environment ( a192, [4]) implemented by the

ABMT? APEIs designated under the CCZ-EMP support ISA and UNCLOS policies to prevent, reduce and control pollution of the marine environment from activities in the Area, and to protect and conserve the natural resources of the Area.

The EMP applies to the entire CCZ, but sets out different operational and management objectives for Contractor Areas and APEIs. The What are the primary overarching vision of the International Seabed Authority is of a sustainably exploited Clarion-Clipperton Zone that preserves representative and goals / objectives of the unique marine habitats and species (Part 3, par 32, [1]). ABMT?

The plan sets out various goals (Part IV), including: (a) to facilitate the exploitation of seabed mineral resources in an environmentally responsible manner... and protecting the marine environment; (b) to contribute to the achievement of the management goals and targets set forth in the Plan of Implementation of the World Summit on Sustainable Development...; (d) manage the Clarion-Clipperton Zone consistent with the principles of integrated ecosystem-based management.[1]

Strategic aims of the plan include: - to ensure environmentally responsible seabed mining within the Clarion-Clipperton Zone; - to enable effective protection of the marine environment from activities related to seabed mining; - to protect and conserve the natural resources of the Area; and - reduce impacts on the biota of the marine environment.

Operational objectives for APEIs (Part VI(C), par 39, [1]) include: (a) Protect biodiversity and ecosystem structure and function by a system of representative seafloor areas closed to mining activities; (b) Include a wide range of the habitat types present in the Clarion-Clipperton Zone; (c) Establish an APEI system to avoid overlap with the current distribution of claimant and reserve area; (d) Provide a degree of certainty to existing and prospective contractors by laying out the location of areas closed to mining activities. The only management measure set out in the CCZ-EMP is the closure of some areas that are representative of the full range of habitats and biodiversity (APEIs) to potential mining activities. These areas are to avoid overlap with existing contractor and reserve areas. However, there What are the are no other specific management measures noted for APEIs under the CCZ-EMP. management measures associated with the There are however a number of other features of the plan that facilitate management and the achievement of objectives. The design of the ABMT? management plan divides the CCZ into three east-west and three north-south strata for conservation management because of the strong productivity-driven gradients in ecosystem structure and function, yielding 9 sub regions, each of which requires the designation of an APEI (Part II, par.24, [1]). APEIs designated by the ISA are sector-specific tools aimed at protecting representative and unique environments from the adverse impacts of deep seabed mining, including pollution and other hazards, and therefore do not apply to other sectors.

Does the ABMT involve However, the management objectives set out in the EMP indicate a need for cross-sectoral communication with "competent agencies cross sectoral responsible for the management of the water column" to notify them of the ISA's management goals for APEIs (Part VII, par.43(e), [1]). This is cooperation? further supported by the requirement for the Legal and Technical Commission (LTC) of the ISA to encourage competent intergovernmental organisations to adopt compatible measures for other activities that may affect biodiversity or the environment in APEIs (e.g. fishing, shipping, ocean dumping) (Part VII, par 43(f), [1]). Which SDGs do the management measures 12.2, 12.4, 14.1, 14.2, 14.5, 14.7, 14c support? The CCZ-EMP does not explicitly note an ecosystems approach, but supports the protection and preservation of deep sea ecosystems based Does the AMBT process on a diversity gradient, sub-region approach. The network of protected areas was designed with the following in mind: follow an ecosystem - the network of protected areas should capture the full range of habitats and communities in the CCZ. Nine CCZ sub-regions allow for approach? biogeographic representation (based on three north-south and three east west strata, reflecting strong productivity-driven gradients): hence representative reserves in each. - Each protected area should be large enough to maintain minimum viable population sizes for species potentially restricted to a sub-region.

In addition, one of the strategic aims noted within the EMP is to "manage the Clarion-Clipperton Zone consistent with the principles of integrated ecosystem-based management." (Part IV, par 35(d), [1]). This implies that management should also include the water column, which would require cross-sectoral collaboration. The design of APEIs utilizes geological, oceanographic and biological proxy data based on previous International Seabed Authority workshops and reports, as well as the peer-reviewed scientific literature and experience of international experts in deep-sea biology (Part II (C), par 26, [1]). The designation of APEIs and their locations are based on recommendations made using environmental data from the Kaplan Project (2002- 2007), which undertook to assess levels of biodiversity, species range and gene flow in the abyssal nodule provinces [3]. One of the operational objectives for the entire CCZ is to establish periodically updated environmental baseline data for the region, including for APEIs (Part VI, par, Does the ABMT process 37(a), [1]). However, there is nothing within the plan indicating how this will be achieved for APEIs, as contractors are only required to collect incorporate data and data for their contractor area. evidence? The EMP sets out a priority action to establish environmental databases using contractors' and selected external data sources. The data that has been collected for the CCZ by contractors will be standardised and used to review the biogeography of the CCZ and APEIs (Part X, par. 47, [1]). In line with this, contractors are required to provide environmental data for their contractor area on an annual basis. They are also required to provide inclusions of the required impact and preservation reference zones for ensuring preservation and facilitating monitoring of biological communities, within their EMPs. What type of data was used in the ABMT See above: geological, oceanographic and biological proxy data development process? Does the ABMT process Due to the remoteness of the area and the single sector nature of the designation, stakeholder engagement in the APEI process is limited. One include stakeholder instance in which engagement does occur is the involvement of marine scientists and marine reserve management experts in the engagement? identification and review of APEI designations. Does the ABMT use There is no specific mention of the use of spatial analysis within the EMP. However, it is noted that the process for determining potential large- spatial and/or scenario scale areas for preservation was a scientifically-driven process which relied on “well-established methods to document patterns of biodiversity, analysis to support habitat distribution, [and] other critical physical attributes” (CCZ-EMP Review, 2014, p.5). decisions? What decision-support tools were used to No information was found. support the planning process? The CCZ is an extensive region located in the Eastern central Pacific, to the south and south-east of the Hawaiian Islands, covering an area approximately 4.5x106 km2. What is the spatial focus of the ABMT? The 9 APEIs designated under the CCZ-EMP are 400x400km2 in size, with an APEI located in each of the 9 defined biogeographic sub-regions [1]. These areas consist of a 200 x 200km core area, which is surrounded by a buffer zone 100 km in width on each side [1]. The total size of the area designated as APEIs is 160,000 km2, which equates to around 24% of the CCZ management area under protection [5]. At what scale is the The CCZ-EMP is a regional-scale environmental management plan for the deep seabed in the Clarion-Clipperton Zone, which is located in areas ABMT process beyond national jurisdiction. implemented? The implementation of a network of APEIs has occurred over a 3 year period. However, there is no specified timeframe set out in the EMP and What is the timeframe APEIs will be reviewed periodically using best-available scientific information and data to ensure that location and size are appropriate (CCZ- focused on for the EMP Decision, 2012, par.1). management measures? Decision ISBA/18/C/22 states that for a period of at least 5 years (since the decision) or until further review by the L&T Commission, no application for exploration right should be granted in the APEIs (CCZ-EMP Decision, 2012, par.6). The EMP is subject to a periodic external review by the legal and technical commission (every 2 -5 years, as required) and updated at least 2 years in advance of the end of the plan. A review was conducted in 2014 by Seascape Consultants and the last review of the EMP was conducted in 2016 by the ISA Legal and Technical Commission.

Does the ABMT include The Legal & Technical Commission of the ISA are responsible for reviewing APEIs in light of best available scientific information to determine an evaluation their suitability or need for amendment, e.g. the location, size, or overlap potential (Part VII, par.42). This is proposed to occur via workshops framework, and if so, and meetings at regular intervals, the first of which is suggested to occur 2 years after the implementation of the APEI network (Part VII, what is the framework? par.43, [1]).

Contractors are required to provide environmental data about their license areas to the Authority annually, however, there are no mechanisms for data collection in APEIs, as contractors are not obliged to conduct similar surveys in adjacent or nearby APEIs. Thus it is difficult to evaluate the suitability of the location of APEIs. Contractors with exploration licences are required to report the results of their monitoring programmes within their contracted area, e.g. the impacts of mining activities upon biological seabed communities. However, at present, there are no monitoring programmes in APEIs and contractors are not obliged to conduct surveys within APEIs (Johnson, 2015).

Does the ABMT include When making recommendations, the LTC is required to consider suitable monitoring mechanisms for assessing the achievement of objectives performance for the area, e.g. identify key indicator species. (Part VII, par43 (d), [1]) monitoring, and if so, what is the framework? A key issue highlighted in the 2016 EMP review, that mechanisms for monitoring are required in order to ensure there are no adverse impacts form mining on APEIs and to also assess the effectiveness of APEIs in contributing to environmental goals [7]. In addition, there remain uncertainties regarding how monitoring programmes in APEIs will be financed, who will be responsible for APEI monitoring activities, the frequency of required monitoring and who will be responsible for assessing monitoring results.[8]. What indicators are used in the monitoring No information was found. of the ABMT?

Case Study Assessment Assessment questions Responses Barriers Enablers General obligations under Part XI of UNCLOS (1994) on seabed mining establishes the International UNLCOS to protect and Seabed authority, of which the principal function is to regulate deep preserve the marine seabed mining, ensuring that the marine environment is protected from The fact that APEI environment mean that there harmful effects. The ISA therefore has the authority to designate areas for designations are only legally must be environmental protection and preservation and to implement management measures to binding to countries that are measures put in place for facilitate environmental protection. To what extent does the parties to UNCLOS and related marine activities with Decision ISBA/18/C/22 adopted the recommended environmental legal basis of the ABMT agreements could be a potentially adverse impacts on management plan, to which the signatories of ISA are legally obliged to support the delivery of potential barrier to the the environment, such as deep adhere. [1] the ABMT and effectiveness of APEIs if sea mining. Moreover, UNCLOS In addition, there is a general obligation to protect and preserve the marine associated policies? countries that are not parties and related agreements are environment under UNCLOS (1982). This encompasses responsibilities to to the Convention decided to legally binding for signatory prevent, reduce and control pollution of the marine environment. [4] pursue deep sea mining states. These factors enable the UNCLOS and the 1994 Agreement on mining are legally binding for states activities in the CCZ. designation of areas that are that have signed and ratified these. At the same time, this implies that protected from mining in the APEI designations are not legally binding for countries that are not deep sea beyond national signatories to the Convention. jurisdiction. The limitation of the authority of ISA to the management of The legal status of the ISA It is the responsibility of the ISA to set rules, regulations and procedures deep-sea mining activities To what extent does the under UNCLOS and the 1994 and to implement management measures, including APEIs, based upon alone (the ISA is a Sector- institutional framework Agreement is an enabling recommendations from its Legal and Technical Commission. specific entity and as such associated with the condition, facilitating the they do not have the mandate ABMT support the designation and The ISA obtains its legal authority from UNCLOS and the 1994 Agreement. to regulate other activities) is delivery of the ABMT implementation of management It is one of few globally recognised organisations with a mandate to a barrier to the effective, and associated measures related to deep sea regulate activities occurring within ABNJ, in the case of ISA, specifically cross-sectoral protection of policies? mining in areas beyond national deep sea mining activities. deep sea areas beyond jurisdiction. national jurisdiction through APEIs. The designation of APEIs sets aside areas of the seabed deemed to be The provisional nature of the Provisions to designate APEIs representative of biological diversity, ecosystem functions and habitats APEI designations and short in each of the 9 biogeographical To what extent does the within the CCZ. As such, APEIs act to protect representative seabed areas term review period are sub regions of the CCZ enable ABMT support the from the harmful effects associated with deep seabed mining through the potential barriers for the representative protection of the delivery of marine and prohibition of mining and exploration activities in these areas. effective protection of the biological diversity, ecosystem coastal policies? marine environment as they functions and habitats within Under the CCZ-EMP, an APEI must be designated for each of the 9 do not ensure the long term the CCZ. biogeographical sub regions, regardless of review and relocation. In order protection that would be to be effective, APEI designations would have to extend beyond the period required to mitigate negative of mining to allow for recolonization of the mined areas from adjacent effects of mining. APEIs. The EMP also recognises the need for implementation of APEIs prior to increases in mining claims which may ultimately compromise the A barrier to the effective and ability to develop a scientifically robust network. (Part V, par. 39(a), [1]) comprehensive protection of the marine environment is that However, the current APEIs are only provisional and are subject to review APEIs only preserve areas of to determine if size or location should change. It is also noted in par 6, the seabed, and apply only to Decision ISBA18/C/22, that after 5 years, APEIs may be reviewed to the mining sector, while other consider the potential for exploration within. activities may still take place within the water column A 2014 review of the CCZ-EMP implementation notes that there have been above. various calls for the APEIs to be designated as MPAs (CCZ-EMP Review, 2014). However, in order to function effectively as an MPA, the protection in the APEIs would have to be extended to the water column. The scope and mandate of the ISA pertains only to areas beyond national jurisdiction and due to the remote nature of the CCZ, there is little consideration of ecological connectivity between the CCZ and countries' The limited scope of the ISA's To what extent does the exclusive economic zones or territorial waters. Consequently, APEIs do not mandate and the remoteness ABMT promote promote transboundary cooperation. of the CCZ are barriers to transboundary One area in which the CCZ-EMP does aim to facilitate co-operation is promoting transboundary cooperation? research and better understanding of conditions within the CCZ (part IV, cooperation. (h)). This could refer to co-operation between a number of contractors from different countries. APEIs are single sector designations, designated to protect specific deep sea areas from the impacts associated with deep seabed mining. These areas are only closed to mining activities, including exploration. The water column above is not protected from other activities, such as shipping or While the EMP does recognise The EMP includes a provision fishing, which could potentially damage ecosystems in the APEI via the need for a multi-sectoral specifically pertaining to To what extent does the pollution or waste disposal, or impact the ecological balance of the approach to ensure the engaging with other competent ABMT process ecosystem. There are no provisions within the EMP, or the decision effectiveness of APEIs, the organisations. This could be an emphasise multi-sector adopting the EMP, which require collaboration with other sectors. single sector focus of ISA is a enabling factor that could help engagement? However, the EMP specifically notes the need to communicate with other barrier to multi-sector facilitate a 3D management "competent agencies responsible for the management of the water column" to engagement in the APEI approach for the seabed and encourage the adoption of compatible measures for other activities. This process. water column in APEIs. consideration recognises the need for a holistic multi-sectoral management approach for ensuring APEIs are effective (Part VII, par.43 [1]) Decision ISBA/18/C/22 denotes that the environmental management plan will be applied in a "flexible manner so that it may be improved as more scientific, technical and environmental baseline and resource assessment data are supplied by contractors and other interested bodies" (ISBA/18/C/22, par.2). Regular reviews of the APEIs by the Legal and Technical Commission of ISA allow for new scientific information to be integrated into decisions about relocating and managing APEIs adaptively.

The regular review of APEIs by Guidance for the assessment of possible impacts arising from exploration the Legal and Technical provides the framework needed for adaptive management, imposing a duty To what extent does the Commission of ISA enables the on each Contractor to “take necessary measures to prevent, reduce and ABMT utilise an consideration of new control pollution and other hazards to the marine environment arising from its iterative/adaptive information as it becomes activities in the Area as far as reasonably possible, applying the precautionary process? available. This helps to ensure approach and best environmental practices” (par 1.3, [3]). that the most suitable areas are

set aside as APEIs. The most recent review of the CCZ-EMP was conducted by the Legal and Technical Commission in 2016. The review found that of the 13 measures set out in the plan, only 2 have been implemented thus far: the creation of APEIs and the convening of three workshops on taxonomy [8]. The review concluded that the implementation of the CCZ-EMP requires, in the 18-24 month period following the review, the creation of two additional APEIs, the convening of two workshops on areas effectiveness and future development, and the implementation of a working group of expert consultants [7]. To what extent does the funding/resources of The financial regime for deep sea mining is still being actively reviewed the ABMT support its and considered by the ISA so it is unclear as to how APEIs are financially delivery and associated supported [5]. policies? APEIs are focused only on the protection and preservation of Involvement of contractors and representative deep sea areas from the impacts of seabed mining and The single sector nature of To what extent does experts from science and therefore do not directly require cross-sectoral stakeholder engagement. APEI designations and the stakeholder management in the review of Moreover, due to the location of the CCZ, in areas beyond national remoteness of the CCZ are engagement support the APEIs enables the jurisdiction, there are few stakeholders with which to engage, other than barriers to extensive the effective delivery of identification and designation proponents from the few States with a vested interest in, and the stakeholder engagement in the ABMT and of suitable areas, thus resources to become involved in seabed mining. Consequently, the process of designating associated policies? supporting the effective delivery stakeholder engagement is limited to seabed mining stakeholders and and managing APEIs. of associated policies. occurs primarily through dialogues with existing and potential contractors. Stakeholder engagement, with contractors and other interested bodies, including scientists and marine reserve management experts, mainly occurs to gather new and improved scientific, technical, environmental and resources assessment data becomes available for the review of APEIs. Due to the remote nature of the CCZ, data deficiencies and APEIs are designed using geological, oceanographic and biological proxy issues with data have proved data based on ISA workshops, reports, peer-reviewed scientific literature challenging and need to be and experience of international experts. As such, they are located in areas overcome to review and that are deemed to be representative of the range of biodiversity, habitat further develop the CCZ-EMP. and ecosystem structure and function within each of the 9 biogeographic [3] sub regions in the CCZ.

Contractors only collect data APEIs are currently designated on a provisional basis as it was thought for their own license areas and that they may be improved upon as new scientific data becomes available are not required to carry out in the coming years. The review was to be conducted via a workshop, surveys to establish baseline The design of APEIs is based on however the 2014 Seascape review of the EMP noted that such a conditions within APEIs, which data, allowing for the To what extent did data workshop would not need to be convened until significant data has may undermine their status as determination of biodiversity provision support the become available. [3] 'reference zones'. [5] gradients and designation of delivery of the ABMT? APEIs in biodiverse areas that The paucity of data for the whole CCZ, on which the EMP was based, has Little new information are deemed representative. [1] been identified in the most recent review as an issue to be addressed. It pertaining to the APEIs has has been suggested that this can be improved through the open sharing of become available and as such, contractor-collected data [8]. Despite there being no obligation for a recommendation has not yet contractors to collect data outside of their contract areas, data has been been made by the L&T collected in five APEIs, and in addition, scientific cruises have provided commission. [3] additional data in two APEIs [7]. However, there remain three APEIs for

which no data has been collected [7]. It was also highlighted that, based on The plan is intended to adapt an assessment of existing data, it is not possible to determine as to with an increase in available whether a buffer zone of 100km would be sufficient to avoid plume information, however data impacts on the APEIs. [7] constraints limit the adaptability of the plan.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 12: Ensure sustainable consumption and production patterns

"Establish an APEI system to avoid overlap with the current distribution of claimant and reserve area". [1] Management in such a manner ensures that By 2030, achieve the sustainable management and efficient use of natural 12.2 mining activities and protective measures are distinct from each other, which resources could reduce user conflicts and help to ensure that the impacts of mining activities do not directly impact adjacent preservation areas.

By 2020, achieve the environmentally sound management of chemicals and The mandate of the ISA calls for particular attention to be paid to the need for all wastes throughout their life cycle, in accordance with agreed international 12.4 frameworks, and significantly reduce their release to air, water and soil in protection from the harmful effects of such activities as drilling, dredging, order to minimize their adverse impacts on human health and the excavating, disposing of waste… (par2(a), [1]) environment SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development

Part XI of UNCLOS mandates the ISA to regulate deep seabed mining in order to By 2025, prevent and significantly reduce marine pollution of all kinds, in "prevent, control and reduce pollution and other hazards to the marine 14.1 particular from land-based activities, including marine debris and nutrient environment… and of interference with the ecological balance of the marine pollution environment…" (art.145(a), [6]) Operational objective (management measure) a is to "protect biodiversity and By 2020, sustainably manage and protect marine and coastal ecosystems to ecosystem structure and function by a system of representative seafloor areas avoid significant adverse impacts including by strengthening their resilience, 14.2 closed to mining activities" which acts to protect seabed areas from the adverse and take action for their restoration in order to achieve healthy and impacts associated with deep seabed mining and thus improve resilience productive oceans through reduced human activity. [1] 1. An underpinning design principle of the EMP is for 30-50% of the total management area to be protected in order to protect minimum viable population sizes. APEIs currently protect ~30% of the CCZ, thus contributing to the By 2020, conserve at least 10 per cent of coastal and marine areas, overarching goal of protecting 10% of coastal and marine areas (Expert 14.5 consistent with national and international law and based on the best Workshop on Design of Marine protected areas..., 2007). [4] available scientific information

2. The CCZ management zone has been divided into 9 biogeographic sub- regions, each of which requires the designation of an APEI within. [4] By 2030, increase the economic benefits to Small Island developing States General provision under UNCLOS for equitable sharing of benefits arising from and least developed countries from the sustainable use of marine resources, 14.7 mineral exploitation in the Area, which is common heritage of mankind including through sustainable management of fisheries, aquaculture and (UNCLOS, 140(2)). [6] tourism 1. General obligation under UNCLOS to protect and preserve the marine environment (UNCLOS art. 192) [6] 2. The protection and conservation of the natural resources of the Area and the Enhance the conservation and sustainable use of oceans and their resources prevention of damage to the flora and fauna of the marine environment by implementing international law as reflected in UNCLOS, which provides the 14.c legal framework for the conservation and sustainable use of oceans and their (UNCLOS, Part XI, art.145(b)) [6] resources, as recalled in paragraph 158 of The Future We Want 3.Another design feature of the APEI system is that adjacent APEIs should be in the order of 300-500km apart to leave little gap within and between APEIs to facilitate larval settling within an APEI [4]

Sources and references International Seabed Authority Legal & Technical Commission. 2011. Environmental Management Plan for the Clarion-Clipperton Zone. ISBA/17/LTC/7. 13 July 1 2011. Jamaica International Seabed Authority Council. 2012. Decisions of the Council relating to an environmental management plan for the Clarion-Clipperton Zone. 2 ISBA/18/C/22. 26 July 2012. Jamaica Seascape. 2014. Review of Implementation of the Environmental Management Plan for the Clarion-Clipperton Zone: Report to the International Seabed Authority. 20 3 May 2014 Smith et al. 2007. Areas of Particular Environmental Interest (or "Protected Areas") for Ecosystem Based Management of the Clarion-Clipperton Zone: Rational and Recommendations to the International Seabed Authority. Design Marine Protected Areas for Seamounts and the Abyssal Nodule Province in Pacific High Seas 4 Workshop. 23-26 Oct 2007. Hawaii Johnson, D. & Ferreira, M.A. 2015. ISA Areas of Particular Environmental Interest in the Clarion-Clipperton Fracture Zone. The International Journal of Marine and 5 Coastal Law. 30. 559-574 6 UNCLOS. 1982. United Nations Convention on the Law of the Sea. 7 ISA. 2016. Review of the 8 https://www.isa.org.jm/sites/default/files/files/documents/berlinrep-web.pdf Case Study 2. Fisheries Closure and Conservation Area: Lyme Bay Reserve, United Kingdom

Facts about the case study Case-specific entries Tool Fisheries Closure - Lyme Bay Marine Reserve Region UK Designated under a Statutory Instrument to prevent bottom trawling in 2008, and it is now combined with a candidate Special Area of Implementation status Conservation (cSAC) as of 2010 [2]. The Bay was originally under a voluntary gear conflict resolution agreement which, due to infringements, was requested to be replaced with a Governance statutory measure in 2008. A statutory instrument was put in place for a section of the Bay to prevent damage from bottom trawling gear. Mechanisms Another section of the Bay was designated as a cSAC under the Habitats Directive in 2010, which extended the area where gear was limited on a statutory basis. The Lyme Bay Reserve is designated as a cSAC for the protection of species that are listed under Annex 1 of the EC Habitats Directive 2010, an EU Instrument that is transposed into UK law. The site also features species and habitats that are listed for protection under the Wildlife and What is the legal basis Countryside Act 1981, and the Natural Environment and Rural Communities Act 2006. of the ABMT? Lyme Bay management measures also fall under European fisheries management Technical Measures (EC 850/98 – Technical measures for the conservation of fishery resources) [4] and (EC 1380/2013) the 'Discards Ban' [4]. Yes, the government showed support for the protection of geological and geomorphological features (including reef features) from damaging Is there government bottom trawling gear before it was required to assess this under the Habitats Directive of 2010 [2]. The management authorities include support for the ABMT? Government bodies, who are resourced to support and enforce the management of the area. The institutional framework was developed from a voluntary agreement that was proving to be ineffective, to a binding, legally enforceable instrument. A statutory instrument was requested in 2008, and the implementation of the Habitats Directive in 2010 led to the area being What is the institutional designated under Article 6. IFCAs have the right to establish bylaws, to protect conservation features from activities that may damage them framework of the [3]. ABMT? The Blue Marine Foundation, which sits on the Committee, is working with stakeholders to establish a voluntary framework regarding a limit to the amount of static gear set in the area [4]. Lyme Bay is managed by the Southern and Devon and Severn Inshore Fisheries Conservation Authority (IFCA), who report to Defra, the What type of Department for Environment, Food and Rural Affairs of the UK Government. These local and national government authorities have statutory organisation is the Lead powers to manage the Reserve. The Lyme Bay Fisheries and Conservation Reserve Consultative Committee itself does not have statutory Entity? powers; however, it forms a base for the leadership and management of the area. What policies are being The Lyme Bay Reserve policies concern sustainable fisheries, the protection and restoration of marine biodiversity and the support and growth implemented by the of local fishing livelihoods [1]. ABMT? What are the primary The overarching goal of the Reserve is to encourage collaboration between fishermen and conservationists, to 'implement best practice in goals / objectives of the protecting biodiversity', 'implement best practice in managing fish and shellfish' and 'create long-term benefits for coastal communities around ABMT? the bay' [1]. Management measures vary between gear types. Management actions include: What are the • the spatial restriction of gear according to a license variation management measures • temporal restrictions on fishing associated with the • an increased minimum landing size for brown crab ABMT? • a maximum vessel size restriction • a ban on egg-bearing lobsters [4]. Does the ABMT involve Yes, the management of the cSAC requires cooperation between fishermen, scientists, managers, conservationists and government agencies cross sectoral [4]. cooperation? Which SDGs do the management measures 1.2, 12.1, 12.2, 14.2, 14.4, 14.5, 16.7, 17.7 & 17.16 support? Does the AMBT process The process is centred around the ecosystem approach to management. The management of the area is treated as an interconnected system, follow an ecosystem with both biological and socioeconomic factors being monitored and relevant management applied. approach? The establishment of the Reserve was supported by independent science and evidence. Environmental and fisheries datasets were pooled in a desk-based survey to identify the baseline for the area, and subsequent research gaps have been filled by research teams at Plymouth Does the ABMT process University and the Environmental Defence Fund. A species risk assessment has also been established, identifying the level of risk that incorporate data and different species and habitats of conservation interest in the reserve are facing by different fishing gear types. A fisheries sustainability evidence? assessment has also been carried out using landings data collected by the MMO. Monitoring and evaluation of the effectiveness of the Reserve is ongoing. What type of data was Spatial data was used in the development process; however, subsequent analyses have identified that the 'current fishing activity maps are used in the ABMT broad scale and patchy in detail' [P.38, 4]. development process? Yes. There has been a drive in recent years to increase stakeholder involvement in MPA designation processes [5]. There was some criticism Does the ABMT process of the effectiveness of the stakeholder engagement process that was required for the implementation of the Statutory Instrument in 2008 [5]. include stakeholder Socioeconomic factors are not legally required to be taken into consideration in the cSAC process, therefore stakeholders were not consulted engagement? at that stage. Stakeholders are involved in the ongoing management of the Bay, attending a Working Group [6] to help achieve the biological and socioeconomic objectives of the Reserve. Does the ABMT use A Habitat Risk Assessment was carried out by Marine Planning Consultants, 2014, to assess the impact of different fishing gear types on the spatial and/or scenario conservation features of the cSAC. This assessment culminated in the production of a matrix that was used to inform management actions in analysis to support the Bay. decisions? What decision-support tools were used to Risk assessment concerning the impact of fishing activity on the conservation features of interest was conducted using a matrix. support the planning process? What is the spatial The spatial focus of the Lyme Bay cSAC is the marine area within UK Territorial Waters that covers the reefs stretching from Chesil Beach in focus of the ABMT? Dorset to Beer in Devon [1]. It covers more than 60 square miles. At what scale is the The Lyme Bay cSAC is a local-scale designation that forms part of a national network of marine protected areas. Negotiations regarding its ABMT process designation and ongoing management activities are led by Devon and Dorset county authorities. National Government authorities and implemented? independent scientific research institutions are also involved in the ongoing management of the cSAC. What is the timeframe focused on for the The Reserve has been established without a fixed end date and can therefore be considered a long-term measure. The management strategies management are subject to ongoing review. measures? The Lyme Bay Fisheries and Conservation Reserve Integrated Fisheries Management Plan includes a SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis. Strengths include, and are not limited to, the structure of the management framework, the health of the Does the ABMT include stocks, the collaborative management of the Reserve and strong community buy-in and the diversity of the fish species found in the area. an evaluation

framework, and if so, Weaknesses have been identified as the lack of monitoring and restriction on the Recreational fishing sector, information deficits regarding the what is the framework? health of some species and the fact that the Voluntary Code of Conduct has not been adopted by all, therefore impacting on its effectiveness [4]. The Lyme Bay Fisheries and Conservation Reserve is the UK's first Fully Documented Fishery. Independent scientific research is carried out Does the ABMT include alongside the day-to-day management of the cSAC to assess the effectiveness of the Reserve on habitat and fisheries and to gather data to fill performance knowledge gaps [2]. Socioeconomic factors have also been monitored since the establishment of the Reserve, and have indicated that the monitoring, and if so, impact of the closure varies by fishing sector. There has been some increased tension over fishing grounds occurring outside the boundaries what is the framework? of the designation [11]. The increase in fishing effort has been noted through the increased number of pots that have been able to be deployed following the implementation of the Reserve [11]. Species richness, total abundance and assemblage composition have been seen to show improvement for seven out of thirteen indicator taxa that have been measured annually by researchers at Plymouth University since the closure of the area in 2008 [12]. Other indicators that are used to assess performance include: What indicators are - Landings data used in the monitoring - CPUE of the ABMT? - Employment levels and new entrants to the industry - Number of prosecutions - Self-reported compliance - Income

Case study assessment Assessment questions Responses Barriers Enablers The designation of the Lyme Bay Reserve under the Habitats Directive The lack of comprehensive, Designation under the Habitats To what extent does the grants statutory powers to the authorities in charge of enforcing legally-binding, measures for all Directive enables authorities to legal basis of the ABMT management regulations. These authorities have the authority to fishing sectors risks reduces enforce measures and prosecute support the delivery of prosecute commercial fishermen who infringe upon the rules, which the effectiveness of the cSAC in vessels that are fishing illegally the ABMT and helps incentivise compliance amongst the users of the area. This delivering its biodiversity and within the Reserve. This associated policies? increases the effectiveness of the Reserve in achieving its biodiversity sustainable fisheries objectives. incentivises compliance with the conservation and sustainable long-term fisheries management goals. regulations and increases its However, the recreational fishing sector operating in the area is not effectiveness in achieving the required to abide by the same regulations, and uptake is relatively low policy objectives of biodiversity for the voluntary code of conduct that is in place. This has resulted in conservation [9]. some friction between the recreational and commercial fishing sectors, leading to reduced satisfaction with the management strategies in the Reserve. The focus of the Consultative The institutional framework is key to the successful delivery of the Committee enables decision- To what extent does the fisheries and conservation objectives of the Reserve. The making that is considerate of institutional framework Consultative Committee has a strong stakeholder focus, a regular and scientific evidence and stakeholder associated with the in-depth monitoring programme and includes members of input. ABMT support the management authorities with statutory powers. The combination of delivery of the ABMT these three factors allows the Consultative Committee to make The Committee provides a and associated decisions based on science and stakeholder input, that can then be framework for the monitoring and policies? enforced using a statutory framework. review of the progress made towards achieving its objectives. The delivery of the wider policies is enabled by the biological and socioeconomic monitoring and The Lyme Bay Fisheries and Conservation Reserve is a local scale analysis frameworks that are in management tool, operated using an adaptive process. The high level place in the Reserve. To what extent does the of monitoring that takes place regarding the biological and ABMT support the socioeconomic aspects of the site means that there is a regular The extent to which the Reserve is delivery of marine and feedback process that through the Consultative Committee which meeting its targets is monitored by coastal policies? enables regular adjustments to the management measures. This academic institutions and NGOs enables the Reserve to effectively support the delivery of the Habitats and is reviewed by the Consultative Directive. Committee before being translated into management strategies to improve the performance of the Reserve [12]. The Lyme Bay Fisheries and Conservation Reserve is a local scale To what extent does the Transboundary cooperation is management tool; however, two county authorities and national ABMT promote enabled by the cooperation authorities are involved in the establishment and implementation of transboundary between management authorities the Reserve. This indicates that there is a certain amount of cross- cooperation? at national and regional level. jurisdictional cooperation. There is a strong focus on multi-sector engagement in the Reserve. Voluntary agreements can be The collaborative management To what extent does the The Consultative Committee coordinate engagement through Working jeopardised by the actions of demonstrated in the Reserve ABMT process Group meetings to discuss developments across the different sectors individuals, which could present enables the sustainable fisheries emphasise multi-sector involved in the Reserve. The Committee comprises representatives as a barrier to the effective and biodiversity objectives to be engagement? from each stakeholder body, and its role is to share new research and implementation of the met, whilst also providing a developments in the area, to hear from other stakeholders regarding objectives of the Reserve. This template for other UK fisheries to their experiences of the measures that are in place and to discuss the can also affect the morale of build on. potential implementation of new management [4]. However, some the other stakeholders and their stakeholder groups have historically been reluctant to take part in willingness to comply with stakeholder discussions, in particular, the mobile gear sector [12]. management measures. Furthermore, the voluntary code of conduct that is in place is also vulnerable to 'free-riders' who jeopardise the success of the management for the wider group [2]. The involvement of the Blue Marine Foundation in the area has The committee requires regular allowed an adaptive co-management process to occur in the ongoing To what extent does the reviews of the effectiveness of management of the cSAC [2]. The process builds on ongoing ABMT utilise an management measures to address biological and socio-economic research findings, to ensure that the iterative/adaptive issues raised by stakeholders, management of this socio-ecological system is appropriate [2]. The process? which enables responsive effectiveness of the management strategies comes under review measures. regularly, and is reported to the Working Group. The Reserve is very well resourced, with several scientific advisory bodies and management authorities sitting on the Consultative Committee. Funding is provided by NGOs, Private and State sectors. Funding from a range of To what extent does the Funding may present a barrier institutions means that the cSAC is funding/resources of There is concern over the future funding and resourcing of the cSAC, to the effective implementation well provisioned and has the the ABMT support its and some fishing industry representatives have expressed concern of the Reserve in the future due capacity to implement necessary delivery and associated that withdrawing resources, such as the involvement of the Blue to changes in donor priorities. management measures, as well as policies? Marine Foundation and potential cuts to Natural England and MMO monitor their effectiveness. funding in the future, may lead to a reduction in the effectiveness of the Reserve [2]. Stakeholder engagement has been crucial to the effective delivery of the fisheries and conservation objectives of this case study. The creation of relationships between stakeholders has led to 'increased Stakeholder engagement at every To what extent does Some stakeholders have compliance, peer enforcement and collective learning' amongst users level in the process has led to stakeholder withheld from interacting with of the Reserve [P.40, 2]. greater stakeholder ownership and engagement support the Working Group. This may be compliance with management the effective delivery of a barrier to the wider However, the reluctance of some stakeholder groups, the mobile gear measures [4]. This enables the the ABMT and engagement with the objectives fishermen in particular, to attend some stakeholder engagement wider conservation objectives to be associated policies? of the Reserve. discussions has limited the potential for constructive discussions and met. decision-making [2]. Some mobile gear fishermen feel that they do not need to attend the Working Group meetings for the area that they are not allowed to fish in, therefore the benefits of discussions are sometimes limited to the static gear fishermen [2]. A Risk matrix has guided the IFCAs in their creation of relevant by- laws to meet the objectives of the cSAC. The matrix is enabled by The Risk Matrix provides a existing datasets, subsequent data collection that was undertaken Data gaps impede the accuracy scientific framework to enable and stakeholder interviews [12]. There were some gaps in the data at To what extent did data of the risk matrix, and therefore informed decision-making the initial stage, requiring the planning process to take a provision support the the effectiveness of the regarding the activities that take precautionary approach. delivery of the ABMT? management strategies that place in the Reserve, to minimise

were implemented as a result. impact on sensitive species and There are still some significant gaps in data, and uncertainty habitats. regarding the health of some stocks in the area. The effective delivery of the ABMT may therefore be limited without this information.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere The Lyme Bay Reserve policies concern sustainable fisheries, the protection and By 2030, reduce at least by half the proportion of men, women and 1.2 children of all ages living in poverty in all its dimensions according restoration of marine biodiversity and the support and growth of local fishing to national definitions livelihoods [1]. SDG 12: Ensure sustainable consumption and production patterns Implement the 10-year framework of programmes on sustainable consumption and production, all countries taking action, with The SCI and associated socioecological strategies run by the Blue Marine Foundation 12.1 developed countries taking the lead, taking into account the focus on developing the fishery to be sustainable in the long-term. development and capabilities of developing countries The Lyme Bay reserve is focused around the ongoing sustainable management of the By 2030, achieve the sustainable management and efficient use of 12.2 resources in the area, as part of a wider ecosystem approach that incorporates natural resources biological and socioeconomic factors. SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by "The Reserve aims to protect the valuable ecosystems of Lyme Bay, whilst 14.2 strengthening their resilience, and take action for their restoration in safeguarding and adding value to the local fishing industry"[P.1, 12]. order to achieve healthy and productive oceans By 2020, effectively regulate harvesting and end overfishing, illegal, A monitoring and enforcement plan is in place in Lyme Bay to ensure that unreported and unregulated fishing and destructive fishing practices 14.4 management actions are complied with. The management authorities hold statutory and implement science-based management plans, in order to powers to increase the incentive for compliance. restore fish stocks in the shortest time feasible, at least to levels that can produce maximum sustainable yield as determined by their biological characteristics By 2020, conserve at least 10 per cent of coastal and marine areas, The Lyme Bay Reserve forms part of a national network of SCIs, as required by the EC 14.5 consistent with national and international law and based on the best Habitats Directive. available scientific information SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all The Lyme Bay cSAC is a local-scale designation that forms part of a national network of marine protected areas. Negotiations regarding its designation and ongoing management activities are led by Devon and Dorset county authorities. National Government authorities and independent scientific research institutions are also Ensure responsive, inclusive, participatory and representative 16.7 involved in the ongoing management of the cSAC. decision-making at all levels A working group run at the local level provides input. There is a strong focus on multi- sector engagement in the Reserve that is coordinated by the Consultative Committee who hold Working Group meetings to discuss developments across the different sectors involved in the Reserve. SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The Reserve is very well resourced, with several scientific advisory bodies and management authorities sitting on the Consultative Committee. Funding is provided by NGOs, Private and State sectors. Encourage and promote effective public, public-private and civil 17.17 society partnerships, building on the experience and resourcing There is concern over the future funding and resourcing of the cSAC, and some fishing strategies of partnerships industry representatives have expressed concern that withdrawing resources, such as the involvement of the Blue Marine Foundation and potential cuts to Natural England and MMO funding in the future, may lead to a reduction in the effectiveness of the Reserve[2]. Multi-stakeholder partnerships: Enhance the global partnership for sustainable development, complemented by multi-stakeholder The Consultative Committee facilitates discussion between a wide range of partnerships that mobilize and share knowledge, expertise, 17.16 stakeholders, and organises the dissemination of findings from the Reserve to share technology and financial resources, to support the achievement of knowledge. the sustainable development goals in all countries, in particular developing countries

Sources and references 1 Lyme Bay Reserve Website http://lymebayreserve.co.uk/ 2 Singer, 2016 http://www.homepages.ucl.ac.uk/~ucfwpej/pdf/MPAGDissLymeBay.pdf 3 Understand Marine Conservation Byelaws' https://www.gov.uk/guidance/marine-conservation-byelaws Lyme Bay Integrated Fisheries 4 http://lymebayreserve.co.uk/download-centre/files/LymeBay_MAINREPORT_IntegratedMgt_180914.pdf Management Plan 5 Fleming and Jones, 2012 http://econpapers.repec.org/article/eeemarpol/v_3a36_3ay_3a2012_3ai_3a2_3ap_3a370-377.htm 6 Working Group minutes http://www.lymebayreserve.co.uk/download-centre/files/Lyme_Bay_32nd_Meeting_Minutes.pdf 7 Habitat Risk Assessment matrix http://www.lymebayreserve.co.uk/download-centre/files/LymeBay_AppendixD_HabRisk_Aseessment_180914.pdf Blue Marine Foundation Website - Lyme 8 http://www.bluemarinefoundation.com/project/lyme-bay/ Bay Project 9 Devon and Severn IFCA Press Release https://secure.toolkitfiles.co.uk/clients/15340/sitedata/Misc/Press-Release-J-SEA-Dec-16.pdf 10 JNCC - Lyme Bay and Torbay SAC http://jncc.defra.gov.uk/protectedsites/sacselection/sac.asp?EUCode=UK0030372 11 Mangi et al., 2011 https://www.ncbi.nlm.nih.gov/pubmed/21848135 https://pearl.plymouth.ac.uk/bitstream/handle/10026.1/6742/Evaluation%20framework%20to%20determine%20the 12 Rees et al., 2016 %20impact%20of%20the%20Lyme%20Bay%20Fisheries%20and%20Conservation%20Reserve%20on%20ecosystem% 20services%20and%20human%20wellbeing_Final.pdf?sequence=1 http://bluemarinefoundation.com/wp-content/uploads/2017/01/20170116%20Blue%20Review%202016%20- 13 Blue Marine Foundation Review 2016 %20Digital%20-%2014MB.PDF Case Study 3. Integrated Coastal Zone Management: Coastal and Marine Spatial Planning in Belize

Facts about the case study Case-specific entries Tool Integrated Coastal Zone Management (ICZM)

Region Wider Caribbean

Implementation status In implementation - management plan published and approved by the Government of Belize in 2016. The governance framework for ICZM in Belize was provided by a binding, legally enforceable instrument. In 1998 the Coastal Zone Management Act was put in place in order to promote the sustainable development of coastal areas through coordination of existing legislation affecting coastal resources. Governance This allowed the formation of the Coastal Zone Management Authority and Institute (CZMAI) with responsibility to coordinate integrated Mechanisms coastal zone management in Belize. A key action for the CZMAI was to prepare a coastal zone management plan. The National Integrated Coastal Zone Management Strategy for Belize (2003) provided the framework for the planning process.

What is the legal basis The legal basis for coastal and marine spatial planning in Belize is the 1998 Coastal Zone Management Act. of the ABMT? Is there government Yes, the ICZM process in Belize is supported by national legislation and implemented by a government agency. support for the ABMT? What is the institutional The Coastal Zone Management Authority and Institute (CZMAI) is responsible for coordinating the ICZM process as well as developing and framework of the implementing the management plan. ABMT? What type of The lead entity behind ICZM in Belize is the Coastal Zone Management Authority and Institute (CZMAI) which was set up by the national organisation is the Lead government under the 1998 Coastal Zone Management Act. Entity? What policies are being The ICZM Plan implements socio-economic and environmental policies for managing all aspects of the coastal zone, to ensure sustainable implemented by the coastal resource use by balancing conservation and socio-economic needs of the country. ABMT? The ICZM Plan sets out a vision for the coast of Belize of "a sustainable future where healthy ecosystems support, and are supported by thriving local communities and a vibrant economy".

What are the primary The goal of the IZCM Plan is to facilitate improved management of coastal and marine ecosystems to maintain the integrity of these goals / objectives of the ecosystems and ensure the delivery of ecosystem service benefits present and future generations nationally and globally. ABMT?

The plan includes four strategic objectives to achieve the vision of a sustainable coast: 1) Encouraging sustainable coastal resource use, 2) Supporting integrated development planning, 3) Building alliances to benefit Belizeans, 4) Adapting to climate change.

To achieve these objectives, the ICZM Plan integrates existing management activities and identifies management gaps and additional activities that could be undertaken to fill these gaps.

The management measures are grouped around the four strategic objectives (see box above).

What are the Management actions include (but are not limited to) development of a centralised data repository for Belize, capacity development of management measures associated with the managers, habitat restoration, management of invasive species, drafting of aquaculture policy, preparation of oil spill emergency plan, ABMT? relocation initiative for climate vulnerable areas, seabed survey for navigation, public education and a stocktake of carbon rich habitats. There are over eighty pages focused on management actions in the plan.

Yes, the management planning process was multi-sector focused, as are the associated management measures. The ICZM Plan involves the following sectors: - Extractive uses (mining, dredging, oil, gas), - Non-extractive uses (ports, shipping, renewable energy), Does the ABMT involve cross sectoral - Commercial fishing (trawling, netting, potting, lining, shellfish dredging), cooperation? - Leisure and tourism (shore/sea angling, diving, sailing, kayaking), - Environment and conservation (NGOs, advocacy, general interest), - Cultural heritage (NGOs, advocacy, general interest), - Local community.

Which SDGs do the management measures 1.1, 1.2, 1.4, 1.5, 2.1, 8.3, 8.4, 8.9, 11.2, 11.3, 11.4, 11.5, 12.4, 12a, 13.1, 13.2, 13.3, 14.1, 14.2, 14.4, 14.5, 14.7, 15.9, 16.7, 17.16, 17.17 support? Yes, the Coastal Zone Management Authority and Institute (CZMAI) worked in partnership with the World Wildlife Fund and the Natural Capital Project to conduct ecosystem-based assessments of the benefits provided by coastal and marine ecosystems in Belize and the impacts of Does the AMBT process human activities on these ecosystems. follow an ecosystem approach? One of the decision making tools used in the ICZM planning process was the ecosystem-based modelling tool InVEST (Integrated Valuation of Ecosystem Services and Trade-offs) which was developed by the Natural Capital Project.

Does the ABMT process incorporate data and Yes, the ICZM planning process was based on data. evidence? What type of data was The ICZM planning process was based on data about biodiversity, habitats, and marine and coastal uses, as well as mapping and valuation of used in the ABMT ecosystem services. development process? Stakeholders were involved in the ICZM planning process as core decision makers. There were 9 regional Coastal Advisory Committees which involved representatives from public sector, educational institutions, business sector, government, NGOs and/or civil society. The Advisory Does the ABMT process include stakeholder Committees communicated their values and goals for marine and coastal management to the Coastal Zone Management Authority and engagement? Institute (CZMAI). In addition, the process of creating the ICZM plan was iterative and participatory. For example, the analysis of management scenarios was iteratively reviewed by stakeholders and experts.

Does the ABMT use Both spatial and scenario analysis were used. Management scenarios were used to determine the consequences of alternative decisions in a spatial and/or scenario analysis to support spatial context. decisions? What decision-support InVEST was used to support the assessment of the implications of different zoning scenarios. InVEST is a decision support tool for mapping tools were used to support the planning and valuing ecosystem services. process? The spatial focus of the ICZM Plan is the coastal and marine environment of the coast of Belize. While the main focus is on marine What is the spatial focus of the ABMT? ecosystems, the planning zone includes a terrestrial stretch 3 kilometres inland.

At what scale is the The ABMT is implemented at a national scale. The planning process took part in 9 coastal planning regions. The regional planning outputs ABMT process were then integrated into a national ICZM Plan. implemented? What is the timeframe focused on for the The timeframe for the management measures is medium term (6-20 years). The ICZM Plan sets out objectives to be achieved by 2025. management measures? Does the ABMT include Yes, the ICZM Plan includes an evaluation framework. The ICZM Plan is to be reviewed every 4 years. Monitoring results will be incorporated an evaluation framework, and if so, into the review process. what is the framework? Does the ABMT include Yes, the ICZM Plan includes a Monitoring Protocol. The Monitoring Protocol has been developed with focus on environmental and economic performance monitoring, and if so, indicators, metrics, and data collection methods. what is the framework? What indicators are used in the monitoring of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The Coastal Zone Management Act 1998 provides a strong formal commitment of the national Government to the ICZM Plan. Limited authority for the CZMAI A clear legal mandate through to attribute management duties the Coastal Zone To what extent does the Under the current Coastal Zone Management Act, the Coastal Zone and hold other government Management Act, and strong legal basis of the ABMT support the delivery of Management Authority and Institute (CZMAI) does not have the authority to agencies responsible for government commitment, are the ABMT and hold agencies responsible for implementing the plan or to attribute implementing elements of the an enabling factor for the associated policies? management duties to them. A review of the Act is planned to provide the plan under their control is a delivery of policies through CZMAI with the necessary mandate. This will further strengthen the legal potential barrier. the ABMT. support for the CZMAI and implementation of the ICZM Plan.

The Coastal Zone Management Act provides institutional support for ICZM by establishing the Coastal Zone Management Authority and Institute (CZMAI) with a legal mandate to manage the coastal zone. The CZMAI provides leadership in the creation and implementation of the ICZM Plan as To what extent does the the mechanism for coastal zone management. The requirement for inter-agency An authority with a clear legal institutional framework coordination and cooperation is mandate that provides associated with the ABMT support the The ICZM Plan recognises the need for coordination and cooperation a potential barrier for the leadership for creation and delivery of the ABMT between different Government agencies to provide the institutional implementation of the ICZM implementation of the ICZM and associated framework for the implementation of the plan. At the same time, this Plan. Plan is an enabling factor. policies? dependence on inter-agency cooperation is identified as a risk within the ICZM Plan to its implementation. Under the current Coastal Zone Management Act, the CZMAI does not have the authority to hold other government agencies to account.

The integration of existing Resources from the government policies and management To what extent does the The ICZM Plan integrates existing policies and management activities. This for agencies to align workplans activities is an enabling factor ABMT support the supports the delivery of such policies, while avoiding management gaps and to address highlighted as it facilitates the delivery of marine and facilitating implementation of the plan. coastal policies? management gaps implementation of the ICZM Plan.

The plan is national and it includes transboundary cooperation between the To what extent does the The integration of 9 planning nine coastal planning regions within the country. In addition, there is ABMT promote regions into one national plan transboundary potential collaboration with Mexico and Guatemala which would lead to can be an enabling factor as it cooperation? international transboundary cooperation. provides a comprehensive, integrated and coherent national strategy while allowing for regional differences and interests to be considered.

The ICZM planning process had a strong emphasis on multi-sector engagement. The participatory engagement process involved Multi-sector engagement was To what extent does the representatives from public sector, educational institutions, business sector, an enabling factor for the ABMT process government, NGOs and/or civil society. The management measures creation of a well-informed, emphasise multi-sector associated with the ICZM Plan address multiple sectors, including extractive comprehensive and integrated engagement? uses, non-extractive uses, commercial fishing, leisure and tourism, ICZM Plan. environment and conservation, cultural heritage and local communities.

A 4-year review period could be a An iterative and adaptive barrier because review To what extent does the process is an enabling factor The plan is both iterative and adaptive. There is a mandatory 4-year review processes are often resource ABMT utilise an as it allows to react to period defined by law. and time intensive and funding iterative/adaptive changing conditions and consistency has been an issue process? contexts. for the ICZM process in Belize.

To what extent does the There was a delay in the delivery of the ICZM plan as a result of funding cuts Inconsistent funding was a The availability of funding for funding/resources of during the process, resulting in the ad hoc progress. The Coastal Zone barrier, causing the process to staff, resources and activities the ABMT support its Management Authority and Institute (CZMAI) was reinstated in 2008 with stall. was an enabling factor. delivery and associated funding, allowing the process to be continued. policies? The comprehensive and regional nature of the To what extent does The stakeholder engagement process was comprehensive, delivered stakeholder engagement stakeholder through the development of Coastal Advisory Committees. A wide variety of process is an enabling factor engagement support the effective delivery of stakeholders were involved in these Committees. As a result, a diversity of to the delivery of the plan, the ABMT and stakeholders were involved in the review of scenarios and the zoning plan. particularly because associated policies? stakeholders were involved in the zoning decisions.

To what extent did data Data acquisition and The data gathered were used within scenarios to model ecosystem service Data acquisition can be time provision support the validation can be undertaken and create final zoning schemes. Data is used in the indicators will be part consuming and costly to a delivery of the ABMT? through stakeholder of the review process. The best available data supported the generation of process, therefore becoming a engagement process thus scenarios to inform management. barrier. building the trust of these stakeholders in the plan. The scenario planning was a powerful tool within the ICZM Plan generation giving options on which informed decisions can be made.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, eradicate extreme poverty for all people everywhere, currently Reduction in poverty is one of the goals in the management plan. Poverty is an 1.1 measured as people living on less than $1.25 a day indicator (p142) By 2030, reduce at least by half the proportion of men, women and Implement an Informed Management zoning scheme for the integrated children of all ages living in poverty in all its dimensions according to management of activities of the coat to ensure that the coastal resource base yield 1.2 national definitions returns on the benefits from nature to communities in the short, medium and long- terms By 2030, ensure that all men and women, in particular the poor and the vulnerable, have equal rights to economic resources, as well as access to Strengthen the fisherfolk licensing system through the establishment of standards 1.4 basic services, ownership and control over land and other forms of property, inheritance, natural resources, appropriate new technology and financial services, including microfinance By 2030, build the resilience of the poor and those in vulnerable situations Diversify income generation options to reduce the number of people who rely on the and reduce their exposure and vulnerability to climate-related extreme 1.5 events and other economic, social and environmental shocks and coastal resource base to support their income disasters SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture By 2030, end hunger and ensure access by all people, in particular the Expand the market for Lionfish consumption as a means to manage the lionfish 2.1 poor and people in vulnerable situations, including infants, to safe, population while providing an alternative nutritious and sufficient food all year round SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Promote development-oriented policies that support productive activities, Implement incentive programs to support small-scale producers to support local 8.3 decent job creation, entrepreneurship, creativity and innovation, and economies and reduce pressures on wild fisheries resources encourage the formalization and growth of micro-, small- and medium- sized enterprises, including through access to financial services 1. Strengthen the fisherfolk licensing system through the establishment of Improve progressively, through 2030, global resource efficiency in standards consumption and production and endeavour to decouple economic growth 8.4 from environmental degradation, in accordance with the 10-year 2. Secure resources to permit increased monitoring and data collection at the framework of programmes on sustainable consumption and production, various landing sites along the coast of Belize to help in the sustainability and with developed countries taking the lead conservation of commercially important species

1. Implement the National Sustainable Tourism Master Plan (STP) for Belize 2030 in conjunction with the recommended Informed Management zoning scheme for By 2030, devise and implement policies to promote sustainable tourism 8.9 sustainable marine recreation and tourism that creates jobs and promotes local culture and products 2. Develop and support further sustainable tourism management through products from the STP II Project

SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding 11.2 Update the navigational charts for Belize to ensure boating safety by vessels. public transport, with special attention to the needs of those in vulnerable situations, women, children, persons with disabilities and older persons By 2030, enhance inclusive and sustainable urbanization and capacity for Increase the technical and management capacity of both management and co- 11.3 participatory, integrated and sustainable human settlement planning and management agencies in order to ensure sound management practices management in all countries Support local and national initiatives to achieve the target of 20% full protection of Strengthen efforts to protect and safeguard the world’s cultural and 11.4 natural heritage the marine territory of Belize By 2030, significantly reduce the number of deaths and the number of people affected and substantially decrease the direct economic losses 11.5 relative to global gross domestic product caused by disasters, including Establish a national water quality monitoring programme for Belize water-related disasters, with a focus on protecting the poor and people in vulnerable situations SDG 12: Ensure sustainable consumption and production patterns By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance with agreed Establish a national water quality monitoring programme for Belize 12.4 international frameworks, and significantly reduce their release to air, water and soil in order to minimize their adverse impacts on human health and the environment Support developing countries to strengthen their scientific and Increase the technical and management capacity of both management and co- 12.a technological capacity to move towards more sustainable patterns of management agencies in order to ensure sound management practices. consumption and production SDG 13: Take urgent action to combat climate change and its impacts Implement mangrove restoration projects as a means to mitigate the effects of climate change, and to ensure the delivery of coastal protection services especially Strengthen resilience and adaptive capacity to climate related hazards 13.1 and natural disasters in all countries in areas, such as the Central and Southern region of Belize, which are highly prone to erosion and inundation

1. Strengthen regulatory requirements for the full enforcement for setbacks governing activities related to commercial and/or residential development within Integrate climate change measures into national policies, strategies and 13.2 the coast that considers the threat of global climate change and coastal hazards planning 2. Conduct regular vulnerability assessments of the coastal area in order to understand and to assess the effectiveness of climate adaptation strategies

Improve education, awareness-raising and human and institutional Target efforts to ensure that the future generations of Belize are aware of problems 13.3 capacity on climate change mitigation, adaptation, impact reduction and that may occur throughout their lifetimes early warning SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in Develop and implement a national policy and supporting standards for the safe 14.1 particular from land-based activities, including marine debris and nutrient transport of hazardous chemicals in the sea. pollution By 2020, sustainably manage and protect marine and coastal ecosystems Develop a long-term national strategy for the scientific monitoring of the health of to avoid significant adverse impacts including by strengthening their 14.2 critical habitats, including but not limited to reef, seagrass, mangroves, and resilience, and take action for their restoration in order to achieve healthy coastline dynamics and productive oceans By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and Provide special training for enforcement officers and partner stakeholder groups to implement science-based management plans, in order to restore fish 14.4 stocks in the shortest time feasible, at least to levels that can produce improve vigilance maximum sustainable yield as determined by their biological characteristics By 2020, conserve at least 10 per cent of coastal and marine areas, Support local and national initiatives to achieve the target of 20% full protection of 14.5 consistent with national and international law and based on the best the marine territory of Belize available scientific information By 2030, increase the economic benefits to Small Island developing States Update draft aquaculture policy and regulations to reflect Aquaculture Stewardship and least developed countries from the sustainable use of marine 14.7 resources, including through sustainable management of fisheries, Council guidelines aquaculture and tourism SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values into national and Establishment of zoning categories and creation of use zones, whereby the current 15.9 local planning, development processes, poverty reduction strategies and uses and values Belizeans have for the coastal zone were identified and mapped; accounts SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Stakeholder engagement, whereby representatives from relevant sectors of Ensure responsive, inclusive, participatory and representative decision- 16.7 government, industry, and civil society, as well as members of the public, were making at all levels involved in each of the following steps of the planning process.

SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development "the CZMAI established a partnership with the World Wildlife Fund (WWF) and the Encourage and promote effective public, public-private and civil society Natural Capital Project to bring together critical information about the benefits 17.1 partnerships, building on the experience and resourcing strategies of 7 coastal and marine ecosystems provide for people and the impacts human partnerships activities have on them."

Multi-stakeholder partnerships: Enhance the global partnership for Action under National Sustainable Tourism Master Plan: Support the continued sustainable development, complemented by multi-stakeholder 17.1 partnerships that mobilize and share knowledge, expertise, technology partnership and liaison with coastal advisory committees (CACs) and relevant 6 and financial resources, to support the achievement of the sustainable planning agencies as a basis for regional coastal area management planning development goals in all countries, in particular developing countries

Sources and references CZMAI. 2016. Belize coastal management plan: Promoting the Wise, Planned Use of Belize’s Coastal Resources. [Online]. Available at: 1 https://www.coastalzonebelize.org/wp-content/uploads/2015/08/BELIZE-Integrated-Coastal-Zone-Management-Plan.pdf Case Study 4. Integrated Coastal Zone Management: Patagonian Coastal Zone Management Plan, Argentina

Facts about the case study Case-specific entries Tool Integrated Coastal Zone Management (ICZM) Region Atlantic: South West The planning process for the Patagonian Coastal Zone began in 1991, and concluded in 2014. Planning consisted of 3 GEF projects: the first of which drew up a diagnosis of the state of the coastal marine biodiversity and the main threats. The second project developed actions to Implementation status conserve marine biodiversity while also supporting local communities and resulted in the development of the Patagonian Coastal Zone Management Plan. The third project involved implementing an inter-jurisdictional system of marine coastal protected areas. [2] The Ministry of Environment and Sustainable Development is the lead institution in Argentina for the formulation and implementation of national environmental policies. Drawing on the competencies at the national level, the ICZM plan developed through three GEF-funded projects. This process led to the adoption of a national law that regulates the establishment of national marine protected areas. The Marine Protected Areas (MPA) National System was established in 2014 by Law 27.037. However, marine areas under provincial jurisdiction and interjurisdictional parks fall outside of the scope of this law. The National Constitution (article 124) stipulates that each province has the original domain over the natural resources within its territory and provides that the provincial states retain all powers not delegated to the national government. [3] The establishment of interjurisdictional parks requires that specific agreements are developed and agreed between Governance the national government and the provincial authorities. These agreements delineate the responsibilities of each party with regard to the parks. Mechanisms The creation of the first inter-jurisdictional Park (national-Chubut province) "Patagonia Austral" was achieved during the execution of the second project.

In 2004, a Historical Agreement between the governments of coastal provinces and national authorities was signed, under which they agreed to "protect the coastal biodiversity they share, and seek integrated conservation policies for the coastal ecosystem." (p. 15, UNDP 2009 [3]) Following on from this, individual treaties were created between the national government and each of the five coastal provinces to form an inter-jurisdictional marine spatial planning process. Provincial laws relating to marine protection existed prior to the start of the process. National Law 27.037 (2014) establishing the Marine Protected Areas National System (SNAPM). 2004 Historical Agreement between the provinces and national government on integrated conservation of coastal ecosystems and biodiversity. What is the legal basis Laws 26446 (2009), 26817 (2012) and 26818 (2012) establishing management procedures or arrangements for interjurisdictional marine of the ABMT? parks. Individual treaties between five coastal provinces and national government on marine spatial planning. Further, Argentina is Party to a number of international agreements and conventions including, UNESCO, CMS, the Ramsar Convention, MARPOL, CBD, Kyoto Protocol and the Agreement on the conservation and protection of Albatrosses and Petrels. Is there government In the context of the GEF-funded projects, the establishment of a project steering committee which included governmental representatives support for the ABMT? demonstrated the government's support of FPN, thereby legitimising their efforts. Beyond the specific projects, the legislation in place followed the usual mechanisms and therefore, it is the result of cooperation and political willingness between all of those involved (i.e. national and provincial authorities).

Organisations/working groups are tasked with MSP. Financial resources have been allocated to all stages of MSP. Clearly defined responsibilities have been given to authorities for MSP planning and implementation [1] Argentina is a federal country in which the provinces have the original domain over their natural resources, as such, the institutional framework varies for each province.

The process for the establishment of the Patagonia Austral interjurisdictional park and creation of the national system of marine protected areas (SNAPM) was developed in the context of three GEF-funded projects led by an NGO, Fundación Patagonia Natural (FPN), which served What is the institutional as executing agency of the three projects. A project steering committee (SC) was established to provide advice, support and advocacy for the framework of the process. The SC comprised of representatives from each of the provincial governments, representatives of relevant national authorities ABMT? (National parks administration, Secretariat of Environment etc.) and project representatives (UNDP and FPN).

The national system of marine protected areas falls under the responsibility of the National Parks Administration at the national level. The system is regulated through Law 27.037. This Law does not apply to marine areas within provincial jurisdiction, and specific interjurisdictional marine parks. For the latter, specific laws (Laws 26.446 (2009), 26.817 (2012) and 26.818 (2012)) establish management procedures or arrangements applicable for each case. The NGO Fundación Patagonia Natural (FPN) served as executing agency for the GEF-funded projects and thus had a leading role in moving the process forward. However, the leading role in the implementation of the approved laws establishing the area-based management tools What type of currently rests with the relevant governmental agencies depending on the specific case (National Parks Administration and Ministry of organisation is the Lead Environment at national level, or provincial authorities at provincial levels). Entity?

Non-Governmental Organisation (NGO); Local Government; National Government; What policies are being Through the coastal zone planning process in Patagonia, policies for environmental protection, and sustainable resource use to support local implemented by the communities, are being implemented. ABMT? The primary goal of the ICZM process in Patagonia is to conserve marine and coastal biodiversity in the region while making local activities sustainable.

What are the primary Broadly speaking, Argentina's conservation agenda was mostly terrestrial. While the specific objectives of the GEF-funded projects varied, the goals / objectives of the overall goal of the ICZM process was to create a subsystem within the Argentine "Protected Areas System" (Sistema Federal de Areas ABMT? Protegidas-SIFAP-Argentina; see: http://www2.medioambiente.gov.ar/sifap/default.asp) to be specifically focused on marine and coastal protected areas, and to therefore contribute to biodiversity and ecosystem conservation in the marine environment.

Overall, policies and legislation related to the establishment of marine protected areas seek to: (i) keep representative samples of terrestrial, coastal and marine ecosystems, ensuring continuity of natural processes; (ii) promote and facilitate environmental research and monitoring; (iii) raise awareness about importance of the park (environmental education); (iv) promote activities which are sustainable based on Park's conservation; (v) ensure public use of the Park for physical and spiritual wellbeing.

Conserve or restore the health of marine ecosystem/s; Maximise the overall economic value of the marine ecosystem in a sustainable way [1] Different categories of protection exist under the national system of marine protected areas (Law 27.037): (i) Strict national marine reserve; (ii) national marine park; (iii) national marine monument; (iv) national marine reserve for habitats/species management; (v) national marine reserve. They all entail different levels of protection and therefore prohibit specific activities for their purposes. For any of these categories, a What are the management plan developed through a consultative process needs to be developed within the first 5 years after a new marine protected area management measures is created. Management plans need to be revised at least every 5 years. associated with the

ABMT? As per the interjurisdictional parks, each has their own management plan. These three parks (Patagonia Austral, Makenke and Isla Pingüino) are managed jointly by National Parks Administration (APN), and the specific province/s (Chubut and Santa Cruz)*. Therefore, the management plans are to be developed by them together. Yes. Commercial fishing, tourism, extractives (oil and gas) are the main economic activities in jurisdictional waters in Mar Argentino (Argentinian Sea) [3]. The private sector has, in the past, generally resisted changing their change business as usual practices because they Does the ABMT involve think it would compromise their livelihoods. However, through these projects, the strategy was to closely work with them so they would come cross sectoral up with solutions and ideas for sustainable use. In this way, better compliance was ensured as, for example, fishermen felt ownership from the cooperation? process. In one situation, through working with fishermen, some innovative ideas to improve biodiversity conservation were achieved through the use of smart fishing gear. Which SDGs do the management measures 8.9, 14.2, 14.4, 14.5, 15.9, 16.7, 17.9, 17.16, 17.17 support? Does the AMBT process Yes [3] [6]. For example, the law establishing the system of national marine protected areas states that when developing and revising follow an ecosystem management plans and planning measures, the ecosystem approach has to be duly considered (Article 8, Law 27.037). approach? The first of the three GEF-funded projects was especially focused on upgrading baseline data with the aim of producing a robust evidence Does the ABMT process base of information on Patagonia’s marine birds and mammals that can serve as a baseline for assessing future change to these resources. incorporate data and evidence? Regarding the national system of MPAs, the implementation of new MPAs requires that planning, based on robust scientific information, is the first step for the creation of the MPA. The first project was structured around 4 objectives, one of which was to upgrade baseline data. The fundamental strategy underlying this What type of data was complex design has been to produce scientifically robust baseline of information on Patagonia’s marine birds and mammals that can serve as used in the ABMT a basis for assessing future change to these resources. Numerous individual studies on abundance and population size of marine birds and development process? mammals have been undertaken.

Biological / ecological information; Cumulative human impacts/pressures; Future development/activities; Ecosystem goods and services/benefits; Economic/valuation information; Governance information [1] Public meetings were held by the lead NGO to enhance communication between government and the community. In order to improve stakeholder accessibility, and therefore encourage further support for the ABMT, meetings were held close to the location of the proposed management plan and documents were also made available online.

Local government provided written responses explaining why particular feedback from public consultations did not result in change. This Does the ABMT process helped stakeholders to understand the rationale behind various decisions, which fostered continued support for the ABMT. include stakeholder engagement? In addition, where necessary, expertise from different organisations, industries and governmental departments was utilised to help develop stakeholder buy-in to the project. [2]

The development process was based on a participatory process - courses, workshops, meetings and consultations were use in the process of issue analysis and data gathering. [4] Does the ABMT use spatial and/or scenario No information on this was found. analysis to support decisions? What decision-support tools were used to No information on this was found. support the planning process? What is the spatial The coastal zone management plan encompasses ca. 5,000km of coastal areas, throughout 5 coastal provinces: Buenos Aires, Rio Negro, focus of the ABMT? Chubut, Santa Cruz and Tierra del Fuego. [3] Coastal zone management was implemented at national and sub-national scale with an inter-jurisdictional process across five coastal At what scale is the provinces. ABMT process implemented? National (e.g. country-wide, island) [1]; Sub-national (e.g. state, province) The projects had specific timeframes, as follows: 1st phase Patagonian Integrated Coastal Management: 1993-1996 - generation of scientific coastal biodiversity data and analysis relationships among fisheries, tourism, oil industry and fauna; 2nd phase: 2003 and 2009 - consolidation What is the timeframe and implementation of integrated management; 3rd phase: 2010-2014 - Inter-jurisdictional System of Coastal-Marine Protected Areas focused on for the (ISCMPA). management With respect to the national system of marine protected areas, the law does not indicate any limited timeframe and, indeed, it states that the measures? marine protected areas that had been established when the law was adopted, will continue being regulated by their specific legislation for a 5- year period. After that period, those pieces of law should be adapted to what is indicated in this law (law 27.037). Management plans for the MPAs need to be revised at least every 5 years. Does the ABMT include an evaluation Under the third project, the Management Effectiveness Tracking Tool (METTs) was used as a way to identify areas that needed improvement. framework, and if so, Management effectiveness evaluations were undertaken in 2006, 2011, 2013 and 2014. [8] what is the framework? Does the ABMT include performance No information on this was found. monitoring, and if so, what is the framework? Specific indicators from the ISCMPA include: - Magellanic Penguin (Spheniscus magellanicus) reproductive populations are either stable or increasing in 50% of the existing colonies within What indicators are the Argentinean MCPAs. used in the monitoring - Incidental catch and wildlife mortality (marine mammals and seabirds) reduction due to improvements of fishing techniques in the pilot of the ABMT? MCPAs adjacent area.

Environmental indicators (e.g. water quality; habitat/species distribution); Economic indicators (e.g. fish catch; income trends) [1]

Case study assessment Assessment questions Responses Barriers Enablers To what extent does The legal basis was developed as an outcome of the three GEF projects that the legal basis of the were implemented. Prior to these, each province was in charge of regulating The ICZM process resulted in ABMT support the their own resources. Although Argentina had several marine protected areas, legislation which, in turn, enabled the

delivery of the ABMT there was no institutional framework for the establishment and management establishment and management of a and associated of MPAs in national waters. This has been made possible through Law national system of MPAs. policies? 27.037. During the initial phase of the process, the existing governance framework, Fragmented and Treaties between national and specifically the provincial and national jurisdictional arrangements for overlapping authority, provincial governments were enabling Argentina's waters, made the designation and zoning of areas difficult. different jurisdictional factors that allowed to overcome To what extent does Overlapping mandates between national and provincial governments hindered and institutional jurisdictional complexities and the institutional the development of effective institutional arrangements for integrated arrangements, as well establish a national, inter- framework associated management and the designation of MPAs. Moreover, in each province, the as different goals, jurisdictional system of MPAs. with the ABMT MPAs come under the authority of different government agencies. Each procedures and staff Having an NGO as lead organisation support the delivery of institution has different goals, procedures and staff with different degrees of capacity at national was an enabling factor for the the ABMT and training, which reduces the adoption of similar approaches and standards and provincial levels implementation of the coastal zone associated policies? and reduces the effectiveness of conservation efforts along the coast. were a barrier to the management process as the NGO was Some of these barriers were partly solved through the subsequent implementation of an seen as politically neutral and establishment of the national, interjurisdictional system of marine protected integrated, technically capable. areas. As part of the project, treaties were agreed between provincial and interjurisdictional national governments to overcome jurisdictional complexities, allowing for approach to coastal MPAs to be designated. An institutional framework was created specifically management. for the purpose of designating MPAs in national waters. The fact that the projects were implemented by an NGO supported the process as the NGO was seen as a politically neutral actor with solid technical knowledge in the area. The establishment of the national system on MPAs aims to safeguard To what extent does representative, viable and integral samples of the biodiversity of the the ABMT support the Argentinian Sea. [6] However, the implementation of the national system of delivery of marine and MPAs is in its early stages and it is therefore not yet possible to determine to coastal policies? what extent these marine and coastal policies are being delivered. The process was national and did not involve other countries. At a sub- The need to overcome jurisdictional To what extent does national level, the ICZM process did promote transboundary cooperation fragmentation to implement an the ABMT promote between the five coastal provinces and between the provinces and national integrated approach and national, transboundary government, in particular through the agreement of treaties between each inter-jurisdictional MPA system was cooperation? province and the national government. This was necessary to enable an an enabling condition as it required integrated coastal management process and MPA system. transboundary cooperation. The long time frame of the projects, and continued leadership from the Improving the management of marine resources requires the involvement of a To what extent does same organisation, allowed trust to be wide range of stakeholders, including a range of economic sectors. While at the ABMT process built over time. the beginning working with each economic sector was not easy, over time, the emphasise multi- Ownership was felt by the NGO built trust and made the government and the private sector "own" the sector engagement? stakeholders in parts of the process process through a participatory stakeholder engagement process (see below). enhancing their engagement and compliance with new measures. To what extent does Over a period of 20 years, the ICZM process became more adaptive from one Back to back GEF projects allowed the ABMT utilise an project to the next as lessons learnt were integrated into the process. lessons to be learned from one to iterative/adaptive Moreover, management plans for the MPAs are to be reviewed every 5 years. another. process? No further information on the application of an adaptive approach was found. The fact that the Fund Recognition of the need for a One of the components of the 3rd project was to establish mechanisms for To what extent does remains empty is a sustainable financing mechanism was long-term sustainability, as for the achievements to continue and be the funding/resources barrier to sustainable an enabling factor for the creation of a enhanced beyond the duration of the GEF projects financial sustainability of the ABMT support financing and thus to Fund that was specifically intended to needs to be ensured. This was the weakest component of the process. One its delivery and the effective long-term provide long-term funding for ICZM outcome of the 3rd project was a declaration from the Federal Council for the associated policies? implementation of and management of the national MPA Environment and the national system on MPAs on the creation of a Fund to ICZM and the national system. support the implementation of the inter-jurisdictional MPA system. While the MPA system, and Fund was created, as of 2016 it remained empty. delivery of associated policies. One aspect that enabled the successful implementation of the GEF projects was the engagement of government bodies as well as the public sector and academia in the process. Good relationships and trust built Initially, working with each economic sector was not easy. Therefore, through engagement in the process innovative ways of bringing the private sector on board had to be found. This To what extent does from the start, as well as showing was successfully achieved by showing them the benefits that the project stakeholder stakeholders the benefits that ICZM could provide them (e.g. benefits of developing high quality tourist engagement support would have for them, were enabling destinations linked to protected areas). the effective delivery factors that facilitated stakeholder The 2nd project was very collaborative, as it provided sufficient time to bring of the ABMT and engagement and enabled it to support new people on board, build trust and bridge capacity gaps. The second project associated policies? the ICZM process and ensure the was also characterised by the strong involvement of the government who effective delivery of associated took ownership of the project. The second project generated a stakeholder policies. network and strong government support for the ICZM process. The 3rd project benefited from relationships and trust that had been built in the previous project. In particular in the first project, the development of scientific evidence that The strong focus on data generation To what extent did could inform the future development of management options was seen as an in the first project enabled the data provision support important component of the process. Experts and scientists were closely creation of an evidence base that

the delivery of the involved in the first project. This was seen an as advantage particularly provides a baseline for the ABMT? because the opinions expressed by scientists are seen as objective and not development and assessment of economically or politically determined. coastal management and MPAs.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all [2nd project] Objective 4: Establish a programme for alternative production practices, as well as diversification and optimization of biodiversity-related tourism, including wildlife By 2030, devise and implement policies to promote management 8.9 sustainable tourism that creates jobs and promotes local Develop trails and tourist information interpreting native flora as a tourist attraction linked to culture and products areas of Guanaco rearing. In conjunction with local communities and/or associations (which have expressed interest in this initiative) develop pilot-scale activities linked to Guanaco rearing to demonstrate the use of wool as possible sources of income from tourist sales (production of small artisan souvenirs, wool products etc.) and native flora (dried flower arrangement, pressed flowers etc.) [3] SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development [3rd project] The goal of the project is to conserve the coastal-marine biodiversity of By 2020, sustainably manage and protect marine and coastal global importance of Argentina. The project objective is to develop a framework for an ecosystems to avoid significant adverse impacts including by 14.2 effectively managed and financially sustainable Inter-jurisdictional System of Coastal-Marine strengthening their resilience, and take action for their Protected Areas (ISCMPA) for the conservation and sustainable use of Argentina’s coastal restoration in order to achieve healthy and productive oceans marine biodiversity. Project outcomes and outputs are described below. By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and implement science-based management [3rd project] Output 1.3. Operational guidelines and standards defined for ISCMPA 14.4 plans, in order to restore fish stocks in the shortest time administration and its constituent CMPAs, including guidelines to minimize impacts of the feasible, at least to levels that can produce maximum fisheries, oil, transportation, and tourism industries [3] sustainable yield as determined by their biological characteristics [3rd project] The goal of the project is to conserve the coastal-marine biodiversity of global importance of Argentina. The project objective is to develop a framework for an effectively managed and financially sustainable Inter-jurisdictional System of Coastal-Marine Protected Areas (ISCMPA) for the conservation and sustainable use of Argentina’s coastal By 2020, conserve at least 10 per cent of coastal and marine marine biodiversity. Project outcomes and outputs are described below. 14.5 areas, consistent with national and international law and Based on Aichi Target 11, the Project ISCMPA established a goal to extend at least to 4% the based on the best available scientific information coverage of marine and coastal protected areas of Argentina, what was accomplished in 2015. See National Biodiversity Strategy: Action Plan 2016-2020. Furthermore, the national target indicates it is desirable to reach the 10% as set out in Aichi Biodiversity Target 11 , which Argentina interprets as 10% within marine protected areas within national jurisdiction [7] SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values into 15.9 national and local planning, development processes, poverty Detailed local planning decisions made and legal frameworks for them created. reduction strategies and accounts SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Ensure responsive, inclusive, participatory and representative 16.7 Extensive stakeholder engagement process with public meetings and clear feedback. decision-making at all levels SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development [2nd project] The second project was extremely collaborative, also because they had the time to bring new people on board. In order to be able to add more stakeholders, you need time because you need to build trust, and bridge capacity gaps. When the second project was finalised, they had a network, and strong support from the government. The second project Encourage and promote effective public, public-private and was characterised by the strong involvement of the government which made of the project 17.17 civil society partnerships, building on the experience and ‘their own project’. resourcing strategies of partnerships The relationship with private sector was quite close because of their work on the previous project. They were not seen as presenting new work but a new phase of a collaborative work. For example, with the fisheries sector they had made trials with several companies for the identification of mitigation measures to avoid fauna death on fishing nets. So, while they were now proposing new issues to work on, there was trust built from before. (2nd project] An educational program was implemented for teachers of 5th grade to 12th grade in 19 Patagonian towns. The goal was to create capacity and awareness of coastal issues. Capacity-Building: Enhance international support for Recognizing that Patagonia is a single ecosystem, the topics addressed by the educational implementing effective and targeted capacity-building in program addressed both terrestrial and coastal marine issues. A strategic decision was made 17.9 developing countries to support national plans to implement to focus efforts on teachers and to develop with them the necessary curricula. A second all the sustainable development goals, including through strategic decision was to let the teachers themselves identify the issues and topics that are North-South, South-South and triangular cooperation important. The three most important issues that teachers identified were trash, desertification, and water (quality and quantity). Over a period of three years, the FPN staff members held some thirty teacher-training courses in the three provinces. In some towns follow-up courses were offered" Multi-stakeholder partnerships: Enhance the global [3rd project] During the preparatory phase of this project a “Project Steering Committee” was partnership for sustainable development, complemented by created and consolidated, integrated by ministerial-level representatives of relevant multi-stakeholder partnerships that mobilize and share government institutions, belonging to the five coastal provinces and the national government. 17.16 knowledge, expertise, technology and financial resources, to A core activity within the dissemination of information and training of local communities support the achievement of the sustainable development and production sectors was the creation of an Information System for the goals in all countries, in particular developing countries interjurisdictional system of MPAs what enabled expertise being shared across the country.

Sources and references [1] UNEP-WCMC, 2017, International Cross-border Marine Spatial Planning Inventory [2] Thomas, H.L., McOwen, C., Fletcher, R., Weatherdon, L., Fletcher, S., Olsen, S.B. and Vestergaard, O. 2016. Evidence-based analysis and practical guidance on the challenges and enabling factors for successful Marine Spatial Planning. UNEP Nairobi. pp.68 [3] UNDP, 2009, Project Document: Inter-jurisdictional System of Coastal-Marine Protected Areas (ISCMPA) https://www.thegef.org/sites/default/files/project_documents/7-7- 10%2520PIMS%25204248%2520Argentina%2520BD%2520MPA%2520ProDoc.%2520revmg_0.pdf [4] Olsen, S. 1997. Final External Project Evaluation, Project Patagonian Coastal Management Plan, UNDP/GEF. [5] Caille, G., Musmeci J. M. , Harris, G. and Delfino Schenke, R. 2013. Sistema Inter-Jurisdiccional de Áreas Protegidas Costero Marinas – SIAPCM – Argentina. (Proyecto ARG/10/G47 GEF – PNUD), Frente Maritimo, Vol. 23, pp. 55-64. [6] Ministerio de Ambiente y Desarrollo Sustentable, 2016. Sistema nacional de áreas marinas protegidas : bases para su puesta en funcionamiento. Buenos Aires, Argentina. pp.51. Available at: http://ambiente.gob.ar/wp-content/uploads/SISTEMA-NACIONAL-DE-%C3%81REAS-MARINAS-PROTEGIDAS.pdf [7] Republica Argentina, 2017. Estrategia Nacional sobre la Biodiversidad: Plan de Accion 2016-2020. Buenos Aires, Argentina. pp. 97 [8] Delfino Schenke, R. , Musmeci, J. M. and Caille, G. 2012. Sistema Inter jurisdiccional de áreas protegidas costero marinas: efectividad de manejo y línea de base para conformar el sistema. Revista Parques, ISSN 2218-8983. REDPARQUES - Red Latinoamericana de Cooperación Técnica en Parques Nacionales, otras Áreas Protegidas, Flora y Fauna Silvestre; Nº 2; Año 2012, 10 pp. http://revistaparques.net/2013-2/articulos/sistema-interjurisdiccional-areas-protegidas/ [9] Olsen, S. 1997. Final External Project Evaluation, Project Patagonian Coastal Management Plan, UNDP/GEF. [10] Barborak, J. and Cesilini, S. 2010. Evaluacion final "Consolidación e Implementación del Plan de Manejo de la Zona Costera Patagónica para la Conservación de la Biodiversidad ". Available at: https://www.thegef.org/sites/default/files/project_documents/604_205_BD_Argentina_2010_TE_0.pdf Case Study 5. Integrated Coastal Zone Management: Mediterranean Integrated Coastal Zone Management Protocol

Facts about the case study Case-specific entries Tool Integrated Coastal Zone Management (ICZM) Region Mediterranean Adopted in 2008 Implementation status Entered into force in 2011. Action Plan for 2012-2019 in implementation The ICZM Protocol is an implementing mechanism for the Mediterranean Action Plan, which is a Regional Seas initiative set up under the UN Regional Seas Programme in 1975. [1, 2] The ICZM Protocol is part of the legal framework of the Mediterranean Action Plan, along with the Barcelona Convention for the Protection of Governance the Marine Environment and the Coastal Region of the Mediterranean and six other specific Protocols. [1-3] Mechanisms Through ratification by the European Commission in 2010, the ICZM Protocol became EU law and thus legally binding for EU Member States [3] In 2012, the Contracting Parties to the Barcelona Convention adopted an Action Plan for the implementation of the ICZM Protocol for the Mediterranean for 2012-2019. [4] The ICZM Protocol implements obligations set out in Article 4 of the Barcelona Convention for the Protection of the Marine Environment and What is the legal basis the Coastal Region of the Mediterranean. [1] of the ABMT? Through ratification by the European Commission in 2010, the ICZM Protocol became EU law. [3] Is there government Yes. The Barcelona Convention has 22 Contracting Parties, including 21 Mediterranean States and the EU. As of 2017, 11 of the Contracting support for the ABMT? Parties have ratified, approved or adhered to the ICZM Protocol. [2] The Mediterranean Action Plan provides the overarching institutional framework for the ICZM Protocol. The implementation of the ICZM Protocol is coordinated and monitored by the Mediterranean Action Plan (MAP) Coordinating Unit which is hosted by UN Environment and also functions as Secretariat of the Barcelona Convention. The ICZM Protocol is implemented by the Parties to the ICZM Protocol. The Parties report back on the implementation to the ordinary What is the institutional meetings of the Contracting Parties to the Barcelona Convention. framework of the The Priority Actions Programme Regional Activity Centre supports the Contracting Parties on the technical and scientific aspects of the ABMT? implementation, providing technical assistance, guidelines and methodologies for the practical delivery of ICZM. The Centre also supports the MAP Coordinating Unit in the coordination of the implementation of the ICZM Protocol. The Action Plan for the implementation of the ICZM Protocol for the Mediterranean (2012-2019) a) supports the implementation of the ICZM Protocol at regional, national and local levels (including through a Common Regional Framework), b) strengthens the capacities of Contracting Parties to implement the Protocol, and c) promotes the ICZM Protocol and its implementation regionally and internationally. What type of The lead entities for the implementation of the ICZM Protocol are the Contracting Parties to the Barcelona Convention, i.e. national organisation is the Lead governments, and the Mediterranean Action Plan Coordinating Unit, i.e. an international convention secretariat with diplomatic status Entity? accorded to it by the Government of Greece. Integrated coastal zone planning and management is regarded as the key tool for achieving the objectives of the Mediterranean Action Plan (MAP): - sustainable management of natural resources - protection of the marine environment from pollution - protection of nature and sites of ecological or cultural value What policies are being - strengthening of solidarity among Mediterranean states, in managing their common heritage and resources implemented by the - improving the quality of live. [5] ABMT? MAP implements the policy of the Regional Seas Programme to coordinate activities aimed at the protection of the marine environment through a regional approach for the Mediterranean. [5] The ICZM Protocol requires its Parties to establish a common framework for the integrated management of the Mediterranean. The ICZM Action Plan states that "ICZM remains the key tool for delivering the wide range of sectoral and institutional policies in the coastal zone, and the ICZM Protocol for the Mediterranean represents a major achievement in global terms in delivering a common agenda for a regional sea." [4] Article 5 of the ICZM Protocol describes the objectives of integrated coastal zone management: 1) facilitate sustainable development of coastal zones, taking into account the environment as well as economic, social and cultural development What are the primary 2) preserve coastal zones for current and future generations goals / objectives of the 3) ensure sustainable use of natural resources ABMT? 4) ensure preservation of the integrity of coastal ecosystems, landscapes and geomorphology 5) prevent/reduce the effects of natural hazards and climate change 6) achieve coherence between public and private initiatives and between public authority decisions at the national, regional and local level. The ICZM Protocol is implemented by the Parties through legal instruments, strategies, plans, programmes or projects. The Protocol sets out the elements of ICZM that should be included in the national approaches. These elements include [1]: - protection and sustainable use of the coastal zone, including zones where construction is not allowed, areas in which certain activities are restricted or prohibited, public freedom of access to sea and shore, - economic activities, including minimising resource use, integrated water management and environmentally sound waste management, indicators of economic development, codes of good practice, taking into account the need to protect fishing areas in development projects What are the and ensuring sustainable fishing practices, sustainable tourism and regulation of various sporting and recreational activities, regulation of management measures utilisation of specific natural resources (e.g. sand extraction), authorisation of infrastructure, energy facilities, ports, maritime works and associated with the structures, ensure that maritime activities are conducted in a manner to ensure the preservation of coastal ecosystems, ABMT? - measures to protect specific coastal ecosystems, including wetlands and estuaries, marine habitats, coastal forests and woods, and dunes - measures to protect the aesthetic, natural and cultural value of coastal landscapes, - special protection for islands - appropriate measures to preserve and protect cultural, archaeological and historical heritage, - stakeholder participation - awareness raising, training, education and research Does the ABMT involve Yes. The ICZM Protocol implements an integrated, cross sectoral, ecosystem based management approach and specifically requires states to cross sectoral ensure institutional coordination in order to avoid sectoral approaches. cooperation? Which SDGs do the management measures 8.4, 8.9, 11.3, 11.4, 12.2, 13.1, 13.2, 14.1, 14.2, 14.3, 14.4, 14.5 and 17.9 support? The Mediterranean Action Plan (MAP) adopted the ecosystem approach as guiding principle for the MAP Programme of Work all policies Does the AMBT process implemented under the Barcelona Convention. [6] follow an ecosystem The ICZM Action Plan is coherent with this application of the ecosystem approach. [4] approach? Moreover, Integrated coastal zone management is an ecosystem based management approach that integrates land and sea, environmental, economic, social and cultural considerations in one comprehensive planning and management framework. The ICZM Protocol includes requirements for the Parties to gather and exchange data for the purpose of monitoring and observation. A Does the ABMT process Reporting Format for the ICZM Protocol was adopted at the 19th Meeting of the Contracting Parties to the Barcelona Convention, requesting incorporate data and the Contracting Parties having ratified the Protocol and invites the signatory Parties to submit, on a voluntary basis, a biennial report of the evidence? implementation of the Protocol within the framework of the reporting system of the Barcelona Convention and its Protocols. What type of data was The type of data required under the ICZM Protocol is not specified but is likely to include ecological, economic, resource use and social used in the ABMT information. development process? Article 14 of the ICZM Protocol requires its Parties to provide appropriate involvement of stakeholders in the formulation and implementation Does the ABMT process of coastal and marine strategies, plans, programmes or projects. Relevant stakeholders include public bodies, economic operators, non- include stakeholder governmental organisations, social actors and the public. Stakeholder engagement can involve consultation, inquiries, public hearings and engagement? partnerships. To support stakeholder engagement, Parties shall effectively provide adequate and timely information. Stakeholders have the right to challenge decisions and, in such cases, shall have access to mediation, conciliation, and administrative or legal recourse. [1] Does the ABMT use spatial and/or scenario No information on the use of spatial or scenario analysis was found. analysis to support decisions? What decision-support tools were used to The ICZM Protocol includes requirements for environmental impact assessments and strategic environmental assessments. support the planning process? What is the spatial The spatial focus of the ICZM Protocol is the Mediterranean Sea, seawards to the external limit of the territorial sea of the Parties, and focus of the ABMT? landwards to the limit of the competent coastal units as defined by the Parties. At what scale is the Under the ICZM Protocol, ICZM is mainly implemented by the Parties to the Protocol at national, sub-national or local scale. However, the ABMT process Protocol encourages transboundary cooperation where appropriate. Moreover, the Parties are required to develop a common regional implemented? framework for ICZM in the Mediterranean to be implemented through regional action plans or other regional instruments, as well as through national strategies. Overall, the ICZM Protocol aims to contribute to a regional approach to planning and management for the Mediterranean Sea under the Mediterranean Action Plan. The ICZM Protocol does not set a timeframe for the management measures. While national strategies, plans and programmes, or projects What is the timeframe might be short or medium term, it can be assumed that the overall timeframe for ICZM in the Mediterranean under the Mediterranean Action focused on for the Plan and Barcelona Convention is long term. management The Action Plan supporting the implementation of the Protocol sets objectives and output requirements for 2012-2019, with a mid-term review measures? in 2014. Does the ABMT include an evaluation The Action Plan for the Protocol was subject to mid-term review and evaluation in 2014. The evaluation was done on the basis of the framework, and if so, accomplishment of the outputs listed in the Action Plan. what is the framework? The Parties to the ICZM Protocol are required to establish appropriate mechanisms for monitoring and observation. These mechanisms are not further specified in the Protocol. Does the ABMT include The Parties are also required to prepare and update national inventories of coastal zones, including information on natural resources and performance human activities, on institutions, legislation and planning. monitoring, and if so, The Parties are further required to participate in a regional network to promote exchange and scientific experience, data and good practice. what is the framework? The Action Plan for the Protocol states that monitoring will be done on the basis of the accomplishment of the outputs listed in the Action Plan using indicators as appropriate. What indicators are Parties to the ICZM Protocol are to define indicators of the development of economic activities and, more generally, appropriate indicators to used in the monitoring evaluate the effectiveness of ICZM strategies, plans and programmes and the progress of implementation of the Protocol. The nature of these of the ABMT? indicators is not further specified, however, they are likely to be environmental, economic and social indicators.

Case study assessment Assessment questions Responses Barriers Enablers The regional legal framework The Barcelona Convention sets out a general commitment to promote enables the implementation of To what extent does the integrated management of the coastal zones. This provides a strong legal legal basis of the ABMT the ICZM Protocol by incentive for the Contracting Parties to ratify the ICZM Protocol, which, in turn, support the delivery of encouraging or legally creates a legal obligation for the States to implement ICZM. the ABMT and requiring ratification and The fact that the ICZM Protocol became EU law creates an even stronger legal associated policies? implementation at national requirement for those Mediterranean States that are members of the EU. level. To what extent does the The ICZM Protocol is implemented by its Parties through national legislation, Lack of consistent Flexibility for States to institutional framework strategies, plans and programmes. A comprehensive stock-take of the institutional structures and implement ICZM through associated with the implementation status of the ICZM Protocol in 2011/2012 revealed that legal frameworks, of clear existing national legislation or ABMT support the Mediterranean States employ a wide variety of legislative tools, instruments strategic priorities, human strategies is potentially an delivery of the ABMT and associated and programmes to implement the Protocol, with varying degrees of progress and technical capacity and enabling factor facilitating policies? and capacity. However, only few specific legislation or institutional frameworks institutional coordination, implementation of the have been established for implementing ICZM or the Protocol. [4] of access and exchange of Protocol. The stocktake identified that what is needed to improve implementation of high quality information, ICZM across the Mediterranean is: knowledge and research, of The definition of National - consistency of institutional structures and legal frameworks for ICZM a support structure for ICZM Strategies (Algeria, - clear strategic priorities to guide ICZM implementation and Morocco, Montenegro, etc.) - human and technical capacity and institutional coordination monitoring and limited are also strategic documents - awareness of the Protocol and ICZM in the region and internationally awareness of the Protocol enabling the futher - a strong centre of ICZM excellence to support the implementation and are barriers to its implementation of ICZM monitoring of ICZM implementation. principles on the ground. - access and exchange of high quality information, knowledge and research [4] The ICZM Action Plan states that "ICZM remains the key tool for delivering the wide range of sectoral and institutional policies in the coastal zone, and the ICZM Protocol for the Mediterranean represents a major achievement in global terms in delivering a common agenda for a regional sea." [4 The Directive 2014/89/EU on However: Maritime Spatial Planning - ICZM is still localised, short term and project based - major upscaling is specifies that the planning needed to meet natural and anthropogenic challenges regionally process, even to foster a - ICZM needs a strategic context to avoid piecemeal activity sustainable use of maritime - ICZM is still largely seen as environmental activity - social and economic area, should take into account actors and institutions have yet to be fully engaged Limitations to the current land-sea interactions and To what extent does the - Divide remains between marine and terrestrial planning and management regional implementation of promote the collaboration ABMT support the - Future risks and uncertainties, notably climate change and natural disasters, ICZM are a barrier to the between Member States delivery of marine and need to be fully integrated effective delivery of without imposing new coastal policies? - ICZM's role as key tool for the implementation of the ecosystem approach is associated marine and obligations. The land-sea not yet recognised [4] coastal policies. interactions and related processes constitute the As reported in the UNEP/MAP Mid-Term Strategy 2016-2021 (MTS), the central issue of the 3rd Mid- Contracting Parties, at COP 18 recommended to strengthen Mediterranean Term Strategy 2016-2021 of Action Plan activities in the field of Marine Spatial Planning (MSP) in order to UNEP MAP, and correspond to contribute to GES, investigate in more detail the connections between land and the first MSSD objective and sea areas, and propose coherent and sustainable land and sea-use planning to the SDGs 14 and 15. frameworks relating with key economic sectors and activities that may affect the coastal and marine resources. Although MSP is not expressly mentioned in the Protocol on ICZM in the Mediterranean, spatial planning of the coastal zone is considered an essential instrument of the implementation of the same Protocol. The Directive 2014/89/EU on Maritime Spatial Planning specifies that the planning process, even to foster a sustainable use of maritime area, should take into account land-sea interactions and promote the collaboration between Member States without imposing new obligations. The land-sea interactions and related processes constitute the central issue of the 3rd Mid-Term Strategy 2016-2021 of UNEP MAP, and correspond to the first MSSD objective and to the SDGs 14 and 15. The inclusion of requirements To what extent does the for regional cooperation in the ABMT promote The ICZM Protocol requires its Parties to strengthen regional cooperation for legal basis for ICZM in the transboundary the purpose of implementing ICZM in the Mediterranean. Mediterranean is an enabling cooperation? factor for encouraging transboundary cooperation. Inclusion of requirements for institutional coordination in To what extent does the The ICZM Protocol recognises cross-sectoral organisation of institutional the ICZM Protocol is an ABMT process coordination in coastal zones as a key principle of ICZM and includes enabling condition for cross- emphasise multi-sector requirements for institutional coordination to avoid sectoral approaches and sectoral cooperation in the engagement? facilitate comprehensive approaches. implementation of ICZM in the Mediterranean as it facilitates an integrated approach. No mention of an iterative or adaptive process was found. The Action Plan includes a provision for a mid-term review and evaluation of the implementation of the Action Plan based on the accomplishment of outputs. Lack of provisions for However, no provisions are included for the case of poor implementation. The creation of synergies adapting the Action Plan in To what extent does the between existing projects in response to review and ABMT utilise an In designing the ICZM process, PAP/RAC has created synergy between two the region helps to ensure a evaluation results is a iterative/adaptive major ICZM-related projects in the Mediterranean: EU FP7 PEGASO project and more coordinated and barrier to an adaptive process? the GEF-funded Strategic Partnership in the Mediterranean Large Marine integrated approach to approach to ICZM in the Ecosystem (MedPartnership). Within this latter, PAP/RAC is working closely regional management. Mediterranean. with the Global Water Partnership (GWP) and UNESCO-IHP to ensure effective integration with river catchment and water basin management, and coastal ground water management. To what extent does the According to the ICZM Action Plan, "the existing funding base is relatively Insufficient funding has funding/resources of narrow and will not be sufficient to fully deliver the ambitions of the ICZM been identified as a barrier the ABMT support its Protocol and this Action Plan. Effort will therefore be required at the regional to the effective delivery and associated and national levels to attract external funding". [4] implementation of ICZM policies? across the Mediterranean. To what extent does Stakeholder engagement is stakeholder The ICZM Protocol recognises stakeholder engagement as a key principle of seen as an enabling factor for engagement support ICZM and, accordingly, includes stakeholder engagement requirements to the effective implementation the effective delivery of ensure efficient governance of coastal zones. of ICZM across the the ABMT and Mediterranean. associated policies? The ICZM Protocol includes requirements for gathering data on coastal zones in national inventories and promotes exchange of scientific experience and data for the purpose of monitoring and observation. It also requires the Parties to agree on data reference formats and collection processes to facilitate this. Thus, the ICZM Protocol recognises that data is required for monitoring and evaluation purposes. However, it fails to set out a more specific framework for Having reference formats and data collection, monitoring and evaluation. collection processes that are agreed between all The lack of specific The ecosystem approach process has been supported by two projects, both Contracting Parties could be frameworks for data financed by the European Commission: EcAp-MED I (2012-2015) and EcAp-MED an enabling factor for collection, monitoring and II (2015-2018). The overall objective of the EcAp-MED II project (full title: effective data collection to evaluation could be a Mediterranean implementation of the ecosystem approach, in coherence with support the implementation of To what extent did data potential barrier to the EU MSFD) is to support the UNEP/MAP Barcelona Convention and its ICZM across the provision support the effective data support for Southern Mediterranean Contracting Parties to implement the EcAp in synergy Mediterranean. delivery of the ABMT? the implementation of and coherence with the implementation of the European Union (EU) Marine ICZM across the Strategy Framework Directive (MSFD). The focus of the PAP/RAC involvement The establishment of Mediterranean, although no in the EcAp-Med II project is to assist in the implementation of the Coast (EO8) dedicated projects to support evidence was found that and Hydrography (EO7) indicators, as well as to contribute to the overall project the implementation of various this is the case so far. implementation in coordination with the MAP Secretariat. The indicators, the European indicators supports implementation of which is governed by PAP/RAC are: an ecosystem approach to area-based planning. EO7 common indicator on Hydrography ("Location and extent of the habitats impacted directly by hydrographical alterations"); EO8 common indicator on Coast ("Length of coastline subject to physical disturbance due to the influence of manmade structures"); and EO8 candidate common indicator on Coast ("Land-use change").

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Improve progressively, through 2030, global resource efficiency in consumption and production and Article 5 (c) ensure the sustainable use of natural resources, particularly with regard to water endeavour to decouple economic growth from use; (ICZM Protocol, p. 21) 8.4 environmental degradation, in accordance with the 10-year framework of programmes on sustainable Article 9 (b) ensure that the various economic activities minimise the use of natural resources consumption and production, with developed and take into account the needs of future generations; (ICZM Protocol, p. 22) countries taking the lead (i) to encourage sustainable coastal tourism that preserves coastal ecosystems, natural By 2030, devise and implement policies to promote resources, cultural heritage and landscapes; 8.9 sustainable tourism that creates jobs and promotes (ii) to promote specific forms of coastal tourism, including cultural, rural and ecotourism, (ICZM local culture and products Protocol, p. 23) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable By 2030, enhance inclusive and sustainable ICZM protocol management measures - protection and sustainable use of the coastal zone, urbanization and capacity for participatory, integrated 11.3 including zones where construction is not allowed, areas in which certain activities are and sustainable human settlement planning and restricted or prohibited, public freedom of access to sea and shore. management in all countries Article 8 Protection and sustainable use of the coastal zone: 1. In conformity with the objectives and principles set out in Articles 5 and 6 of this Protocol, the Parties shall endeavour to ensure the sustainable use and management of coastal zones in order to preserve the coastal natural habitats, landscapes, natural resources and ecosystems, in compliance with international and regional legal instruments. (ICZM Protocol, p. 22)

Article 10 Specific coastal ecosystems: The Parties shall take measures to protect the characteristics of certain specific coastal ecosystems, as follows: (ICZM Protocol, p. 23) Strengthen efforts to protect and safeguard the 11.4 world’s cultural and natural heritage Article 11 1: The Parties, recognising the specific aesthetic, natural and cultural value of coastal landscapes, irrespective of their classification as protected areas, shall adopt measures to ensure the protection of coastal landscapes through legislation, planning and management. (ICZM Protocol, p. 23) Article 13 Cultural heritage: 1. The Parties shall adopt, individually or collectively, all appropriate measures to preserve and protect the cultural, in particular archaeological and historical, heritage of coastal zones, including the underwater cultural heritage, in conformity with the applicable national and international instruments. (ICZM Protocol, p. 24) SDG 12: Ensure sustainable consumption and production patterns Article 5 (a) facilitate, through the rational planning of activities, the sustainable development of coastal zones by ensuring that the environment and landscapes are taken into account in harmony with economic, social and cultural development; (c) ensure the sustainable use of natural resources, particularly with regard to water use; (ICZM Protocol, 21) By 2030, achieve the sustainable management and 12.2 efficient use of natural resources Article 8 Protection and sustainable use of the coastal zone: 1. In conformity with the objectives and principles set out in Articles 5 and 6 of this Protocol, the Parties shall endeavour to ensure the sustainable use and management of coastal zones in order to preserve the coastal natural habitats, landscapes, natural resources and ecosystems, in compliance with international and regional legal instruments. (ICZM Protocol, p. 22) SDG 13: Take urgent action to combat climate change and its impacts Strengthen resilience and adaptive capacity to Article 5 (e) prevent and/or reduce the effects of natural hazards and in particular of climate 13.1 climate related hazards and natural disasters in all change, which can be induced by natural or human activities; (ICZM Protocol, p. 21) countries Article 22 Natural hazards: Within the framework of national strategies for integrated coastal zone management, the Parties shall develop policies for the prevention of natural hazards. To Integrate climate change measures into national 13.2 this end, they shall undertake vulnerability and hazard assessments of coastal zones and take policies, strategies and planning prevention, mitigation and adaptation measures to address the effects of natural disasters, in particular of climate change. (ICZM Protocol, p. 25) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in particular from land-based Article 9 (d) ensure that the coastal and maritime economy is adapted to the fragile nature of 14.1 activities, including marine debris and nutrient coastal zones and that resources of the sea are protected from pollution; (ICZM Protocol, p. 22) pollution Article 8 Protection and sustainable use of the coastal zone: 1. In conformity with the objectives and principles set out in Articles 5 and 6 of this Protocol, the Parties shall endeavour to ensure the sustainable use and management of coastal zones in order to preserve the coastal natural By 2020, sustainably manage and protect marine and habitats, landscapes, natural resources and ecosystems, in compliance with international and coastal ecosystems to avoid significant adverse regional legal instruments. (ICZM Protocol, p. 22) 14.2 impacts including by strengthening their resilience, and take action for their restoration in order to Article 22 Natural hazards: Within the framework of national strategies for integrated coastal achieve healthy and productive oceans zone management, the Parties shall develop policies for the prevention of natural hazards. To this end, they shall undertake vulnerability and hazard assessments of coastal zones and take prevention, mitigation and adaptation measures to address the effects of natural disasters, in particular of climate change. (ICZM Protocol, p. 25) Article 25 Training and research: 1. The Parties undertake, directly or with the assistance of the Organisation or the competent international organisations, to cooperate in the training of scientific, technical and administrative personnel in the field of integrated coastal zone management, particularly with a view to: (a) identifying and strengthening capacities; Minimize and address the impacts of ocean (b) developing scientific and technical research; 14.3 acidification, including through enhanced scientific (c) promoting centres specialised in integrated coastal zone cooperation at all levels management; (d) promoting training programmes for local professionals. 2. The Parties undertake, directly or with the assistance of the Organisation or the competent international organisations, to promote scientific and technical research into integrated coastal zone management, particularly through the exchange of scientific and technical information and the coordination of their research programmes on themes of common interest. By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and implement science-based management plans, in Article 9 (ii) to ensure that fishing practices are compatible with sustainable use of natural 14.4 order to restore fish stocks in the shortest time marine resources; (ICZM Protocol, p. 22) feasible, at least to levels that can produce maximum sustainable yield as determined by their biological characteristics Article 8 (a) shall establish in coastal zones, as from the highest winter waterline, a zone where construction is not allowed. Taking into account, inter alia, the areas directly and negatively affected by climate change and natural risks, this zone may not be less than 100 meters in width, subject to the By 2020, conserve at least 10 per cent of coastal and provisions of subparagraph (b) below. Stricter national measures determining this width shall marine areas, consistent with national and continue to apply; (ICZM Protocol, p. 22) 14.5 international law and based on the best available scientific information Article 10 The Parties, recognising the need to protect marine areas hosting habitats and species of high conservation value, irrespective of their classification as protected areas, shall: (a) adopt measures to ensure the protection and conservation, through legislation, planning and management of marine and coastal areas, in particular of those hosting habitats and species of high conservation value; (ICZM Protocol, p. 23) SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Capacity-Building: Enhance international support for 17.9 implementing effective and targeted capacity-building Protocol management measure - awareness raising, training, education and research in developing countries to support national plans to implement all the sustainable development goals, including through North-South, South-South and triangular cooperation

Sources and references [1] ICZM Protocol [2] http://www.unep.org/unepmap/who-we-are/legal-framework [3] Draft Action Plan for the implementation of the ICZM Protocol for the Med http://www.pap- thecoastcentre.org/razno/action_plan_iczm_protocol_29_april_11_final.pdf [4] ICZM Action Plan [5] UNEP 2012. Mediterranean Action Plan. Barcelona Convention and its Protocols. https://wedocs.unep.org/rest/bitstreams/1298/retrieve [6] http://www.unep.org/unepmap/who-we-are/ecosystem-approach [7] http://www.vliz.be/v/index.php?title=The_ICZM_Process_-_a_Roadmap_towards_Coastal_Sustainability_-_Introduction&vliz=1 [8] UNEP(DEPI)/MED IG.22/28 (Decision IG.22/16) Case Study 6. Large Marine Ecosystem: Bay of Bengal Large Marine Ecosystem Project (BOBLME)

Facts about the case study Case-specific entries Tool Large Marine Ecosystem (LME) The project comprises the Bay of Bengal and involves 8 countries: Bangladesh, India, Indonesia, Malaysia, the Maldives, Myanmar, Sri Lanka Region and Thailand. A preparatory phase, commissioned by FAO from 2002 to 2004, involved conducting a preliminary Transboundary Diagnostic Analysis (TDA) to identify shared issues, causes and drivers within the region. This analysis was updated as part of the BOBLME process in 2011, and using the Implementation status TDA as its foundation, Phase 1 of the BOBLME project focused on the development of a Strategic Action Programme (SAP) for the region over a five year period beginning in April 2009 and ending in December 2015. [4] Since 2016, the BOBLME project has been preparing for Phase 2 "SAP Implementation Project", which has yet to begin. [7] Various national policies and legislation relating to issues such as marine and coastal resource use and environmental protection were in place within member countries prior to the BOBLME project. However, a fundamental problem with such policies was a lack of enforcement and their inability to address regional concerns. [4] Governance

Mechanisms The 2015 Strategic Action Programme (SAP) represents a shared vision of the 8 member countries and demonstrates their commitment to working together to address transboundary issues in the region. In addition to this, there are various national obligations and commitments under International Conventions or Agreements which help to drive national actions, which ultimately contribute towards regional objectives. The Strategic Action Programme (SAP) was developed by the 8 BOBLME member countries to set out a programme of actions which address the causes of major fisheries, environmental and socio-economic issues. [4] It is envisaged that the SAP will provide BOBLME countries with a stronger mandate to continue their collaboration to address transboundary issues. However, the document is not legally binding and contains What is the legal basis no legal obligations for member countries. The 8 member countries have made voluntary commitments only.[4] of the ABMT?

The SAP was negotiated between the member countries and was distributed for signature in 2015. As of 2016, 14 of 16 partner institutions have endorsed the SAP and endorsements from the remaining two are being sought. Government commitment is a key component and noted as a foundational principle of the SAP. As such, the development of the Strategic Is there government Action Programme (SAP) was guided by the BOBLME Project Steering Committee (PSC) which is comprised of senior-level government support for the ABMT? officers from the fisheries and environmental agencies in each country. [4] The governments of BOBLME member countries have also provided financing towards the project, thus demonstrating their commitment to developing national and regional programmes of work. A BOBLME Project Steering Committee (PSC), comprising two senior government officials from each countries, plus FAO and donor representatives, was established to govern the project and guide the development of the Strategic Action Programme (SAP) through reflection, assessment and consultation processes over the seven year period. The execution of the project was led by a Regional Coordination Unit, What is the institutional which coordinated with National Coordinators to organise project activities in each county and engaged directly with relevant national, sub- framework of the regional, regional and international organisations. ABMT? The Strategic Action Programme (SAP) provides a framework to guide efforts to address issues such as food security, economic growth and environmental protection. [4] In line with the Strategic Action Programme (SAP), BOBLME member countries each have a National Action Programme (NAP), under which a range of national actions are undertaken to address national priorities and also transboundary actions to contribute towards the objectives of the regional programme of action. Such actions are likely to differ between countries due to differences in priorities, capacity and resources. [4]

It was identified that there is no existing body or environmental convention that has a broad enough mandate to encompass all aspects of the SAP within its geographical range. Therefore, in 2013, the BOBLME Project Steering Committee endorsed an interim institutional arrangement for the implementation of the Strategic Action Programme This was to consist of a consortium of countries and major partners and donors working in the areas of fisheries, environment, and water quality, titled the "Consortium for the Conservation and Restoration of the BOBLME" (CCR-BOBLME). [4] Consortium members have yet to be defined and a more permanent institutional arrangement will be determined during the SAP Implementation Phase (Phase 2). [4] The Food and Agriculture Organisation of the United Nations (FAO) was the executing agency for the BOBLME project. What type of organisation is the Lead Implementation of the Strategic Action Programme (SAP) has not yet occurred, however various relevant national actions are already Entity? underway in member countries and are led by the relevant national agencies. The BOBLME project supports the implementation of overarching policies to support the recovery of the Bay of Bengal (a large marine What policies are being ecosystem), to strengthen governance, to improve resource management and to improve knowledge and understanding of the marine implemented by the environment. [1] In particular, the BOBLME Strategic Action Programme (SAP) aims to support collaborative efforts and the implementation of ABMT? regional policies to address issues of resource overexploitation, marine habitat degradation (seagrass, mangroves and corals), pollution and water quality and socio-economic development. [4] In line with the agreed vision for "A healthy ecosystem and sustainable use of the people and countries of the Bay of Bengal" (p.20, [4]), the overall aim of the BOBLME project is to improve the lives of coastal populations through better regional management of the Bay of Bengal environment and its fisheries. [1]

Under this overarching aim and vision, the Strategic Action Programme (SAP) sets out four key themes, each of which has an associated ecosystem quality objective: Theme 1: Marine Living Resources What are the primary - Fisheries and other living marine resources have been restored and are managed sustainably goals / objectives of the Theme 2: Critical habitats ABMT? - Degraded, vulnerable and critical habitats are restored, conserved and maintained Theme 3: Water Quality - Coastal and marine pollution and water quality are controlled to meet agreed standards for human and ecosystem health. Theme 4: Social and economic considerations - Social and economic constraints are addressed, leading to increased resilience and empowerment of coastal people.

The Strategic Action Programme (SAP) sets out further objectives under each ecosystem quality objective, for which there are time-bound targets to assess progress. *A full list of objectives can be found in section 3.4 of the SAP (p.20, [4]). What are the The Strategic Action Programme (SAP) describes both regional and national actions to work towards the objectives of each key theme. These management measures actions are grouped into 4 key areas: Institutional Arrangements, Legal and Policy Reforms; Management Measures; Knowledge associated with the Strengthening, Awareness and Communication; and Human Capacity Development. ABMT? Broadly speaking, the actions/management measures set out at the regional level pertain to the development and refinement of institutional and legal frameworks to address issues relating to the four key themes, coordination of national efforts under regional plans, the establishment and strengthening of regional monitoring networks, improving understanding and awareness of key issues, data access, and training. [4]

The Strategic Action Programme (SAP) outlines various national level actions, some of which are already being undertaken by member countries. Actions are categorised similarly to regional actions and are focused into themes such as, strengthening national policy and legislation in accordance with national and regional priorities, promoting good practice for activities relating to the four key themes, spatial management approaches, data collection and information improvement, educational programmes and training. [4] *A detailed list of regional and management measures can be found in section 3.4 in the BOBLME SAP.

The development of the Transboundary Diagnostic Analysis (TDA) and the Strategic Action Programme (SAP) involved more than 20 Does the ABMT involve institutions, bodies and agencies, with a spectrum of mandates and competencies. As part of the project, member countries have established cross sectoral multi-sectoral National Task Forces to foster cooperation and coordination when addressing a range of issues. These are comprised of cooperation? representatives from government ministries and departments, international and national NGOs, International development agencies, university researchers, public and private research institutions, the private sector and civil society organisations. [1] Which SDGs do the management measures 1.1, 1.2, 1.4, 1.5, 2.1, 2.2, 8.4, 8.5, 8.9, 12.2, 12.4, 12.5, 13.1, 13.2, 13.3, 13.b, 14.1, 14.2, 14.4, 14.5, 14.7, 14.b, 14.c, 15.9, 16.7, 17.7, 17.9 and 17.16 support? Large Marine Ecosystems (LMEs) are noted as scientifically defined areas in which ecosystem-based management approaches can be Does the AMBT process applied. One of the BOBLME Strategic Action Programme's underlying principles and concepts is an ecosystem approach to fisheries follow an ecosystem management (EAFM) in order to sustain economically important, shared fish stocks within the Bay of Bengal region [4]. EAFM under the approach? programme also includes the promotion and implementation of small-scale fisheries guidelines [1]. To support this, the BOBLME project has developed a training course on EAFM to be provided to stakeholders during implementation of the Strategic Action Programme (SAP). [4] Does the ABMT process The Strategic Action Programme is based upon a foundational Transboundary Diagnostic Analysis (TDA). The analysis was conducted based incorporate data and on over 10 years of studies, reviews and analyses of issues in the region, their causes and the driving forces within the BOBLME, e.g. socio- evidence? economic, institutional, legal etc. [4] As part of the BOBLME project, a Transboundary Diagnostic Analysis (TDA) was conducted to identify, quantify and rank water-related What type of data was environmental transboundary issues and their causes. The TDA provides a scientific basis for the Strategic Action Programme. [3] used in the ABMT development process? Additionally, LMEs are defined based upon data about their bathymetry, hydrography, productivity and trophic interactions. [4] The BOBLME Transboundary Diagnostic Analysis (TDA) and Strategic Action Programme (SAP) were developed through comprehensive reviews, analyses and consultations at both national and regional levels. [4] The project worked with a wide range of stakeholders to develop a regional programme which outlines the ways and means of addressing priority issues identified by member countries. Stakeholders involved Does the ABMT process include communities, local, national and state governments, universities, technical experts, NGOs, industry and regional organisations.[1] include stakeholder engagement? Specific actions under the Strategic Action Programme (SAP) were also decided based upon consultations at a number of action planning workshops with technical experts. Through consultations, countries prioritised regional actions in which they wish to collaborate and identified national actions they wish to undertake in support of the regional programme of action. [4] Does the ABMT use There is no mention of the use of spatial analysis to support the development of the Strategic Action Programme under the BOBLME Project. spatial and/or scenario However, the Bay of Bengal Large Marine Ecosystem Marine Protected Area Atlas, listing MPAs relevant to the region, has been established to analysis to support facilitate communication between MPA practitioners and aid the diffusion of innovative practices throughout the area. [9] decisions? What decision-support The BOBLME project undertook the first ever regional assessment of the economic value of marine and coastal ecosystem services in the tools were used to BOBLME. The assessment allowed for estimates of the potential economic gains and costs avoided through implementation of the Strategic support the planning Action Programme (SAP) and the degradation and over-exploitation of the region's natural resources and habitats halted. [4] process? What is the spatial The Bay of Bengal Large Marine Ecosystem (BOBLME) encompasses a large area in the north east Indian Ocean. The total maritime area focus of the ABMT? considered under the BOBLME project is around 6.2 million km2, with 4.3 million km2 occurring within country EEZs. [4] At what scale is the The BOBLME is an international transboundary initiative between 8 countries: Bangladesh, India, Indonesia, Malaysia, the Maldives, Myanmar, ABMT process Sri Lanka and Thailand. implemented? What is the timeframe focused on for the management The Strategic Action Programme (SAP) sets out objective-specific targets for both the short-term (2025) and long-term (2050). [4] measures? Does the ABMT include The Strategic Action Programme (SAP) does not explicitly set out an evaluation framework or requirement. However, it recognises monitoring an evaluation and evaluation as important tools for project and programme management. The programme document states that monitoring and evaluation framework, and if so, will be the responsibility of a Strategic Action Plan Coordination Unit during Phase 2 of the BOBLME project, which has yet to begin. [4] what is the framework? Does the ABMT include Specific regional and national actions noted in the SAP involve the establishment of monitoring programmes and networks to track progress performance towards targets and to coordinate monitoring efforts among the 8 member countries. The coordination of these efforts are the responsibility of monitoring, and if so, the SAP Coordination Unit (p.52, [4]) what is the framework? Indicators are to be developed for the Ecosystem Quality Objectives and the 13 specific objectives identified in the Strategic Action What indicators are Programme (SAP) and should make use of the Large Marine Ecosystem (LME) assessment methodology which shows the links between used in the monitoring human vulnerability and natural and anthropogenic stressors, ecosystem services and the consequences for humans and governance of LMEs of the ABMT? (p.52, [4]). Three types of indicators are noted: (i) process indicators; (ii) stress reduction indicators; (iii) and environmental status indicators [4]

Case study assessment Assessment questions Responses Barriers Enablers To what extent does The BOBLME Project represents a collaborative effort of 8 countries in the Bay of The SAP is not legally The voluntary nature of the legal basis of the Bengal region to identify national and shared issues and to develop actions in binding and countries implementation may encourage ABMT support the response. The Strategic Action Programme (SAP), developed under the project, are not legally obliged member states to implement delivery of the ABMT demonstrates country commitment towards addressing issues of food security, to implement suggested measures as they make pledges and associated water pollution, environmental degradation, fisheries overexploitation etc. actions. that are in line with their capacity policies? However, the Strategic Action Programme (SAP) is not legally binding and countries are not obliged to implement suggested actions, rather countries make and are not bound by legal voluntary commitments. requirements they cannot meet. Prior to the BOBLME Project, none of the international, regional and sub-regional Previously a lack of bodies and programmes operating in the area had a clear mandate, the capable regional geographical scope and/or the capacity to support a regional initiative to institutional effectively address the spectrum of issues within the Bay of Bengal. In addition, arrangements to a fundamental issue is that of non-compliance with existing management facilitate a coordinated, practices, which could be attributed to inadequate governance and the existence regional management of many ineffective policies, strategies and legal measures at the National level. approach. [2, 4] Inadequate policies, alongside other institutional limitations such as, weak institutional capacity at national levels, insufficient budgetary commitments, and Weak and/or The SAP is a manifestation of lack of community stakeholder consultation and empowerment impede the inappropriate policies, member country commitments development of regional arrangements. [2] strategies and legal for coordinated regional actions measures, as well as which ultimately aims to facilitate The establishment of a BOBLME Project Steering Committee, comprising two enforcement within the regional management. To what extent does senior government officials from each member country, helped to govern the region hinder the institutional project and the development of a Strategic Action Programme. However it has development of a Governing body comprising framework associated been noted that the committee could have been strengthened as a governing regional arrangement. member country representatives with the ABMT body, by enabling country officials to more easily lead and steer their own could facilitate the development support the delivery of countries' activities under the BOBLME project. [8] The existence of a body The strength of the PSC of realistic and fair management the ABMT and (Regional Coordination Unit) with a specific coordination role in each country as a governing body, actions, in line with country associated policies? also helped to ensure that management actions or activities were developed or serving more as an priorities and capacity. conducted in line with relevant sub-national, national, regional and international administrative body organisations. In addition, the institutional arrangements considered in the rather than a strategic A specific body for coordination Strategic Action Programme (SAP) failed to adequately consider the potential for management body, between countries enables a extending and/or integrating existing institutions [8]. hindered collaborative collaborative and more holistic management. regional approach. The Strategic Action Programme (SAP) identifies priority issues within the Bay of Bengal region and demonstrates commitments from the 8 member countries to No consideration of, or work together to address these issues in order to improve regional management, flexibility to include fisheries and the livelihoods of those living in the region. [4] The Programme also other existing highlights country obligations under existing International Agreements and institutions, potentially Conventions and as such the implementation of the Strategic Action Programme limiting expertise, (SAP) will demonstrate member country commitments to address such knowledge exchange obligations. [4] and effectiveness. To what extent does The Strategic Action Programme (SAP) provides a series of strategic regional The SAP does not the ABMT support the and national actions to distinctly address each of the four categories of recognise the need for delivery of marine and objectives under four key policy themes. It has been noted, in a 2016 FAO integration between 4 coastal policies? evaluation, that the SAP does not contain any guidance on how a member categories of objectives, country may implement a national programme of work under the regional thus the approach is framework. [8] It therefore indicates that national actions proposed in the SAP fragmented and not are not considered to be the foundational actions of a National Programme and holistic. that countries showed little ownership of such actions. [8] A lack of integration between regional and national actions hinders ownership and implementation of proposed measures.

A lack of guidance on proceeding with national strategies hinders national actions and ultimately reduces the strength and effectiveness of the SAP. Many of the issues arising in the Bay of Bengal region are considered to be transboundary in nature and present complex challenges. Addressing such complexities therefore requires regional collaboration and this is reflected as an underlying principle in the SAP [4]. Transboundary cooperation and environmental management has been a fundamental objective throughout the entire process and has been facilitated through the development of both the TDA Separation of the TDA Transboundary cooperation as a which identifies issues of a transboundary nature and the SAP which commits and SAP meant mis- guiding principle, enables member countries to solving transboundary issues through coordinated regional, classification of collaboration in the consideration To what extent does national and local actions. [4] In addition, the BOBLME Project Steering national or 'common of issues and development of the ABMT promote Committee (PSC) has noted the BOBLME as an effective mechanism that has issues' as management actions. transboundary enabled regional cooperation and that it has contributed towards increasing transboundary, cooperation? confidence of participating countries to engage. [6] hindering the Transboundary cooperation can development of increase confidence in the project The development of the SAP focused primarily on transboundary issues when it appropriate and and actions, as countries are may have been better to adapt the project early on to address that there are few effective measures. participating jointly. truly transboundary issues, and that many could be described as "common issues" that could be addressed nationally. [8] It has been noted that the project would have been more efficient to merge the two phases of TDA and SAP preparation into one participatory planning process. It was suggested that this would have placed the planning of solutions as the main focal point rather than analysing issues and strengthened connections between TDA issues and SAP actions and also the connections between policy makers, scientists, planners and managers. [8] Multi-sectoral working groups were established to bring together countries and To what extent does The creation of working groups sectoral agencies to discuss specific issues. The FAO suggests that this the ABMT process with representatives from a range mechanism has only been partially successful and that there is little in the way emphasise multi- of different sectors facilitates an of an analysis to determine the effectiveness of multi-sectoral working groups to sector engagement? inclusive process. address issues. [8] The BOBLME Strategic Action Programme (SAP) was developed based upon the The presence of a designated concept of adaptive management and advocates that indicators can be used to body to coordinate regional To what extent does determine progress towards agreed long-term environmental goals, and cooperation has enabled adaptive the ABMT utilise an ultimately to plan the next steps. It is referred to in the SAP as a process of management. iterative/adaptive learning by doing. (p.13, [4]) The SAP Regional Coordination Unit has practiced process? adaptive management when facing challenges associated with capacity gaps in Adaptive management is a order to negotiate agreement among the member countries on a number of guiding principle and is a core issues [8]. value of the SAP. Support for the project was provided primarily by the Global Environment Facility (GEF), the Norwegian Agency for Development Cooperation (NORAD), the Swedish International Development Cooperation Agency (SIDA), FAO, the National Oceanic and Atmospheric Administration of the USA (NOAA) and the World Bank. [4] BOBLME Member State Governments also contributed cash and The lack of a definitive in-kind financing towards the project demonstrating their support. [5] and agreed upon To what extent does financing mechanism the funding/resources The estimated cost of implementing the first seven years of the BOBLME SAP is will hinder the of the ABMT support around USD48 million, which will go towards the delivery of a Programme based sustainability of SAP its delivery and upon regional and national actions from one or more of the key themes of the implementation during associated policies? SAP. It is recognised that multi-lateral and bilateral arrangements may need to Phase 2 and into the be explored to determine their potential to provide additional resourcing.[4] future. However, there is little in the way of a sustainable financing mechanism for the sustained implementation of the SAP following the end of the GEF project. The SAP vaguely notes that the regional programme of work is envisaged to be a donor-funded project of 10-12 years duration and there is no expression of financial commitment from any party to implement the SAP [8] To what extent does Stakeholder engagement has been a guiding principle of the project and the There was no Stakeholder engagement is set stakeholder development of both the TDA and SAP required stakeholder consultations with requirement to out as a key principle in the SAP engagement support over 20 institutions, bodies and agencies through workshops, meetings. The establish multi-sectoral which fosters increased the effective delivery Regional Coordination Unit (RCU) was responsible for communicating with a National Task Forces. cooperation. of the ABMT and broad range of stakeholders and coordinating the actions of those stakeholders As such, these were not associated policies? at national, regional and international scales. [8] Multi-sector National Task established in all Establishment of multi- forces comprised of representatives from government ministries and countries, which stakeholder groups facilitates departments, international and national NGOs, International development ultimately limited coordination. agencies, university researchers, public and private research institutions, the engagement in some private sector and civil society organisations were established in some countries instances. Training of stakeholders and to foster cooperation and coordination when addressing a range of issues. [1] practitioners could help to increase ownership of The implementation of the Strategic Action Programme will require continued management actions, and thus stakeholder engagement at national and regional levels and a number of actions improve effectiveness at national under the programme note a participatory or inclusive approach that requires the levels. engagement of stakeholders. In addition, the Strategic Action Programme notes that the implementation should involve the application of best practices, and as such, identifies the training of practitioners and stakeholders as important for increasing capacity and facilitating participation. [4] The BOBLME SAP identifies knowledge and information as a key underlying principle, noting the importance of basing decisions on best available knowledge and learning through adaptive management. (p.13, [4]) The TDA provided the basis for the development of the regional SAP, however this was conducted over The prolonged process Knowledge and information a a number of years, which may have rendered some of the foundational data for TDA and SAP guiding principle and as such outdated. development meant should be at the forefront of the that foundational data development and implementation A number of proposed management actions under the Strategic Action may have been of management actions. Programme (SAP) are related to data collection. For example, to improve access outdated. to and sharing of data (fisheries, critical habitats etc.); the development of data Data collection noted specifically To what extent did and information sharing networks which may strengthen linkages between No centralised database as part of strategic actions at data provision support contributing institutions; to improve capacity (including training) for for regional data could both regional and national levels the delivery of the strengthened data collection; and to establish baselines using historical data. [4] hinder the use and will help to evaluate and track ABMT? A specific example is the proposed establishment of a common fishery sharing of data. effectiveness of actions within data/information system which institutes a common system across BOBLME the region. countries building upon the identified strengths and weaknesses of national data Dependence on collection [8]. publically available data Sharing of data and information rather than data throughout the region to help Section 3.5.5 of the SAP indicates that for the development of indicators and collected specifically for improve capacity, share best evaluation, publically available data may be acquired through existing databases, the project limits practice and monitor e.g. NOAA (remote sensing data on primary productivity), University of Rhode evaluation. effectiveness. Island ( data on sea surface temperature) and FAO and the University of British Columbia, Canada (fisheries data) etc. as well as from regional and national sources. (p.52, [4]) SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, eradicate extreme poverty for all people everywhere, R4A.3 Analyse and promote the inclusion of coastal fisheries and aquaculture in poverty 1.1 currently measured as people living on less than $1.25 a day reduction and development policies, strategies and plans. By 2030, reduce at least by half the proportion of men, women Theme 4, Objective 3: Empower coastal people to participate in and benefit from sustainable 1.2 and children of all ages living in poverty in all its dimensions development practices (p.41, [4]) according to national definitions By 2030, ensure that all men and women, in particular the poor and the vulnerable, have equal rights to economic resources, as A guiding principle of the SAP is the human rights-based approach whereby "All men, women, well as access to basic services, ownership and control over land girls and boys are entitled, without fear of discrimination, to equal access to ecosystem 1.4 and other forms of property, inheritance, natural resources, services and natural resources and a standard of living adequate for their health and well- appropriate new technology and financial services, including being" (p.50, [4]) microfinance By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and vulnerability to climate- Ecosystem quality objective 4: "Social and economic constraints are addressed, leading to 1.5 related extreme events and other economic, social and increased resilience and empowerment of coastal people" (p.40, [4]) environmental shocks and disasters SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture R4A.5 Support the participatory development of regional, sub-regional and national plans of By 2030, end hunger and ensure access by all people, in action to implement the SSF Guidelines and related instruments. 2.1 particular the poor and people in vulnerable situations, including R4A.6 Promote the inclusion of the SSF Guidelines in relevant regional policies, strategies infants, to safe, nutritious and sufficient food all year round and frameworks. (p.40, [4]) By 2030, end all forms of malnutrition, including achieving, by 2025, the internationally agreed targets on stunting and wasting R4C.3 Monitor and analyse the contributions of fisheries-based activities in coastal 2.2 in children under 5 years of age, and address the nutritional communities to food and nutrition security, livelihoods security and economic growth (p.42, needs of adolescent girls, pregnant and lactating women and [4]) older persons SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Improve progressively, through 2030, global resource efficiency in consumption and production and endeavour to decouple economic growth from environmental degradation, in N4B.3 Promote and support energy efficiency in fisheries, including the entire value chain – 8.4 accordance with the 10-year framework of programmes on fishing and fish farming, postharvest, marketing and distribution. (p.44, [4]) sustainable consumption and production, with developed countries taking the lead N4B.5 Identify and support the implementation of alternative income generating livelihood By 2030, achieve full and productive employment and decent support activities for women, men and youth. 8.5 work for all women and men, including for young people and N4A.4 Create national focal points (with a supportive legal basis) for decent employment in persons with disabilities, and equal pay for work of equal value fisheries (in support of the implementation of FAO-ILO guidance on addressing child labour in fisheries and aquaculture, and good labour practices). (p.44, [4]) N1B.15 Promote eco-tourism and non-consumptive use of biodiversity. R2A.5 Harmonize relevant coastal and marine environmental policies and guidelines on By 2030, devise and implement policies to promote sustainable impact assessments for eco-tourism at the regional level. 8.9 tourism that creates jobs and promotes local culture and N2A.10 Harmonize relevant coastal and marine environmental policies and guidelines for products impact assessments on eco-tourism. N2B.8 Identify and implement best practices in eco-tourism. SDG 12: Ensure sustainable consumption and production patterns Ecosystem Quality Objective 1: "Fisheries and other living marine resources have By 2030, achieve the sustainable management and efficient use been restored and are managed sustainably" (p.20, [4]) 12.2 of natural resources BOBLME Vision "A healthy ecosystem and sustainable use of marine living resources for the benefit of the people and countries of the Bay of Bengal Large Marine Ecosystem" (p.12, [4]) By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in N3A.14 Formulate/strengthen nutrient management plans to reduce fertilizer use; e.g. accordance with agreed international frameworks, and 12.4 promote organic farming and processing of livestock waste into fertilizer. significantly reduce their release to air, water and soil in order to N3A.15 Formulate/strengthen a National Wastewater Act. (p.36, [4]) minimize their adverse impacts on human health and the environment N3A.13 Introduce/strengthen incentives to recycle plastics and metals. By 2030, substantially reduce waste generation through 12.5 N3B.8 Introduce/strengthen waste segregation and recycling at the household level. (p.36, prevention, reduction, recycling and reuse [4]) SDG 13: Take urgent action to combat climate change and its impacts Theme 4, objective 1: Reduce vulnerability to natural hazards, climate variability Strengthen resilience and adaptive capacity to climate related and climate change, and increase climate resilience (p.40, [4]) 13.1 hazards and natural disasters in all countries R4A.2 Establish/strengthen arrangements for regional cooperation on climate change adaptation and resilience Integrate climate change measures into national policies, N4A.1 Support the inclusion of the fisheries sector in national CCA and DRM policies and 13.2 strategies and planning strategies and vice-versa. (p.44, [4]) R4C.1 Deliver a regionally coordinated awareness programme on CCA and resilience (p.42, Improve education, awareness-raising and human and [4]) 13.3 institutional capacity on climate change mitigation, adaptation, N4C.1 Increase awareness on CCA, DRM and resilience through appropriate communication impact reduction and early warning media and processes. (p.44, [4]) R4D.1 Deliver a regionally coordinated capacity development programme on natural hazards, Promote mechanisms for raising capacity for effective climate 13.b climate change and climate variability implications, vulnerabilities and adaptation planning change related planning and management in least developed for fisheries and coastal communities.(p.42, [4]) countries and small island developing States, including focusing on women, youth and local and marginalized communities SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development R1B.5 Coordinate capacity to reduce carbon dioxide emissions by promoting fuel efficiency practices at all steps in the fisheries production chain. (p.22, [4]) N2B.7 Promote the use of effluent treatment facilities to manage unregulated discharge of By 2025, prevent and significantly reduce marine pollution of all pollutants from aquaculture and 14.1 kinds, in particular from land-based activities, including marine agriculture runoff. (p.30, [4]) debris and nutrient pollution Theme 3 of the SAP is about water quality and sets out a wide spectrum of activities specifically relating to the objective: Coastal and marine pollution and water quality are controlled to meet agreed standards R2A.2 Develop Regional MoU(s) or Plan(s) of Action for collaboration on the conservation of critical habitats (p.28, [4]) By 2020, sustainably manage and protect marine and coastal R2B.1 Conduct regional assessments on critical habitat management effectiveness ecosystems to avoid significant adverse impacts including by including ecosystem health of mangroves, coral reefs and seagrass. (p.28, [4]) 14.2 strengthening their resilience, and take action for their N2A.1 Establish/mandate an integrated institutional framework and coordination restoration in order to achieve healthy and productive oceans mechanism/institution for marine and coastal habitat management at the national and local levels; e.g. a national advisory council or a committee for ICM. R1A.1 Formulate a Regional Plan of Action on IUU fishing R1A.2 Bi-and/or multi-national agreements to strengthen arrangements to determine and By 2020, effectively regulate harvesting and end overfishing, implement management measures to combat IUU at a regional level. illegal, unreported and unregulated fishing and destructive R1A.4 Establish arrangements for better cooperation in the management of fish stocks fishing practices and implement science-based management 14.4 shared between countries in the BOBLME region e.g. RFMO (p.22, [4]) plans, in order to restore fish stocks in the shortest time feasible, N1A.1 Establish arrangements for better cooperation in the management of fish stocks at least to levels that can produce maximum sustainable yield as within country determined by their biological characteristics N1A.5 Formulate/strengthen legislation to address IUU fishing (e.g. port state measures) and develop National Plans of Action on IUU (p.23, [4]) N2B.1 Apply spatial planning/zoning in the management of critical habitats (p.30, [4]) By 2020, conserve at least 10 per cent of coastal and marine N2B.3 Increase the number of MPAs and MPA networks (that include different habitat types 14.5 areas, consistent with national and international law and based to maintain functional connectivity) and improve management by implementing and on the best available scientific information monitoring MPA Management Plans (p.30, [4]) By 2030, increase the economic benefits to Small Island developing States and least developed countries from the R2A.5 Harmonize relevant coastal and marine environmental policies and guidelines on 14.7 sustainable use of marine resources, including through impact assessment for eco-tourism at the regional level (p.28, [4]) sustainable management of fisheries, aquaculture and tourism Provide access for small-scale artisanal fishers to marine R1B.4 Address trade barriers, especially those on high value exported species, at a working 14.b resources and markets regional level Enhance the conservation and sustainable use of oceans and 1. UNCLOS Article 63: Stocks occurring within the EEZs of two or more coastal states their resources by implementing international law as reflected in 2. UNCLOS Article 143: Marine Scientific Research [4] 14.c UNCLOS, which provides the legal framework for the 3. UN Fish Stocks Agreement Article 7: Compatibility of management measures conservation and sustainable use of oceans and their resources, 4. UNFSA Article 8: Cooperation for conservation and management as recalled in paragraph 158 of The Future We Want 5.UNFSA Article 10: Functions of regional fisheries management arrangements SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values into The project included considerations of protected areas with both terrestrial and marine 15.9 national and local planning, development processes, poverty components. It also had a transboundary focus. reduction strategies and accounts SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Over a period of 5 years, the BOBLME TDA and SAP were developed through comprehensive reviews, analyses and consultations at both the national and regional levels. [4] The project Ensure responsive, inclusive, participatory and representative worked with a wide range of stakeholders to develop a SAP which outlines the ways and 16.7 decision-making at all levels means of addressing priority issues identified by member countries. Stakeholders involved include communities, local, national and state governments, universities, technical experts, NGOs, industry and regional organisations.[1] SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The development of the TDA and SAP involved more than 20 institutions, bodies and agencies with a spectrum of mandates and competencies. As part of the project, member Encourage and promote effective public, public-private and civil countries have established multi-sectoral National Task Forces to foster cooperation and 17.1 society partnerships, building on the experience and resourcing coordination when addressing a range of issues. These are comprised of representatives 7 strategies of partnerships from government ministries and departments, international and national NGOs, International development agencies, university researchers, public and private research institutions, the private sector and civil society organisations. [1] Capacity-Building: Enhance international support for The SAP describes both regional and national actions to work towards the objectives of each implementing effective and targeted capacity-building in key theme. These actions are grouped into 4 key areas: Institutional arrangements, legal and 17.9 developing countries to support national plans to implement all policy reforms; Management measures; Knowledge strengthening, awareness and the sustainable development goals, including through North- communication; and Human capacity development. South, South-South and triangular cooperation

Multi-stakeholder partnerships: Enhance the global partnership The development of the TDA and SAP involved more than 20 institutions, bodies and for sustainable development, complemented by multi- agencies with a spectrum of mandates and competencies. As part of the project, member 17.1 stakeholder partnerships that mobilize and share knowledge, countries have established multi-sectoral National Task Forces to foster cooperation and 6 expertise, technology and financial resources, to support the coordination when addressing a range of issues. These are comprised of representatives achievement of the sustainable development goals in all from government ministries and departments, international and national NGOs, International countries, in particular developing countries development agencies, university researchers, public and private research institutions, the private sector and civil society organisations. [1]

Sources and references 1 BOBLME. 2011. Bay of Bengal Large Marine Ecosystem Project. Downloaded from: http://www.boblme.org/project_overview.html 2 BOBLME. 2017. The Bay of Bengal Large Marine Ecosystem Project. [online] Available at: http://www.boblme.org/project_overview.html 3 BOBLME. 2012. Transboundary Diagnostic Analysis. Volume 1: Issues, Proximate and Root causes. BOBLME. 2015. Strategic Action Programme. Bay of Bengal Large Marine 4 Ecosystem Project. 56 pp. Available at www.boblme.org World Bank. 2005. Project Brief on a Proposed Grant from the Global Environment Facility Trust Fund in the amount of USD 12.1 Million to the Governments of 5 Bangladesh, India, Indonesia, Malaysia, Maldives, Myanmar, Sri Lanka and Thailand. Document of the World Bank, January 10 2005. Available at: https://www.thegef.org/sites/default/files/project_documents/01-14-05%2520BOBLME.Project%2520Brief%2520%2528PAD%2529_0.doc BOBLME. 2015. Report of the Seventh Project Steering Committee Meeting. Phuket, Thailand, 17-18 November 2015. Available at 6 http://www.boblme.org/documentRepository/BOBLME-2015-Project-03.pdf 7 BOBLME.2016. The Bay of Bengal Large Marine Ecosystem Project. [online] Available at: www.boblme.org FAO. 2016. Final evaluation of Sustainable Management of the Bay of Bengal Large Marine Ecosystem (BOBLME) project. Project Evaluation Series, Office of 8 Evaluation. 9 Reefbase. 2017. Bay of Bengal Large Marine Ecosystem Marine Protected Area Atlas. [Online]. Available at: http://boblme.reefbase.org/default.aspx

Case Study 7. Locally Managed Marine Area: Madagascar Locally Managed Marine Area Network (MIHARI)

Facts about the case study Case-specific entries Tool Velondriake Locally Managed Marine Area (LMMA) Region Indian Ocean: Western Implementation status Velondriake LMMA is currently in the application phase to become a nationally recognised protected area. Customary laws, Dina, were in place in Madagascar before the establishment of the LMMAs. Dina are used to stipulate the activities that can take place in the LMMA. They can identify spaces or species to be protected and these measures can be locally enforced [1].

During the Velondriake LMMA designation process, these Dina were accepted as a legal entity by the national government of Madagascar. Local bylaws have also been passed that are based on Dina. LMMAs can also be governed as Community Managed MPAs (IUCN categories V or VI), which form part of a national network of MPAs. Governance Velondriake LMMA is an IUCN category V MPA and was awarded temporary protected status by inter-ministerial decree in 2010 [11]. Mechanisms In some cases, "management has been transferred to local communities with legal contracts (“Gestion Locale Securisée” or GELOSE)" (p.2, [4]).

Was in place for the ABMT process: Voluntary agreement/a (Memorandum of Understanding, custom) Put in place to support ABMT implementation: Binding, legally enforceable instrument (law, ruling, policy or decision) Voluntary agreement/a (Memorandum of Understanding, custom) Dina, customary laws that are developed by the community and are recognised by the national government. What is the legal basis Local byelaws based on Dina. of the ABMT? Inter-ministerial decrees. Government support for the Velondriake LMMA is shown to the local communities and Blue Ventures by legally recognising the Dina that are Is there government put in place for marine environmental protection. Temporary protected area status is awarded to promising LMMAs, such as Velondriake, to support for the ABMT? allow them to operate under the national protected area framework. The institutional framework of the Velondriake LMMA is built on local customary Dina. With legal recognition of the Dina by the national What is the institutional government, responsibility for the ongoing management and enforcement of the LMMAs passes to the local communities. framework of the The local communities are supported in the management of the LMMAs by the non-governmental organisation (NGO) Blue Ventures as well as ABMT? by other NGOs (Wildlife Conservation Society and Copefrito) and by government departments such as the Ministry of Environment. What type of Blue Ventures is an NGO that works closely with the coastal communities of south-west Madagascar to establish and manage LMMAs. organisation is the Lead Entity? Non-governmental organisation; Users/stakeholders What policies are being The LMMAs in southwest Madagascar implement policies on the "effective and sustainable management of its marine and coastal natural implemented by the resources" (p. 14, Cripps 2009). ABMT? What are the primary The Velondriake LMMA was developed to address the overexploitation of fisheries resources with the aim of improving the ecological and goals / objectives of the human health of the area, and the economies of the fishing communities who rely on local marine resources. The specific aims include ABMT? "fisheries development; nature conservation; economic development; solidarity between local communities; education; sustainable biodiversity use and preservation for future generations; and ecotourism" (p.14, Cripps 2009).

Maintain or develop local, small-scale or traditional use/s; Conserve or restore the health of marine ecosystem/s; Maximise the overall economic value of the marine ecosystem in a sustainable way; A range of different management measures are employed across the network of LMMAs. [1; 4] These include: - temporary closures of octopus fishing grounds; - permanent marine reserves; - banning the use of destructive fishing techniques such as dynamite; What are the - community-based aquaculture; management measures - educational activities; associated with the - mangrove forest restoration management; ABMT? - size limits on catches; - zoning of activities within the LMMAs, including no-take zones; - control use of small mesh nets; - banning the use of poison in fishing. Yes, Velondriake LMMA is one site within a network of LMMAs across Madagascar. The wider network is known as MIHARI, an active civil Does the ABMT involve society platform sharing lessons learned in local and co management of marine areas and fisheries in Madagascar, and advocating for the cross sectoral rights of small-scale fishers and coastal communities. The MIHARI network promotes collaboration between members supporting NGOs, cooperation? policy and local management organisations [14]. Which SDGs do the management measures 1.1, 1.2, 1.4, 1.5, 2.1, 2.2, 8.1, 8.9. 11.4, 12.1, 12.2, 13.1, 14.2, 14.4, 14.5, 14.7, 14.b, 16.7, 17.9, 17.16, 17.17 support? The Velondriake LMMA forms part of a wider approach taken by Blue Ventures, known as the Population-Health-Environment model. This Does the AMBT process approach is holistic and incorporates "the interconnected challenges of poor health, unmet family planning needs, environmental degradation follow an ecosystem and food insecurity" (p.7, [2]). Therefore the whole socioecological system is treated as an interconnected entity, and management measures approach? are targeted at improving the wider outlook. This process is in place in the Velondriake LMMA and is being scaled up through Madagascar's national PHE network; however, it does not currently apply to all LMMA sites across Madagascar [15]. Local ecological knowledge was a strong factor in the Velondriake LMMA development process. Local communities provided knowledge regarding the current activities, spatial distribution of fishing activity, ecosystem services that they gain from their local marine environment and suggestions regarding the conservation objectives of the LMMA. The local community also monitored "simple ecological, fishery and Does the ABMT process management indicators" (p.8, Cripps 2009). This local knowledge and community based monitoring was supported by rapid ecological incorporate data and assessments and in-depth scientific analyses carried out by Blue Ventures scientists and trained community members. evidence? The Blue Ventures Conservation LMMA model is partly financed by the marine ecotourism established in the area through the Blue Ventures Expeditions ecotourism business [3]. The expeditions attract international ecotourists who receive science training and then collect data to monitor the condition of the local reefs. This data supports the ongoing management of the Velondriake LMMA, one of the largest LMMAs in the network. The establishment and management of the Velondriake LMMA in Madagascar is supported by local and scientific knowledge on local ecology, fisheries, socioeconomic factors and ecosystem services. What type of data was used in the ABMT In addition please select options from the list below if any are relevant: development process? Biological/ecological information; Current human activity distribution; Cumulative human impacts/pressures; Ecosystem goods and services benefits; Social information; Economic/valuation information; Governance information Does the ABMT process The LMMA process was driven by the local communities, and supported by Blue Ventures, the Wildlife Conservation Society and Copefrito [12]. include stakeholder Stakeholders played a key role in participative resource mapping during the planning of the Velondriake LMMA, and identifying the uses and engagement? pressures from the local community on the marine environment. Does the ABMT use spatial and/or scenario The location of the No-Take Zones was driven by suggestions from the local community, which were identified using participative resource analysis to support mapping [12]. decisions? Participative resource mapping was used to identify potential locations for No-Take Zones. Blue Ventures and the Wildlife Conservation What decision-support Society facilitated discussions during the planning process regarding the potential management options, and then left the communities to tools were used to discuss their needs and priorities [12]. support the planning process? Specific software unknown The spatial focus of the network of LMMAs is 3 zones across the west coast of Madagascar. These include Velondriake, the Barren Isles and What is the spatial Kirinde Mite LMMAs. There are more than 150 sites nationwide, covering over 14% of the island's seabed (pers.comm. A. Harris, September focus of the ABMT? 2017). The LMMA designation process occurs at a local scale, through discussions with community members regarding the current management and At what scale is the perceived required management. Although each LMMA is established individually, they form to wider scale networks of LMMAs and other ABMT process MPAs across the country. implemented? Local (e.g. bay, county, district); National (e.g. country-wide, island) What is the timeframe focused on for the The management of the Velondriake LMMA, and the wider MIHARI Network, has no fixed end date. management measures? Does the ABMT include An evaluation and development network, 'MIHARI', has been implemented following the establishment of a number of LMMAs across the an evaluation country. Representatives from each site meet to discuss their experiences and to encourage "peer-to-peer learning" and the creation of framework, and if so, "collaborative solutions" [P.3, 4]. what is the framework? Does the ABMT include performance Local communities in the Velondriake LMMA are trained by Blue Ventures in performance monitoring techniques, thereby empowering them to monitoring, and if so, monitor the effectiveness of the management strategies that they have worked to put in place and enforce. what is the framework? Landings data are recorded by community members in the Velondriake LMMA to assess the effectiveness of the closed area [9]. Data concerning the recovery of species and habitats are collected by Blue Ventures. Socio-economic indicators are also monitored, assessing What indicators are awareness of the objectives of the LMMA, the number of people supporting the Velondriake Association, the number of tourists visiting the used in the monitoring area and the number of infringements of the management strategies [12]. of the ABMT? Environmental indicators (e.g. water quality, habitat/species distribution); Economic indicators (e.g. fish catch, income trends); Social indicators (e.g. employment levels, conflict resolution)

Case study assessment Assessment questions Responses Barriers Enablers The traditional open-access approach to local fisheries The legal basis of the Velondriake LMMA is built on the can present a barrier to traditional customary Dina, which, if legally recognised by the effective implementation of national government, offers statutory status to locally-developed protected areas through and respected management strategies [2]. customary law. Incorporating existing and culturally One issue with having customary law as the legal basis of an accepted management strategies, in the LMMA is that the concept of a protected area goes against the Local communities are tasked form of customary law, into legislation To what extent does the traditional Vezu open-access approach to local fisheries which with the enforcement of the enables the regulations to be more legal basis of the ABMT can act as a barrier to the acceptance of the tool, leading to management strategies, yet appropriate to the needs of the support the delivery of infringements of the management strategies [9]. the measures are not always community, thereby increasing the ABMT and supported by a legal associated policies? compliance. This enables the LMMA Some LMMAs do not have statutory status. In these cases, the framework to encourage network to work more effectively to regulations may be informally recognised and fall under a compliance. This lack of legal achieve its goals. community legal system where infringements are punished support can present a barrier through "social repercussions or public shame" (p. 60, LMMA to encouraging compliance Guide 2008). However, some management strategies remain with the regulations and can voluntary, with no statutory grounding to enable legal action in therefore reduce the the event of infringements of the regulations. effectiveness of the LMMA as a tool. The institutional framework supports the delivery of the LMMA Overreliance on the support of The fact that the local communities are To what extent does the objectives because the management is rooted in community- Blue Ventures in the ongoing supported by an NGO with which they institutional framework based management. The local communities have worked with management of the LMMAs have a positive, trust based working associated with the NGOs to develop ecologically and socially appropriate could become a barrier to the relationship is an enabling factor for the ABMT support the conservation objectives and strategies, taking into account their effective implementation of effective implementation of the LMMAs delivery of the ABMT local ecological knowledge and customary management LMMAs, in the case that Blue because it provides the local and associated strategies known as Dina. Venture were to withdraw their communities with access to scientific policies? support for any reason. and expertise on effective conservation. In particular Blue Ventures plays an important role in supporting the local communities in managing the LMMAs. Blue Ventures is Blue Ventures has taken a step back from a respected, science-driven organisation that is trusted within the some communities in the Velondriake communities that it supports. This trust enables a positive LMMA to ensure that they are able to working relationship and the NGO is well integrated into the local continue without direct involvement from communities, promoting effective conservation. Blue Ventures. This ensures that the management approaches are self- Blue Ventures also helped to establish a network of LMMA sustaining without input from drivers that representatives from across the country that acts as a peer are external to the community [10] . support and learning framework and enables adaptive co- management across the network [6]. The creation of a platform to bring together a network of LMMAs across Blue Ventures has been heavily involved in the establishment of Madagascar has increased the support a successful network of LMMAs across Madagascar; however, a framework that underpins the balance must be carefully maintained in order to prevent over- Velondriake LMMA. This network enables reliance on the NGO. the evaluation of successes and failures from other sites, and allows participating Finally, the LMMA network is supported by national government LMMA representatives to learn from each departments. other. LMMAs are felt to be a more appropriate model for the The low number of resources required to management of remote, tropical marine resources in low-income manage the LMMA network enables its communities than top-down management [6] for a number of effective implementation in remote reasons: coastal locations. 1) Traditional management strategies can be incorporated into To what extent does the resource management, and updated where needed. The ability of the local community to ABMT support the 2) Local ecological knowledge can be used where data is establish the extent to which they wish to delivery of marine and deficient. retain traditional management measures, coastal policies? 3) Local communities can take on enforcement of management and also to adopt modern management strategies, incorporating customary resource use and combining methods enables the community to with modern methods to achieve a balance that is appropriate to maintain control over the management of the community. their resources. This increases the 4) Communities are in a good position to take on community likelihood of the uptake and compliance based adaptive management of the LMMA [13]. with management measures, thus enabling effective delivery of associated policies. Velondriake LMMA is one site in a wider national network of LMMAs across Madagascar. This network, known as MIHARI, The establishment of a network provides encourages transboundary cooperation as forums for discussion a forum for exchange between the To what extent does the between LMMA managers and representatives are facilitated in LMMAs which enables transboundary ABMT promote order to share lessons learned and best practice approaches to cooperation. Lessons and skills are transboundary community managed MPAs. The network enables LMMA shared through this forum, in order to cooperation? managers to learn from one another, encourages local leadership support the management of individual and offers a forum for fishermen to be heard [14]. The network LMMAs, such as Velondriake, in the includes more than 65 LMMAs across the country, and is network. supported by more than 10 NGOs. The community must be fully The LMMA network is centred around multi-sector engagement. involved at all stages of the The initial request to establish an LMMA and take steps to designation process in order Multi-sector partnerships enable the protect their marine resources comes from the communities to be engaged with the LMMA network to establish management To what extent does the themselves. Communities then work with external organisations management strategies. Too objectives that are appropriate for the all ABMT process such as NGOs, local and national governments, research much steer from the private or relevant stakeholders, thereby increasing emphasise multi-sector institutes or commercial fishing companies to establish an state sector may present a support for the management and engagement? LMMA [8; 13]. Multi-sector engagement, "between fishers, barrier to the effectiveness of compliance with regulations. fisheries collectors, and the NGO - essentially public private the LMMA network, as

partnerships – have been key to the LMMA’s successes so far" community involvement and [P.3, 9]. responsibility for management is key to its success [13]. The existence of a platform for exchange The Velondriake LMMA benefits from an adaptive process. The of knowledge, skills and experience MIHARI national LMMA network provides a platform for among the LMMAs enables adaptive representatives from different LMMAs to meet and learn from To what extent does the management as it allows the different each other, exchanging knowledge, experience and skills. This ABMT utilise an sites to learn from each other, identifying enables an adaptive process where successes can be shared and iterative/adaptive and implementing best practice across applied elsewhere at different sites across the network, and when process? different sites. This enables the establishing new sites. Representatives from the Velondriake Velondriake LMMA to benefit from LMMA are able to attend and draw on the pool of knowledge and lessons learned and challenges that have experience of other member LMMA representatives. been overcome by other member LMMAs. To what extent does the Funding and resources are often limited in remote, tropical The communities involved in funding/resources of coastal resource management. The LMMA approach addresses managing the LMMA network the ABMT support its this potential barrier to sustainable resource management and must achieve financial delivery and associated conservation by using community resource management based sustainability and reduce policies? on customary law, which requires minimal resources and can dependence on other parties integrate modern management techniques where appropriate. in order to prevent finances Blue Ventures provides 'technical and financial support and becoming a barrier to training' [P. 8, 11] to communities involved in managing the implementing effective network of LMMAs across Madagascar. However, in the long- conservation on the ground. term, communities must be financially self-sustaining, in order to prevent dependence on external funding for achieving their conservation and sustainable resource use objectives. The planning process for the LMMA network involves a number of representatives from the local communities, NGOs and national government. It is important that the community representatives feedback to and engage the wider community effectively to increase support for the implementation of the LMMAs. Stakeholder involvement with the Lack of engagement or The community is the driving force behind the success of an identification of conservation objectives resistance from the To what extent does LMMA, and so they must be fully involved and supportive of the and closed areas ensures that the stakeholder stakeholders to engage with management measures in order to increase compliance and management put in place are appropriate, engagement support the management measures achieve the conservation objectives. Where there is lack of and do not conflict with customary the effective delivery of presents a potential barrier to community involvement there is a strong likelihood of breaches measures that are already in place. This the ABMT and the effective achievement of to the LMMA rules which presents a barrier to the achievement of stakeholder engagement enables associated policies? conservation goals. the objectives. increased compliance with the

Stakeholders are fully involved in the establishment of management measures that are conservation objectives and management measures in order to implemented. tailor them closely to the community context [9]. Community members are also involved in "extensive environmental educational campaigns, scientific research, and community- based monitoring" (p.2, [9]). LMMAs incorporate local ecological knowledge to help to fill data A combination of local ecological deficits. Formal scientific data is also gathered, with the support knowledge provided by the community To what extent did data of NGOs, to support the management strategies that are put in and scientific data collected in provision support the place. The data collected in the Velondriake LMMA, for example, collaboration with NGOs enables more delivery of the ABMT? has supported the closure of other octopus fisheries across the accurate management decisions to be country [9]. This data was collected by local communities and made regarding the achievement of the Blue Ventures. goals of the LMMAs in the network across Madagascar.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere The management of local resources as LMMAs, and the closure of some areas as No-Take Zones, is aimed to increase the productivity of the fishery in the long-term. By 2030, eradicate extreme poverty for all people everywhere, currently 1.1 measured as people living on less than $1.25 a day This will help to provide greater catches to increase trade and profits for the communities [12].

The management of local resources as LMMAs, and the closure of some areas as By 2030, reduce at least by half the proportion of men, women and No-Take Zones, is aimed to increase the productivity of the fishery in the long-term. 1.2 children of all ages living in poverty in all its dimensions according to This will help to provide greater catches to increase trade and profits for the national definitions communities [12].

By 2030, ensure that all men and women, in particular the poor and the The management of the LMMA network is centred around community control, with vulnerable, have equal rights to economic resources, as well as access to extensive stakeholder consultation during the planning process and community 1.4 basic services, ownership and control over land and other forms of members holding responsibility for the enforcement of the regulations that are put property, inheritance, natural resources, appropriate new technology and in place. financial services, including microfinance SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture By 2030, end hunger and ensure access by all people, in particular the Creating short-term closed areas for octopus allows for an increase in the quantity 2.1 poor and people in vulnerable situations, including infants, to safe, of catches in the long-term. nutritious and sufficient food all year round SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Sustain per capita economic growth in accordance with national The specific aims include "fisheries development; nature conservation; economic 8.1 circumstances and, in particular, at least 7 per cent gross domestic development; solidarity between local communities; product growth per annum in the least developed countries The involvement of Blue Ventures in the south west Madagascar LMMA network brings income into the area in two ways. Firstly, some local community members are trained and employed by Blue Ventures to collect data for monitoring purposes. By 2030, devise and implement policies to promote sustainable tourism 8.9 Secondly, Blue Ventures Expeditions is an ecotourism business that brings Eco that creates jobs and promotes local culture and products tourists to the region to learn to dive and undertake scientific training. Expedition costs are put towards the running of BV Conservation, and volunteers also spend some money directly in the local communities. SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable The LMMA network in Madagascar aims to recover and protect the marine Strengthen efforts to protect and safeguard the world’s cultural and 11.4 natural heritage environment for future generations. SDG 12: Ensure sustainable consumption and production patterns Implement the 10-year framework of programmes on sustainable The LMMA network is designed for the sustainable management of over-exploited consumption and production, all countries taking action, with developed 12.1 resources. countries taking the lead, taking into account the development and capabilities of developing countries The LMMA network is designed for the sustainable management of over-exploited resources. Working with the community to identify their needs and pressures By 2030, achieve the sustainable management and efficient use of natural 12.2 resources allows the management plan to be designed to be ecologically and socially sustainable.

SDG 13: Take urgent action to combat climate change and its impacts Allowing the recovery and growth of marine ecosystems will support wider efforts Strengthen resilience and adaptive capacity to climate related hazards 13.1 and natural disasters in all countries to increase resilience to climate change. SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development Pressures on the marine environment from local communities were identified By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by strengthening their during workshops, and steps have been taken to implement appropriate 14.2 resilience, and take action for their restoration in order to achieve healthy management techniques to reduce overexploitation. and productive oceans

By 2020, effectively regulate harvesting and end overfishing, illegal, Local community members are responsible for ensuring compliance with the unreported and unregulated fishing and destructive fishing practices and implement science-based management plans, in order to restore fish management strategies that are put in place to conserve fisheries and regulate 14.4 stocks in the shortest time feasible, at least to levels that can produce harvesting. maximum sustainable yield as determined by their biological

characteristics The LMMA network contributes to the achievement of Madagascar's national MPA By 2020, conserve at least 10 per cent of coastal and marine areas, 14.5 consistent with national and international law and based on the best targets. available scientific information

By 2030, increase the economic benefits to Small Island developing Sustainable management of fisheries through octopus No-Take Reserves, and the States and least developed countries from the sustainable use of marine 14.7 establishment of sea cucumber aquaculture programmes, has helped the LMMA resources, including through sustainable management of fisheries, network to work towards the sustainable use of its marine resources. aquaculture and tourism The temporary octopus closures established across the network of LMMAs lead to Provide access for small-scale artisanal fishers to marine resources and 14.b an increase in octopus production, which is then able to be sold overseas, markets particularly in Europe.

SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Stakeholder engagement included multiple levels including local and government Ensure responsive, inclusive, participatory and representative decision- 16.7 making at all levels representatives. SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Partnerships were present between the NGO and communities. A network of Encourage and promote effective public, public-private and civil society 17.17 partnerships, building on the experience and resourcing strategies of participation created between all LMMA managers at the national level enabled the partnerships formation of the MIHARI network. Capacity-Building: Enhance international support for implementing effective and targeted capacity-building in developing countries to support Blue Ventures involvement 17.9 national plans to implement all the sustainable development goals, including through North-South, South-South and triangular cooperation Multi-stakeholder partnerships: Enhance the global partnership for Cross sectoral engagement, partnerships between Blue Ventures and the local sustainable development, complemented by multi-stakeholder communities, fisheries and national level government supported the establishment 17.16 partnerships that mobilize and share knowledge, expertise, technology and ongoing management of the network of LMMAs. and financial resources, to support the achievement of the sustainable development goals in all countries, in particular developing countries

Source and references 1 BV LMMA leaflet https://bjyv3zhj902bwxa8106gk8x5-wpengine.netdna-ssl.com/wp-content/uploads/2015/10/BV-LMMA-Factsheet-2015.pdf 2 BV Rebuilding Fisheries leaflet https://blueventures.org/conservation/rebuilding-fisheries/ Wealth of the oceans: Blue 3 http://blueventures.org/wp-content/uploads/2015/01/business-case-for-adaptation-bv-madagascar.pdf Ventures, Madagascar 4 MIHARI leaflet http://bjyv3zhj902bwxa8106gk8x5-wpengine.netdna-ssl.com/wp-content/uploads/2015/05/Mihari-Leaflet-2015-ENGLISH-online.pdf 5 Oliver et al., 2015 http://journals.plos.org/plosone/article?id=10.1371/journal.pone.0129075 6 Mayol, 2013 https://www.ajol.info/index.php/mcd/article/viewFile/97321/86633 7 Govan, 2009 Driving ConservationThrough 8 https://www.seed.uno/publications/policy-insights/2533.html Sustainable Tourism Enterprises Taking an Ecosystem Services http://img.teebweb.org/wp-content/uploads/2013/01/TEEBcase-Temporary-closures-in-octopus-fishing-areas-increase-catch- 9 perspective in Velondriake LMMA Madagascar.pdf Scaling success in octopus 10 fisheries management in the https://blueventures.org/publication/scaling-success-in-octopus-fisheries-management-in-the-western-indian-ocean/ Western Indian Ocean. Locally-managed marine areas: 11 towards a global learning https://blueventures.org/publication/locally-managed-marine-areas-towards-a-global-learning-network/ network 12 Cripps, 2009 https://blueventures.org/publication/community-creation-and-management-of-the-velondriake-marine-protected-area/ 13 LMMA Guide 2008 http://www.reefresilience.org/wp-content/uploads/LMMA-Guide-2008.pdf 14 MIHARI website https://mihari-network.org/ 15 phemadagascar.org Case Study 8. Marine Protected Area: Black Sea MPA Network, Black Sea (Romania and Bulgaria)

Facts about the case study Case-specific entries Tool Marine Protected Area (MPA) network Region Black Sea (Bulgaria and Romania) Implementation status Planned implementation in 2018. The MPA network is part of efforts of Bulgaria and Romania to implement the EU Marine Strategy Framework Directive (MSFD) in the Black Sea. The MSFD was transposed into national law in Romania and Bulgaria. While the MSFD requires regional cooperation on efforts to achieve 'Good Environmental Status', there is no specific coordination for the implementation of the MSFD in the Black Sea, as this is the obligation of only two of the Black Sea states. However, being contracting parties to the Bucharest Convention, Romania and Bulgaria have an obligation to Governance harmonise their environmental protection policies/legislation and to join efforts in preserving and rehabilitating the Black Sea. The Bucharest Mechanisms Convention on the Protection of the Black Sea against Pollution was established in 1992 under the UN Environment Regional Seas Programme and forms the legal framework for the protection of the marine environment at the regional level in the Black Sea. The Bucharest Convention is implemented through the Black Sea Strategic Action Plan, which has been reviewed to increase convergence between the policy and legal framework for the Black Sea region and relevant EU legislation, i.e. the MSFD. In Romania, the EU Marine Strategy Framework Directive was transposed into an Emergency Governmental Ordinance (no. 71/2010) in 2010 What is the legal basis and adopted as law in 2011 (Law 6/2011, amended by Law 205/2013). of the ABMT? Bulgaria has transposed the MSFD into national legislation. [1] Is there government Yes, the regional implementation of MSFD is supported by national legislation and government organisations are tasked with a government support for the ABMT? mandate for the MPA network. In Romania, responsibility for implementing the MPA network lies with the Ministry of Environment, Waters and Forests which is the central authority for MSFD transposition and implementation, as well as the Environment Protection Agency and the National Institute for Marine Research and Development. In Bulgaria, responsibility for implementing the MPA network lies with the Ministry of Environment and Waters, the Black Sea Basin Directorate, Regional Inspectorates of Environment and Water in Varna and Burgas, was well as NGOs, scientific institutes, universities, laboratories. Romania and Bulgaria are supported in their joint efforts to implement the Marine Strategy Framework Directive by an EU project on 'Technical What is the institutional and administrative support for the joint implementation of the MSFD'. Moreover, a number of projects in the region are working on objectives framework of the related to the MSFD (including the MISIS Project, EMBLAS Project, PERSEUS Project, COCONET Project). ABMT? Further support for coordinated implementation of the MSFD comes from the Marine Strategy Coordination Group and related working groups which were set up by the European Commission and its Member States under the Common Implementation Strategy for the MSFD. Regional coordination between Romania and Bulgaria, as well as with other Black Sea states, takes place through: • the Black Sea Commission and Black Sea Permanent Secretariat, the implementing bodies of the Bucharest Convention, • the Joint Romanian – Bulgarian Commission for cooperation on water management, • the International Commission for the Protection of the Danube River. What type of The implementation of the Marine Strategy Framework Directive through the MPA network is led by the national Governments of Romania and organisation is the Lead Bulgaria. Entity? The Marine Strategy Framework Directive sets targets for 'Good Environmental Status' for a number of descriptors to be met by 2020. The Black Sea MPA network addresses 'Good Environmental Status' targets for descriptors D1 Biodiversity, D2 Food web and D3 Seabed. As the MSFD objectives are linked to a number of other national, regional and EU legislation, the MPA network also contributes to the implementation of the following: What policies are being EU Habitats Directive, EU Birds Directive, implemented by the EU Water Framework Directive (comparable objectives), ABMT? EU Environmental Impact Assessment Directive, EU Common Fishery Policy, Black Seas Strategic Action Plan (overlapping targets; was reviewed and adapted to match EU directives), Black Sea Integrated Monitoring and Assessment Programme, Bucharest Convention (same goals). The overarching goal is the creation of a coherent and representative network of MPAs in Romania and Bulgaria, including a framework of management plans, enhanced control and regulation of activities within the MPAs. What are the primary The aim of the MPA network is to improve the marine environment and enhance the control of regulated activities which potentially affect the goals / objectives of the ecosystems protected by the MPAs. ABMT? This is to be achieved through three objectives: 1) designation of "missing" MPAs, 2) drafting of management plans, and 3) control regulated activities within/near MPAs. The MPAs include environmental targets for different biodiversity features: fish, mammals, water column habitats, and seabed habitats. The management plans for the MPAs include: What are the 1) research, improvement of knowledge; management measures 2) measures to prevent or control adverse impacts of recreation (incl. Angling); associated with the 3) measures to prevent or control adverse impacts of fishing and other exploitation/removal of animals and plants; ABMT? 4) measures to restore and conserve marine ecosystems (incl. habitats and species). The measures to control and regulate activities within and near the MPAs target a number of different sectors, including: - recreational activities, tourism, leisure - industry Does the ABMT involve - marine energy cross sectoral - urbanization cooperation? - agriculture - activities associated with the extraction of living seafood - sea-based mobile activities (transport/shipping) Which SDGs do the management measures 14.1, 14.2, 14.4, 14.5 support? The Marine Strategy Framework Directive determines that "[by] applying an ecosystem-based approach to the management of human Does the AMBT process activities while enabling a sustainable use of marine goods and services, priority should be given to achieving or maintaining good follow an ecosystem environmental status in the Community’s marine environment, to continuing its protection and preservation, and to preventing subsequent approach? deterioration." (EU 2008, p. 20) Does the ABMT process incorporate data and Yes evidence? What type of data was In Romania, historical data on marine chemistry and plankton was used to show trends, as well as limited information on physical loss and used in the ABMT marine environmental damage. development process? No information was found on the use of data in Bulgaria. Stakeholder engagement in the MPA network implementation process took place through stakeholder workshop and public consultations on proposed measures and national Programmes of Measures. In Bulgaria, a consultation process on the monitoring programmes was announced during the 22nd Annual meeting of Basin Council in Does the ABMT process October 2014 and took place in November 2014. The council is lead by the Director of the Black Sea Basin Directorate and involves number of include stakeholder representatives of local state administrations, water supply companies, NGO, business as well as other types of stakeholders. The engagement? consultation generated comments on the monitoring programmes of D1,4 – birds, 3, D5, D8 and D10 from four organisations: the Institute of Fishery Resources, the Bulgarian Society for Protection of Birds (BSPB), one Regional Health Inspectorate and another unnamed organisation. Bulgaria states that the comments were taken into account in the final version of the monitoring programmes and sub-programmes. Does the ABMT use spatial and/or scenario No information on this was found. analysis to support decisions? What decision-support tools were used to Cost effectiveness and cost benefit assessments and Strategic Environmental Assessments were used in the MPA network implementation support the planning process. process? What is the spatial The spatial focus at which the MPA network implements the Marine Strategy Framework Directive are coastal and offshore habitats in the focus of the ABMT? territorial waters and EEZs of Bulgaria and Romania in the Black Sea. At what scale is the The MPA network implements the Marine Strategy Framework Directive at the regional level of the Black Sea, and more specifically bilaterally ABMT process between Romania and Bulgaria. implemented? What is the timeframe focused on for the Under the Marine Strategy Framework Directive, 'Good Env Status' has to be achieved by 2020. management measures? Does the ABMT include an evaluation No information on this was found. framework, and if so, what is the framework? Does the ABMT include The establishment of monitoring programmes is part of the implementation steps for the Marine Strategy Framework Directive. This includes performance monitoring for all measures that are put in place to implement the MSFD. monitoring, and if so, In Romania, the national integrated monitoring programme addresses physical, chemical and biological parameters in coastal, transitional and what is the framework? marine waters. An existing monitoring programme for the EU Water Framework Directive has been implemented since 2003; this was extended to the territorial sea in 2009 but does not reach out further than 12 nautical miles. Bulgaria also has an existing monitoring programme under the EU Water Framework Directive, which has been regularly implemented since 2010; this has been extended to the territorial sea and EEZ in 2012 to cover the spatial scope of the MSFD. What indicators are As part of the EU 'Technical and administrative support' project, environmental targets for different biodiversity features (fish, mammals, water used in the monitoring column habitats, and seabed habitats) were developed. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The existence of a regional National laws provide a legal basis for the implementation of the EU Marine convention with established To what extent does the Strategy Framework Directive at a national level. No information was found governance and institutional legal basis of the ABMT as to how far this facilitates the process and supports the delivery of framework is an enabler for the support the delivery of associated policies. implementation of the MSFD in the the ABMT and The existence of the Bucharest Convention provides a governance and Black Sea because it facilitates associated policies? institutional framework that supports coordination of efforts to implement coordination and collaboration the MSFD in Romania and Bulgaria. between the two EU Member States.

In Romania, the constraint change in governmental structures, redistribution of activities and responsibilities between ministries and affiliated bodies, To what extent does the and frequent staff turnover was identified as a major problem for the institutional framework implementation of the MPA network and associated policies. Two areas for associated with the improvement of the effectiveness of the institutional framework have also ABMT support the been identified: delivery of the ABMT - stable networking between institutions dealing with governance, funding, and associated implementation of monitoring, policies? - training for monitoring and assessment methods, data management, economic analysis to improve institutional capacity. No information on this was found for Bulgaria. To what extent does the ABMT support the Implementation has not yet happened. delivery of marine and coastal policies? The MSFD explicitly requires that 'Good Environmental Status' (GES) is The fact that the MSFD explicitly To what extent does the determined at marine (sub) regions and that neighbouring Member States promotes transboundary ABMT promote cooperate in the implementation of the MSFD. cooperation in determining and transboundary The MPA network is being developed as part of an EC project to support the achieving 'Good Environmental cooperation? joint implementation of the MSFD in Bulgaria and Romania and contributes Status' is an enabling factor as to the regional seas approach under the Bucharest Convention. provides a legal requirement for The main outcomes of Phase I of the EC project include: collaboration between the two - Improved regional coordination and exchange of experience between countries. Bulgarian and Romanian competent authorities and scientific institutes; - Harmonization of the public consultation process by using agreed The supporting EU infrastructure, in monitoring program fact sheets; form of the EC technical and - Revision of the national GES definitions, criteria and environmental targets administrative support project is an for achieving of GES; enabling factor for transboundary - Agreement on coordinated or harmonized GES definitions, criteria and cooperation as it directly supports environmental targets for achieving of GES; the coordination and implementation - Agreed common indicators/parameters between Bulgaria and Romania. of joint efforts between the two Further, Phase II of the project includes common measures for regulating countries. activities within the MPAs related to descriptors for fish, shellfish, birds, marine mammals, and seabed habitats for Bulgaria and Romania. Thus, the MSFD implementation process does explicitly require transboundary cooperation between Bulgaria and Romania. At the same time, the setting up of the MPA network is supported by existing regional coordinating institutions and bilateral cooperation frameworks. To what extent does the In Romania, there was no real cross-sectoral cooperation in the preparation ABMT process process for the implementation of the MSFD at national level. emphasise multi-sector No information on this was found for Bulgaria. engagement? To what extent does the The establishment of monitoring programmes for all measures is part of the ABMT utilise an implementation of the MSFD. However, no information was found on how iterative/adaptive this might translate into an iterative or adaptive approach. process? EC technical and administrative To what extent does the The implementation of the MSFD through the MPA network is financed Poor funding was support project provided funding for funding/resources of through national budgets as well as EU funds and projects. In Romania, poor identified as a barrier to the transboundary collaboration the ABMT support its funding was identified as a barrier for routine monitoring. No further effective monitoring project. This directly facilitated the delivery and associated information was found on the implications of funding for the successful programmes. collaboration and lesson sharing policies? implementation of the MPA network. between the two countries. To what extent does stakeholder engagement support In Romania, attendance of the public consultation process was found to be the effective delivery of insufficient. the ABMT and associated policies? In 2014, Romania had not yet defined GES and targets for a number of descriptors, but had made efforts in establishing monitoring programmes which will pave the way for the definition of GES and targets, as well as the further development and implementation of monitoring programmes and programmes of measures. Romania identified a number of institutional issues for monitoring, including: - involvement of many institutions, - fragmentation of responsibilities that hampers the mobilisation of resources and causes duplication of efforts, - poor coordination between organisations involved in monitoring and data collection, - poor funding for routine monitoring. Needs for improvement were also identified: - improved knowledge, especially for the open sea, biological elements, To what extent did data waste and marine litter, noise, physical loss and damage, provision support the - training to increase institutional capacity on monitoring and assessment delivery of the ABMT? methods, data management, economic analysis, - mechanism for data/information exchange between organisations.

In Bulgaria, the monitoring programme was found to address all relevant MSFD descriptors.

Integration of different descriptors and indicators was identified as an approach to economically feasible monitoring. However, this is only possible where monitored parameters have common sources of pressure, spatial distribution, temporal variability and/or common sampling methods.

Recommendations to optimize monitoring programmes have been formulated and plans for collecting data/information on GES and environmental targets under the revised Bulgarian and Romanian monitoring programmes (MSFD Art. 11 reporting) were accordingly developed.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all 14.1 kinds, in particular from land-based activities, including marine Pollution from ships identified as a pressure on the Black Sea debris and nutrient pollution By 2020, sustainably manage and protect marine and coastal Programme of Measures, Measure 15: ecosystems to avoid significant adverse impacts including by create a coherent and representative network of MPAs 14.2 strengthening their resilience, and take action for their restoration aim: to improve the marine environment and enhance the control of regulated activities in order to achieve healthy and productive oceans which potentially affect MPA ecosystems Programme of Measures, Measure 15: Environmental targets for biodiversity: fish 1.1.1 and 1.1.2 Distribution area is not adversely affected by human pressure and should By 2020, effectively regulate harvesting and end overfishing, be within the range of values in the last two decades and the selected species recorded illegal, unreported and unregulated fishing and destructive fishing over 50% attendance in the samples. practices and implement science-based management plans, in 1.2.1 The size of the analysed population is not adversely affected by human pressure 14.4 order to restore fish stocks in the shortest time feasible, at least and should be within the range of values in the last two decades. to levels that can produce maximum sustainable yield as 1.3.1 The study population is not adversely affected by human pressure and should be determined by their biological characteristics within the range of values in the last two decades. 1.3.1 Diminishing natural mortality by maintaining the good condition of the environment and fishery resources. Reducing bycatch by adequate management measures. Programme of Measures, Measure 15: By 2020, conserve at least 10 per cent of coastal and marine create a coherent and representative network of MPAs 14.5 areas, consistent with national and international law and based aim: to improve the marine environment and enhance the control of regulated activities on the best available scientific information which potentially affect MPA ecosystems

Sources and references Romania Environment under Review factsheet http://ec.europa.eu/environment/eir/pdf/factsheet_ro_en.pdf Training materials - Mar in Turk project. http://marinturkproject.com/Sayfa.aspx?id=47 Regional coordination and coherence Оther projects related to MSFD PoMs - 2015 http://www.bsbd.org/UserFiles/File/projects/EN/Other%20activties%20and%20re stakeholder workshop romania and bulgaria lated%20PoMs%20projects%2003.06.2015.pdf

Training on Fundamental Concepts and Processes of the Marine Strategy Framework Directive Antalya, 7-11 November 2016 Progress and Coordinated http://marinturkproject.com/uploads/3.2.1.pdf activities on Implementation of MSFD art. 8, 9 and 10 in Bulgaria and Romania Grant Agreement No 21.0401/2008/517948/SUB/D2 “Support to the Black Sea http://ec.europa.eu/environment/marine/international-cooperation/regional-sea- Commission for the Implementation of the Marine Strategy” conventions/bucharest/pdf/MSFD%20Draft%20Final%20Report.pdf http://marinturkproject.com/uploads/2.1.2- MSFD implementation in Romania %20RO_MSFD_legislations_fin%20Laura%20Boicenco.pdf Technical and administrative support for the joint implementation of the Marine http://ec.europa.eu/environment/marine/international-cooperation/regional-sea- Strategy Framework Directive (MSFD) by the EU Black Sea Member States-Phase II conventions/bucharest/pdf/BS%20II_project%20report_final_18022016.pdf http://ec.europa.eu/environment/marine/eu-coast-and-marine- How EU member states develop marine strategies policy/implementation/reports_en.htm REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL assessing Member States' monitoring programmes under the Marine http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=COM:2017:3:FIN Strategy Framework Directive

MSFD in the Black Sea Region http://www.msfdblacksea.eu/EN/MSFD%20Black%20Sea.html The EU Environmental Implementation Review Country Report - Bulgaria (2017) http://ec.europa.eu/environment/eir/pdf/report_bg_en.pdf http://ec.europa.eu/environment/marine/eu-coast-and-marine-policy/marine- MSFD page EC strategy-framework-directive/index_en.htm methodologies and standards for good environmental status - EU wide (laying down criteria and methodological standards on good environmental status of marine http://eur-lex.europa.eu/legal- waters and specifications and standardised methods for monitoring and content/EN/TXT/PDF/?uri=CELEX:32017D0848&from=EN assessment, and repealing Decision 2010/477/EU) Commission Directive (EU) 2017/845 of 17 May 2017 amending Directive 2008/56/EC of the European Parliament and of the Council as regards the indicative http://eur-lex.europa.eu/legal- lists of elements to be taken into account for the preparation of marine strategies content/EN/TXT/?qid=1495097018132&uri=CELEX:32017L0845 (Text with EEA relevance. ) https://publications.europa.eu/en/publication-detail/-/publication/ff3c7a4d-7ce5- Seas for Life publication 4427-b9c3-8ed90d58a4a0 Marine Strategy Framework Directive Public Consultation Document http://www.bsbd.org/UserFiles/File/En/MS/Summary_of_PoMs.pdf Marine Strategy of the Republic of Bulgaria PART III PROGRAMME OF MEASURES Technical and administrative support for the joint implementation of the Marine http://www.bsbd.org/UserFiles/File/projects/Final%20report%20- Strategy Framework Directive (MSFD) by the EU Black Sea Member States-Phase II %20Phase%20II.pdf BLACK SEA REGIONAL PLAN https://www.google.co.uk/url?sa=t&rct=j&q=&esrc=s&source=web&cd=1&ved=0a hUKEwjh1u_h6b3VAhVnD8AKHVAVB0EQFggrMAA&url=https%3A%2F%2Fprojects .eionet.europa.eu%2Fblack-sea-marine-region-documents%2Flibrary%2Fmpa- Conservation and Protection of the Black Sea Biodiversity report-review-existing-and-planned-protected-areas-black-sea- bulgaria%2Fdownload%2Fen%2F1%2FMPA%2520Report%2520- %2520Review%2520of%2520the%2520existing%2520and%2520planned%2520pro tected%2520areas%2520in%2520the%2520Black%2520Sea%2520%2528Bulgaria %252C%2520Romania%252C%2520Turkey%2529.pdf&usg=AFQjCNFlnNvEgTESP oy1u8PmbLsfh44D2g http://eur-lex.europa.eu/legal- content/EN/TXT/PDF/?uri=CELEX:52014SC0049&from=en Case Study 9. Marine Protected Area: Caribbean Specially Protected Areas and Wildlife Protocol

Facts about the case study

Case-specific entries Tool Marine Protected Areas for the protection of marine mammals, under the Action Plan for the Conservation of Marine Mammals (MMAP)

Region Wider Caribbean The Action Plan for the Conservation of Marine Mammals (MMAP) was adopted on 10 November 2008, as an instrument to further support the implementation of the Protocol concerning Specially Protected Areas and Wildlife (SPAW) by governments across the Wider Caribbean Region Implementation status (WCR). It has since been implemented through a number of activities including the LifeWeb Initiative, 2010, a project focused on Broad Scale Marine Spatial Planning of Mammal Corridors and Protected Areas in the Wider Caribbean Region.

The Caribbean Environment Programme provided the framework for the adoption of an Action Plan that led to the development of the Cartagena Convention. This led to the development of the supporting Protocols which are implemented on the basis of guidance provided in the issue- Governance driven action plans. The Action Plan relating to the SPAW Protocol is the Marine Mammal Action Plan that was directly implemented by the Mechanisms LifeWeb Project [14]. Was in place for the ABMT process: Binding, legally enforceable instrument (law, ruling, policy or decision) Put in place to support ABMT implementation: Non-binding instrument (action plans, declarations or guidance)

The Convention for the Protection and Development of the Marine Environment in the Wider Caribbean Region (WCR), or Cartagena Convention, is a regional legal agreement for the protection of the Caribbean Sea. The Cartagena Convention entered into force on 11 October 1986, and has been ratified by 25 UN Member States in the Wider Caribbean Region and is legally binding to signatories. It is supported by three protocols, one What is the legal basis of which is the Protocol Concerning Specially Protected Areas and Wildlife (SPAW) in the Wider Caribbean Region. This Protocol was signed on of the ABMT? 18 January 1990 to support the implementation of the Cartagena Convention and further facilitate implementation of multilateral global agreements such as the CITES, CBD and Ramsar Conventions. The Protocol calls for action on the protection of endangered wildlife in the region, thereby providing the legal framework for the development of the Marine Mammal Action Plan (2008).

Government support for the Action Plans is strong as the programme was initiated, resourced and funded by Member States and partner organisations. Is there government There is a legal framework in place to promote ABMT. Organisations/working groups are tasked with ABMT with governmental mandate. Financial support for the ABMT? resources have been allocated to ABMT by governments and partner organisations. Clearly defined responsibilities have been given to authorities for ABMT planning and implementation

What is the The Contracting Parties to the SPAW Protocol in the Wider Caribbean Region are responsible for implementing the Action Plan, and prioritising institutional its recommendations as is most appropriate to their country. The Caribbean Regional Coordinating Unit further supports the designation of framework of the networks of MPAs across the Wider Caribbean Region. ABMT? What type of The Secretariat of the Cartagena Convention is based in Kingston, Jamaica and the SPAW Protocol is supported by a Regional Activity Centre organisation is the based in Guadeloupe funded by the Government of France. The Caribbean Environment Programme falls under the Regional Seas Programme Lead Entity? and is administered by UNEP. Regional Organisation. National Government

What policies are The SPAW Protocol guides the implementation of the Marine Mammal Action Plan (MMAP). The Action Plan encourages transboundary being implemented by cooperation between countries in the Caribbean region, in order to slow environmental degradation and work towards the sustainable the ABMT? management of marine resources. The MMAP calls for the establishment of MPAs to protect vulnerable marine mammal species and habitats.

The key aims of the Marine Mammal Action Plan include the "conservation and recovery of all marine mammal species and populations, and protection of their habitats in the region (e.g. feeding, breeding, and calving grounds, movement corridors, etc.)". (p.4 [8]) What are the primary goals / objectives of The establishment of regional cooperation programmes to "increase scientific, technical, and educational exchange among relevant national, the ABMT? regional, and international organizations" is also a primary goal [P.4, 8]. Conserve or restore the health of marine ecosystem/s; Maximise the overall value of the marine ecosystem in a sustainable way

The Marine Mammal Action Plan details various management measures intended to protect marine mammals in its operating area. These What are the include: management - Designing and declaring new MPAs specifically for the protection of threatened or endangered marine mammals within the region. measures associated - Assessing the pressures on the marine environment as a result of human activities. with the ABMT? - Monitoring and assessing ongoing levels of marine mammal bycatch in commercial fisheries. - Integrating local stakeholders into marine spatial planning for the protection of marine mammals.

The guidelines for the development of Action Plans state that they "are designed to be carried out by Government designated institutions in Does the ABMT cooperation with competent bodies within the United Nations system and with appropriate intergovernmental and non-governmental involve cross sectoral organisations" [P.1, 11]. Public - Private partnerships have also been identified to implement the ABMT, such as LifeWeb, between UNEP and cooperation? Spain.

Which SDGs do the management 1.5, 8.9, 11.4, 12.2, 13.1, 14.1. 14.2, 14.4, 14.5, 14c, 17.16, 17.17 measures support? Does the AMBT The Marine Mammal Action Plan is focused around an ecosystem approach. The specific term is used throughout the Action Plan, and the process follow an Implementation Reports from previous years. ecosystem approach? The Plan incorporated available data and existing research concerning the marine mammal species that were known to exist in the Wider Does the ABMT Caribbean Region. The process also called for further data collection and monitoring as part of its objectives, particularly concerning marine process incorporate mammal bycatch in fisheries, and the pressures affecting crucial habitats in the area. A Working Group under the Scientific and Technical data and evidence? Advisory Committee of the SPAW Protocol was established to advise on the development of the Action Plan. Existing biological information concerning the marine mammal species present in the Wider Caribbean Region, and the condition of their respective habitats, was collated by experts into a series of supporting documents. What type of data was used in the ABMT Socioecological data was also collated to inform decisions regarding ecosystem goods and services and hotspots of human pressures. development process? Biological/ecological information; Current human activity distribution; Cumulative human impacts/pressures; Ecosystem goods and services benefits; Governance information

Does the ABMT The development of the Marine Mammal Action Plan included stakeholder consultation. This is both in the form of intergovernmental process include discussions regarding the protection of transboundary resources, and discussions between governmental and non-governmental organisations. stakeholder The Plan is supported by background science and socioeconomic documents, which were reviewed and modified by an expert committee. engagement?

Does the ABMT use Data integration and mapping software were used to implement the MMAP as part of the LifeWeb-Spain project - a 20 month project carried out spatial and/or to design and outline potential MPAs for marine mammal protection. Critical habitats, human activities, and marine mammal distribution and scenario analysis to migrations in the Wider Caribbean and South-East Pacific regions were identified and spatially represented using spatial analysis in order to support decisions? identify potential locations for protection.

What decision- GIS was used to identify spatial overlap between critical habitats and human activities. Marine Mammal MPA Network optimisation software support tools were was also employed to identify potential locations for the designation of MPAs for highly migratory species. used to support the Optimisation or network tools (e.g. Marxan) planning process?

What is the spatial "The Wider Caribbean Region (WCR) comprises the insular and coastal States and Territories with coasts on the Caribbean Sea and Gulf of focus of the ABMT? Mexico as well as waters of the Atlantic Ocean adjacent to these States and Territories and includes 28 island and continental countries" [12]

"The MMAP identifies activities at the national level, through regional and international cooperation, while respecting the sovereign rights of At what scale is the participating governments" [P.2, 7]. It also encourages the formation of partnerships across the Wider Caribbean Region to manage marine ABMT process mammal resources. implemented? Regional (e.g. international transboundary)

What is the timeframe focused on for the The Marine Mammal Action Plan lists priority objectives that are recommended to be achieved within 5 years. management measures? Does the ABMT include an evaluation The Marine Mammal Action Plan is not amended on a regular basis; however, the Cartagena Convention Secretariat reports on a biennial basis framework, and if so, on the status of implementation and interacts with Member States and partner organisations intersessionally. what is the framework? Does the ABMT include performance The Action Plan calls for the standardisation of data collection techniques to allow for direct comparison of the performance of the objectives monitoring, and if so, across the Wider Caribbean Region. In areas where a full assessment cannot be made then a precautionary approach should be taken. what is the framework? What indicators are The Secretariat of the Cartagena Convention reports in a biennial basis on the status of implementation of activities and interacts with Member used in the monitoring States and partner organisations intersessionally. of the ABMT?

Case study assessment

Assessment questions Responses Barriers Enablers

To what extent does the The legal basis of the SPAW Protocol outlines the commitment of Contracting Effective implementation of The Marine Mammal Action legal basis of the ABMT Parties to protect and manage their common marine and coastal resources the Marine Mammal Action Plan provides technical support the delivery of sustainably. The Protocol is legally binding; hence, the Marine Mammal Action Plan can be enhanced by support in the designation of the ABMT and Plan, serves as a guidance framework under which Member countries and capacity building efforts and protected area networks. associated policies? partner organisations can direct implementation efforts. political engagement.

Government support for the To what extent does the The institutional framework behind the development of the Marine Mammal Plan allows for partnerships institutional framework Action Plan is strong. The development of the plan was facilitated by UNEP to be form which contributes associated with the under its Regional Seas programme for the Wider Caribbean region, i.e. the to the development of a ABMT support the Caribbean Environment Programme (CEP) which serves as Secretariat for the network of MPAs for the delivery of the ABMT Cartagena Convention and its SPAW Protocol, showing Member States' conservation and and associated policies? support for the conservation of marine biodiversity and sustainable resources. management of marine mammals.

The MMAP outlines information to support participating governments in decision-making to improve marine mammal policies and practices, as per The Marine Mammal Action provisions of the SPAW Protocol. In addition, the MMAP supports the delivery There is a need for greater Plan also supports the To what extent does the of marine and coastal policies under other international instruments, such as coordination and cooperation delivery of wider marine and ABMT support the the UN Convention on the Law of the Sea (UNCLOS) which lists several among existing regional and coastal policies and delivery of marine and endangered marine mammal species that require protection (Annex 1 to Article global agreements in areas of obligations under coastal policies? 64). These species also feature in the geographical area covered by the mutual interest and synergies. international law, e.g. mandate of the Caribbean Environment Programme, thus measures UNCLOS, CITES. implemented under the MMAP can help to meet international obligations. Encouragement of transboundary cooperation to Transboundary cooperation is encouraged between the Contracting Parties There is a need to fill implement measures under who "design and declare marine protected areas and other management To what extent does the information and data gaps the MMAP promotes regimes, that maintain ecological connections (e.g. sister sanctuaries that ABMT promote required to further promote the collaboration. promote the protection of transboundary assets) " [P.2, 7]. Scenarios for transboundary implementation of Use of optimisation software promoting transboundary governance of migratory marine mammals were cooperation? transboundary management to develop scenarios provides developed as part of the UNEP-Spain LifeWeb Project using optimisation schemes. the evidence base on which software. to promote sound decision- making.

Engagement of different To what extent does the There is a strong theme of multi-sector engagement throughout the Marine relevant sectors and ABMT process Mammal Action Plan, engaging different stakeholders on activities that may stakeholders requires emphasise multi-sector affect marine mammals in the Wider Caribbean Region and encouraging them dedicated efforts and engagement? to identify cumulative impacts across different sectors. awareness building strategies.

To what extent does the Increased sharing of best The MMAP itself has not been reviewed regularly given its nature as a ABMT utilise an practices and lessons learned framework instrument. However, priorities and implementation of activities are iterative/adaptive in the implementation of the assessed under the Workplan for implementation of the SPAW Protocol. process? MMAP remain a challenge.

Seed money supported the initiation of transboundary Inconsistent funding was a resource management with a barrier during the consultation To what extent does the UNEP provided “seed money” in order to enable the start of the planning number of different funding/resources of phase to facilitate discussions process. Financial contributions and resource mobilisation for implementation Contracting Parties. This the ABMT support its between stakeholders are also part of the efforts by the Secretariat, Contracting Parties and partner enables the translation of the delivery and associated regarding the implementation organisations. MMAP into protection for policies? of the Marine Mammal Action marine mammals and their Plan [10]. habitats across their entire range.

Technical consultations To what extent does Multi-stakeholder involvement and engagement are an integral part of the helped engage and inform stakeholder MMAP implementation strategy. stakeholders about the engagement support MMAP, improving awareness the effective delivery of and ultimately support. the ABMT and associated policies? Flexibility in the prioritisation of which strategies to undertake in individual countries increases the uptake of the MMAP. Countries have the flexibility to choose the most appropriate strategy based on their own capacity and needs.

Workshops were held with experts prior to the onset of implementation of the Limited use of GIS and spatial MMAP to collate information regarding the health and status of marine analysis techniques, due to mammal species and habitats within the region. The Scientific and Technical limitations in data availability, Advisory Committee incorporated socioeconomic, biological and spatial data The preliminary spatial impeded the identification of into the draft Marine Mammal Action Plan. analysis which was carried the most appropriate areas for To what extent did data out provides a good starting management based on overlap provision support the One of the priority actions listed in the Marine Mammal Action Plan is to point to identify hot spots of between human activities and delivery of the ABMT? improve the use of GIS in identifying areas of spatial overlap between human where human activities marine mammal habitat. activities that could cause damage to marine mammals, and marine mammal interacts with marine Additional analysis would be habitats. This is an area that is currently underdeveloped. However, in the case mammal species richness. useful to map the source of of the UNEP-Spain LifeWeb Project, preliminary spatial analysis was carried potential impacts on marine out to identify the overlap between human activities and marine mammal mammals. species richness [10].

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, build the resilience of the poor and those in vulnerable situations Activities under the SPAW Protocol and Subprogramme: Strengthening of 1.5 and reduce their exposure and vulnerability to climate-related extreme Protected Areas in the Wider Caribbean Region. events and other economic, social and environmental shocks and disasters SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all A growing, yet not fully realized component of tourism in the Wider Caribbean Region is marine mammal watching. The SPAW Protocol calls for the development and implementation of conservation, recovery or management programmes, as well as guidelines and criteria for the management of protected By 2030, devise and implement policies to promote sustainable tourism that 8.9 species. The "Overarching Principles and Best Practice Guidelines for Marine creates jobs and promotes local culture and products Mammal Watching in the Wider Caribbean Region" were developed under the framework of the Marine Mammal Action Plan for the Conservation of Marine Mammals adopted by SPAW Contracting Parties.

SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable Articles 11 and 21 of the SPAW Protocol call for the development and implementation of programmes for protected species, as well as guidelines and criteria for the management of protected species, including migratory species. Strengthen efforts to protect and safeguard the world’s cultural and natural 11.4 heritage Article 14 recognizes traditional use to satisfy cultural and subsistence needs. Annex II of the SPAW Protocol lists all species of marine mammals of the Wider Caribbean

SDG 12: Ensure sustainable consumption and production patterns The SPAW Protocol contains general provisions and articles (e.g. 4, 5, 6, 7, 10, 11) on measures for the protection of wild flora and fauna and the planning and management regime for protected areas. Activities under the SPAW By 2030, achieve the sustainable management and efficient use of natural 12.2 resources Subprogramme: Strengthening of Protected Areas; Conservation of Threatened and Endangered Species; Conservation and Sustainable Use of Coastal and Marine Ecosystems.

SDG 13: Take urgent action to combat climate change and its impacts Activities under the SPAW Subprogramme: Strengthening of Protected Areas; Strengthen resilience and adaptive capacity to climate related hazards and 13.1 Conservation of Threatened and Endangered Species; Conservation and natural disasters in all countries Sustainable Use of Coastal and Marine Ecosystems. SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in The Action Plan states that it must "address and mitigate human-related threats 14.1 particular from land-based activities, including marine debris and nutrient to marine mammals and the viability of their populations and habitats" [P.6, 8]. pollution By 2020, sustainably manage and protect marine and coastal ecosystems to The Action Plan focuses on the protection of habitats of critical importance to avoid significant adverse impacts including by strengthening their resilience, 14.2 and take action for their restoration in order to achieve healthy and marine mammals. productive oceans By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and There is a focus on the reduction of marine mammal bycatch in commercial 14.4 implement science-based management plans, in order to restore fish stocks fisheries. in the shortest time feasible, at least to levels that can produce maximum sustainable yield as determined by their biological characteristics By 2020, conserve at least 10 per cent of coastal and marine areas, Marine Protected Areas are recommended by the Action Plan to protect migratory 14.5 consistent with national and international law and based on the best corridors used by marine mammals. available scientific information The Caribbean Environment Programme is underpinned by the Cartagena Enhance the conservation and sustainable use of oceans and their resources Convention that is supported by the Protocol concerning Specially Protected by implementing international law as reflected in UNCLOS, which provides 14.c Areas and Wildlife (SPAW). These instruments are legally binding and contain the legal framework for the conservation and sustainable use of oceans and provisions and articles on biodiversity conservation and sustainable use of their resources, as recalled in paragraph 158 of The Future We Want marine resources.

SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The Caribbean Environment Programme is one of the Regional Seas Programmes that are administered by the UN Environment. Public - Private partnerships have Encourage and promote effective public, public-private and civil society 17.17 partnerships, building on the experience and resourcing strategies of also been identified as a significant contribution to the implementation of the partnerships Cartagena Convention, its Protocols and associated Subporgrammes and projects, including the LifeWeb Project supported by the Government of Spain.

Multi-stakeholder partnerships: Enhance the global partnership for "The MMAP identifies activities at the national level, through regional and sustainable development, complemented by multi-stakeholder partnerships international cooperation, while respecting the sovereign rights of participating 17.16 that mobilize and share knowledge, expertise, technology and financial governments" [P.2, 7]. It also encourages the formation of partnerships across the resources, to support the achievement of the sustainable development goals Wider Caribbean Region to manage marine mammal resources. in all countries, in particular developing countries

Sources and references 1 SPAW countries ratified http://www.car-spaw-rac.org/IMG/pdf/pays_ratifies_spaw.pdf 2 Vanzella-Khouri, 1998 http://repository.law.miami.edu/cgi/viewcontent.cgi?article=1284&context=umialr 3 Regional Seas Action Plans http://www.unep.org/regionalseas/who-we-are/regional-seas-action-plans 4 UNEP 2015 Regional Seas https://sustainabledevelopment.un.org/content/documents/commitments/7733_7399_commitment_WBRS17_8_RSSD%202017- Strategic Directions 2020%20FINAL.pdf 5 The Specially Protected Areas and http://www.icriforum.org/sites/default/files/ICRIGM24_CEP_SPAW.pdf Wildlife Protocol (SPAW) and the Regional Activity Centre for SPAW Protocol (SPAW –RAC) 6 MMAP Factsheet Final http://www.cep.unep.org/meetings-events/regional-workshop-gis-marine-mammals/mmap-factsheet-final.pdf/view 7 MMAP Sister Sanctuary http://stellwagen.noaa.gov/sister/pdfs/framework_fs.pdf Framework 8 The Marine Mammals Action Plan http://www.car-spaw-rac.org/IMG/pdf/mmap.pdf 9 Caribbean Environment http://www.cep.unep.org/publications-and-resources/marine-and-coastal-issues-links/marine-mammals Programme Website: Marine Mammals 10 Implementation of MMAP report http://www.cep.unep.org/meetings-events/14th-igm/unep-depi-car-ig.29-inf.4.pdf/view 11 Guidelines and Principles for the http://www.ais.unwater.org/ais/aiscm/getprojectdoc.php?docid=4001 preparation and implementation of comprehensive action plans 12 UNEP Website: Regional Seas, http://www.unep.org/regionalseas/wider-caribbean Wider Caribbean 13 Lifeweb Spain scenario analysis http://www.car-spaw-rac.org/IMG/pdf/Puerto_Rico_Meeting_Report-final-2.pdf 14 LifeWeb Project Overview https://lifeweb.cbd.int/project?id=ACC962F1-847E-4154-31C5-90DCF53CB81F#desc 15 SPAW- Specially Protected Areas http://www.cep.unep.org/content/about-cep/spaw and Wildlife Case Study 10. Marine Protected Area: Florida Keys National Marine Sanctuary, U.S.A (Florida)

Facts about the case study Case-specific entries Tool MPA Region Atlantic: North West Florida Keys National Marine Sanctuary designated in 1990 Original Sanctuary Management Plan adopted in 1997 Implementation status First Sanctuary Management Plan Review started 2001 Revised Sanctuary Management Plan adopted in 2007 The Florida Keys National Marine Sanctuary was created and exists under federal law. The National Marine Sanctuaries Act was passed into Governance law in 1972 to create the National Marine Sanctuaries Program and provide the primary legal basis for adding marine areas to the National Mechanisms Marine Sanctuary System. In addition to this federal law, in 1990 a Florida State law was introduced to support the designation of the Florida Keys National Marine Sanctuary. What is the legal basis National Marine Sanctuaries Act (NMSA) 1972 of the ABMT? Florida Keys National Marine Sanctuary and Protection Act 1990 Is there government There is government support for the Florida Keys National Marine Sanctuary through federal and state legislation (as described above), federal support for the ABMT? government agency administration and funding, and joint management by federal and state agencies. The Florida Keys National Marine Sanctuary is administered by the National Oceanic and Atmospheric Administration (NOAA), a federal agency within the Department of Commerce. It is jointly managed by NOAA and the State of Florida, specifically the Florida Department of Environmental Protection, under a co-trustee agreement. The Florida Keys Marine Sanctuary Management Plan provides the management framework for the Sanctuary, setting out action plans, strategies and regulations, and coordinating the authorities and resources of the different state and federal agencies and partners involved in What is the institutional the management of the Sanctuary. framework of the Sanctuary regulations are enforced by the Florida Fish and Wildlife Conservation Commission in partnership with Sanctuary managers and the ABMT? NOAA Office of Law Enforcement. The Sanctuary is supported by the Sanctuary Advisory Council, a community-based advisory group which provides advice on sanctuary operations and serves as liaison between the Sanctuary management and the local community. The Advisory Council plays a key role in the management plan review process. Further, the Sanctuary management cooperates with multiple state and federal agencies, universities and non-governmental organisations to ensure the protection of the Florida Keys coral reef system. What type of The lead entity of the Florida Keys National Marine Sanctuary is a federal government agency, i.e. the National Oceanic and Atmospheric organisation is the Lead Administration (NOAA). Entity? What policies are being The Florida Keys National Marine Sanctuary implements a federal policy to protect marine areas and resources that are of special national implemented by the significance due to their conservation, recreational, ecological, historical, scientific, cultural, archaeological, educational or aesthetic qualities. ABMT? The primary goal of the Florida Keys National Marine Sanctuary is to protect the nationally significant marine resources in the area, including What are the primary coral reefs, seagrass beds, mangroves and marine species, as well as fisheries, historically important shipwrecks and archaeological artefacts. goals / objectives of the The Sanctuary also aims to facilitate recreational and commercial activities in the Florida Keys in ways that are consistent with the protection ABMT? of natural and cultural marine resources. With the designation of the Florida Keys National Marine Sanctuary, a number of protective measures were put in place, including bans on oil exploration, mining and other activities that would alter the seafloor, restrictions on large shipping traffic, and restrictions on anchoring, touching and collecting corals. What are the The Sanctuary is divided into five types of zones with different levels of protection, access and use restrictions: 1) sanctuary preservation management measures areas, 2) ecological reserves, 3) special-use areas, 4) wildlife management areas, and 5) existing management areas. associated with the The Sanctuary Management Plan specifies regulations, permit requirements and restrictions for human activities and uses across the entire ABMT? Sanctuary and within specific zones. The main activities in the Florida Keys that are regulated by the Management Plan are diving, boating and fishing. Permits are further required for research, educational, archaeological or other projects in the Sanctuary. Does the ABMT involve Cross sectoral cooperation in the Florida Keys National Marine Sanctuary occurs through representation of stakeholders from all relevant cross sectoral sectors on the Sanctuary Advisory Council. cooperation? Which SDGs do the management measures 8.4, 8.9, 11.4, 11.6, 12.2, 12.4, 13.3, 14.1, 14.2, 14.4, 14.5, 17.7, 17.16 support? The Florida Keys National Marine Sanctuary does follow an ecosystem approach. The Management Plan states that "the Sanctuary uses an Does the AMBT process ecosystem approach to comprehensively address the variety of impacts, pressures, and threats to the Florida Keys marine ecosystem. It is follow an ecosystem only through this inclusive approach that the complex problems facing the coral reef community can be adequately addressed." (p. 3, FKNMS approach? 2007) The management of the Florida Keys National Marine Sanctuary is supported by scientific evidence from research projects and monitoring Does the ABMT process programmes that provide data on changes in the health of Sanctuary habitats, on water quality and on socioeconomic factors. This scientific incorporate data and evidence is used to inform management decisions to ensure that conservation and restoration measures are scientifically sound and effective. evidence? Other types of data used in Sanctuary management processes include vessel grounding data, GIS data and heritage data. What type of data was The original Sanctuary Management plan was based on an assessment of the physical environment, natural resources, cultural and historic used in the ABMT resources, human activities and uses, existing jurisdictional responsibilities and institutional arrangements in the Florida Keys. development process? The Florida Keys National Marine Sanctuary does include stakeholder engagement through the Sanctuary Advisory Council. The Advisory Council meets six times a year and includes representatives from boating, conservation and environment, diving, education and outreach, South Florida ecosystem restoration, fishing (commercial and recreational), elected county government, submerged cultural resources, Does the ABMT process research and monitoring, tourism and the community at large. include stakeholder Within the Advisory Council, working groups were created to address specific topics, gather information from community experts, user groups engagement? and scientists and develop recommendations. Community members and stakeholders can also become involved in the Sanctuary through volunteering opportunities, such as the Team OCEAN program set up to inform the public and boaters about the sanctuary and proper use of sanctuary resources. Moreover, the Sanctuary management team also engaged with the wider public in the management plan review process. Finally, education, outreach and stewardship play an important role in the management strategy of the Sanctuary and are addressed through a number of action plans and strategies in the Management Plan Does the ABMT use spatial and/or scenario GIS data, incorporating spatial and temporal information about ecological resources, is used to support effective monitoring and to track analysis to support restoration and repair efforts. decisions? What decision-support tools were used to The development of the original Sanctuary Management Plan was supported by environmental and socioeconomic impact assessments. support the planning process? The Florida Keys National Marine Sanctuary covers the waters surrounding the Florida Keys from south of Miami to the Dry Tortugas. The What is the spatial shore boundary of the National Marine Sanctuary is the mean high-water mark. Overall, it covers an area of 2,900 square nautical miles. 60 focus of the ABMT? percent of the protected area are located within Florida state waters, the remaining 40 percent are in US federal waters. At what scale is the The Florida Keys National Marine Sanctuary is implemented at local (county) level. The Florida Keys islands, which the Sanctuary surrounds, ABMT process are in Monroe County. implemented? The designation of the Florida Keys National Marine Sanctuary is long term. The management strategies outlined in the Sanctuary What is the timeframe Management Plan include requirements for periodic reviews and adjustments, although the timeframe for these is often not specified. The focused on for the review period for the Management Plan itself is five years. management Some regulations specify time periods in which use of specific areas is prohibited, for example in wildlife management areas, or seasons for measures? harvesting of resources, for example lobster fishing seasons. The Sanctuary Management Plan does include requirements for reviews and evaluation of management strategies and actions, and the Does the ABMT include Management Plan itself underwent a multi-year regulatory review process. The review of the Management Plan was led by the Sanctuary an evaluation management team and undertaken in close cooperation with the Sanctuary Advisory Council. The process involved a number of scoping framework, and if so, meetings and round-table discussions, in which the action plans and strategies of the Management Plan were reviewed and drafted. The what is the framework? review process also included a public comment period. No further information on a specific evaluation framework was found. The Florida Keys National Marine Sanctuary Management Plan contains a Research and Monitoring Action Plan which includes strategies for ecological research and monitoring, marine zone monitoring, socioeconomic research, fisheries sampling, and assessing various impacts in Does the ABMT include the Sanctuary. performance Further, long-term water quality, coral reef and seagrass monitoring programmes, as well as special monitoring projects, have been set up monitoring, and if so, under the Sanctuary's Water Quality Protection Program. what is the framework? In 2011, the Florida Keys National Marine Sanctuary and NOAA published a 'Condition Report' summarising the evidence on the state of the marine resources and the pressures on these resources in the Sanctuary. What indicators are used in the monitoring of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers Having a federal law as legal basis is an The Florida Keys National Marine Sanctuary was created and exists enabler for the Florida Keys National under federal law. The National Marine Sanctuaries Act 1972 provides Marine Sanctuary because it provides a To what extent does the NOAA and the State of Florida with a clear legal mandate to implement clear legal mandate and policies. legal basis of the ABMT the Sanctuary designation and clear policies for the Sanctuary. Having a state law as supplementary support the delivery of While the National Marine Sanctuaries Act 1972 is the overarching legal legal basis is an enabler in the the ABMT and basis of all sanctuaries in the National Marine Sanctuary Program, the implementation of the Florida Keys associated policies? Florida Keys National Marine Sanctuary and Protection Act 1990 National Marine Sanctuary designation provides a more specific legal basis for the implementation of the as it applied the general federal law to sanctuary designation in the Florida Keys. the specific local context. The Florida Keys National Marine Sanctuary is co-managed by NOAA The involvement of a federal agency and the Florida Department of Environmental Protection. The and state department, a comprehensive To what extent does the involvement of a federal agency and state department provide the management plan and the community- institutional framework Sanctuary with the necessary authority to implement and enforce based Advisory Council are important associated with the regulations and management measures. factors enabling the implementation of ABMT support the The Sanctuary Management Plan provides a clear and detailed the Sanctuary designation and delivery of the ABMT framework for the management of the Sanctuary, including action associated policies. They provide and associated plans and strategies. enforcement authority, a clear policies? The Sanctuary Advisory Council plays a key role in supporting the management framework that includes planning and management process and creating a link between the local knowledge, and local community local community and the Sanctuary management. support. The revised Sanctuary Management Plan that was adopted in 2007 lists a number of accomplishments of the Sanctuary which show that management actions and regulations are being implemented and enforced. However, a report on the condition of the water quality, Limited effectiveness of marine species and habitats in the Florida Keys that was published in the management 2011 showed little improvement in the condition of the marine measures in reducing The institutional framework and legal To what extent does the resources within the Sanctuary. Thus, it appears that the Florida Keys human impacts on the basis of the Sanctuary enable the ABMT support the National Marine Sanctuary is implementing federal and state policy to marine resources in the implementation of the relevant marine delivery of marine and protect nationally significant marine resources. However, the Sanctuary is a barrier to policy of protecting nationally coastal policies? effectiveness of the protective measures, and therefore the delivery of the delivery of the significant marine resources. the policy, remains limited. relevant marine policy of The 2011 Condition Report points out that the Florida Keys waters and protecting these marine resources have been heavily exploited during the past century, resources. which is reflected in the current condition of the local marine environment, whereas protective management measures have only been in place for a comparatively short time period. However, the findings also suggest that intensive use of the Sanctuary continues to have negative impacts on its marine resources, despite the management measures put in place under the Sanctuary Management Plan. The geographic extent of As the Florida Keys National Marine Sanctuary includes state and the Sanctuary, which federal waters, it does promote cooperation between federal and state mostly falls under the To what extent does the agencies. Moreover, the Sanctuary is involved in the Comprehensive jurisdiction of the State ABMT promote Everglades Restoration Plan. The Everglades National Park in the south of Florida and lies within transboundary of Florida is adjacent to the Florida Keys Sanctuary. Beyond this, the one state county, limits cooperation? Sanctuary does not promote transboundary or cross jurisdictional the promotion of cooperation. transboundary cooperation. The Florida Keys National Marine Sanctuary Management Plan covers all recreational and commercial sectors that use the marine resources Having a community-based advisory To what extent does the in the waters surrounding the Florida Keys. All relevant sectors, as well council, a clear outreach strategy and ABMT process as the wider local community, are involved in the planning and volunteering programmes are enablers emphasise multi-sector management of the Sanctuary through the Advisory Council, for multi-sector engagement in the engagement? volunteering programmes and public outreach and education Sanctuary. programmes. Engagement of local stakeholders and community play a central role in the Sanctuary. Legal requirements mandate that the Florida Keys National Marine A five year review period, as well as Sanctuary Management Plan has to be reviewed every five years. In the requirements for periodic reviews of To what extent does the first review process, the original Management Plan was adapted to management measures, enable the ABMT utilise an reflect and address shifting environmental conditions and threats, new Sanctuary to respond to changes in iterative/adaptive scientific information and legal requirements. Further, several of the environmental conditions, human process? action plans and strategies in the Management Plan include usage, scientific findings and legal requirements for periodic reviews of the effectiveness of management requirements. measures and regulations. The main funding source for the Florida Keys National Marine Limited, or lack of, Sanctuary is NOAA (the federal agency that is administering and co- available funding could managing the Sanctuary), with further funding coming from other be a potential barrier to Having continuing, comparatively To what extent does the partners involved in the Sanctuary management. the implementation of secure funding from a federal agency is funding/resources of The Sanctuary Management Plan outlines the implementation of action management actions and a potential enabling factor for the the ABMT support its strategies under three funding scenarios, and the availability of funding activities, and thus to the implementation of the Sanctuary delivery and associated as a prerequisite for many of the management actions and activities is delivery of associated Management Plan and delivery of policies? repeatedly mentioned throughout the Management Plan. policies, in the Sanctuary. associated policies. Under the National Marine Sanctuary Act, NOAA is required to define The reliance on federal the 10-year funding requirements for each sanctuary within the agency funding means National Marine Sanctuary Program within a 'funding framework'. that the availability of No further information on the current funding situation of the Florida funding could change Keys National Marine Sanctuary and in how far this is affecting the with changing federal delivery of associated policies was found. government priorities. Engagement of local stakeholders and community plays a central role in the Florida Keys National Marine Sanctuary. The involvement of the Sanctuary Advisory Council was of particular importance in the marine zoning and regulatory review of the Sanctuary Management Plan. It To what extent does allowed to determine topics of relevance to the local community and Strong engagement of local stakeholder provide local expertise and knowledge input on potential changes to stakeholders and community are a key engagement support zoning and other regulations. The Advisory Council also played a key enabler for the planning and

the effective delivery of role in liaising between the Sanctuary management and the local implementation of management the ABMT and community and in ensuring that Florida Key citizens were aware of and measures in the Sanctuary, and thus for associated policies? engaged in the review process. the delivery of associated policies. Besides the key role of the Advisory Council, community engagement through outreach and education and through volunteering programmes supports the implementation of management measures and activities in the Sanctuary Having strong monitoring programmes Monitoring of environmental conditions and data on socioeconomic associated with the different objectives To what extent did data factors support the evaluation of the effectiveness of different and action plans of the Sanctuary provision support the management measures, as well as the overall management strategy, of Management Plan is an enabling delivery of the ABMT? the Florida Keys National Marine Sanctuary. This allows the Sanctuary condition for adaptive management in management to be adaptive. the Sanctuary.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all "Because of the recreational and commercial importance of the marine resources of the Florida Keys, By 2030, achieve full and productive employment protecting these Sanctuary resources is valuable not only for the environment but also for the and decent work for all women and men, including 8.5 economy. [...]" (p. 5, FKNMS 2007). "The goal of the Sanctuary is to protect the marine resources of the for young people and persons with disabilities, and Florida Keys. It also aims to [...] to facilitate human uses of the Sanctuary that are consistent with the equal pay for work of equal value primary objective of sanctuary resource protection." (p. 3, FKNMS 2007) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable By 2030, significantly reduce the number of deaths "The NMSP Mission: To serve as the trustee for the national system of marine protected areas to 11.5 and the number of people affected and conserve, protect, and enhance their [...] cultural legacy." (p. 1, FKNMS 2007) substantially decrease the direct economic losses " The sanctuary also protects pieces of our nation’s history such as shipwrecks and other relative to global gross domestic product caused by archaeological treasures. [...] However, rules and regulations are in place to make sure that these disasters, including water-related disasters, with a activities only happen in ways – and at places – that [...] are not harmful to the sanctuary’s natural and focus on protecting the poor and people in cultural resources." (FKNMS 2017 website) vulnerable situations Maritime Heritage Resources Action Plan: "FKNMS’ policy is to protect sanctuary resources, including maritime heritage resources." (FKNMS 2007) Maritime Heritage Resources Action Plan: "Goals and Objectives FKNMS has a trustee responsibility for current users and future generations. Because maritime heritage resources are non-renewable, decisions are made with a precautionary approach after careful and deliberate analyses of the potential consequences of long-term preservation. With this in mind, the goals of this Action Plan are to: � Gather sufficient information about cultural resources to allow informed decisions. � Interpret the history and culture of the area for the public. � Allow private-sector participation, research, documentation, recovery, and curation, when appropriate. � Develop community-based stewardship. � Develop MHR Interagency Agreements with other federal agencies such as the NPS. To achieve these goals, the following objectives have been identified: � Continue to inventory the FKNMS maritime heritage resources. � Create a database consistent with resource protection and business confidentiality. � Interpret the resources for the public through on-site and land-based exhibits and materials such as brochures, web pages and videos. � Develop public partnerships for research, interpretation, and management. � Foster and enhance a stewardship ethic." (FKNMS 2007) National Marine Sanctuaries Act: "The purposes and policies of this chapter are - [...] to enhance public awareness, understanding, appreciation, and wise and sustainable use of the marine environment, and the natural, historical, cultural, and archaeological resources of the National Marine Sanctuary System; [...]" (p. 237, Appendix A, FKNMS 2007) "NOAA developed regulations to protect natural and historic resources as part of the Final 1996 Florida Keys National Marine Sanctuary Management Plan (Appendix C). These regulations meet national legislative mandates as well as carefully considering resource protection and multiple uses compatible with resource protection." (p. 93, FKNMS 2007)

"Continue Support for Maritime Heritage Resource Permits." (p. 96, FKNMS 2007) The purpose of these strategies is to reduce pollution from land-based sources of domestic Support least developed countries, including

through financial and technical assistance, in 11c wastewater in the Florida Keys. (p. 184, FKNMS 2007) building sustainable and resilient buildings utilizing Landfill Strategy: local materials Assessing Solid Waste Disposal Problem Sites SDG 12: Ensure sustainable consumption and production patterns Marine Zone Monitoring Strategy: "The purpose of this strategy is to determine the effectiveness of fully protected marine zones as a management action for the conservation and sustainable use of marine resources." (p. 49, FKNMS 2007) Socioeconomic Research Strategy: "[...] management objective identified by the Sanctuary Advisory Council: “Providing a management system which is in harmony with an environment whose long-term ecological, economic, and sociological principles are understood, and which will allow appropriate sustainable uses.”." (p. 51, FKNMS 2007) One goal of the Education and Outreach Action Plan: "Promote protection and sustainable use of Sanctuary resources;" (p. 66, FKNMS 2007) By 2030, halve per capita global food waste at the Marine Zoning Action Plan: "Marine zoning also promotes sustainable uses [...] (p. 143, FKNMS 2907 retail and consumer levels and reduce food losses 12.3 National Marine Sanctuaries Act: "[...] the National Marine Sanctuary System will - (A) improve the along production and supply chains, including post- conservation, understanding, management, and wise and sustainable use of marine resources; [...]" (p. harvest losses 237, Appendix A, FKNMS 2007); "The purposes and policies of this chapter are - [...] to enhance public awareness, understanding, appreciation, and wise and sustainable use of the marine environment, and the natural, historical, cultural, and archaeological resources of the National Marine Sanctuary System; [...]" (p. 237, Appendix A, FKNMS 2007) FKNMS website: "Visitors to the sanctuary are encouraged to take advantage of the many recreational activities this amazing ecosystem has to offer, including world-class diving, swimming, snorkelling, and fishing. However, rules and regulations are in place to make sure that these activities only happen in ways – and at places – that reduce user conflict and are not harmful to the sanctuary’s natural and cultural resources." (FKNMS 2017 website) FKNMS Management Plan includes a strategy on CONDUCTING PESTICIDE RESEARCH: "This strategy will establish an independent research program to identify the impacts of spraying practices on Sanctuary resources and identify alternative means of mosquito control. Because pesticides used in mosquito control are nonspecific to the larval stages of crustaceans, fish and natural mosquito predators, the effects of the chemicals and all application methods need to be examined." (p. 58, FKNMS 2007) "Conduct a Field Survey of Household use of Pesticides and Herbicides and Develop a Plan to By 2030, substantially reduce waste generation 12.5 Minimize Their Impact on the Environment. This activity would involve a survey of pesticides, through prevention, reduction, recycling and reuse herbicides, and fungicides used in the Keys. The activity seeks to develop a plan, with a strong public education component, that will minimize the environmental impacts of household chemicals." (p. 59, FKNMS 2007) "Develop and Implement Best Management Practices and a Public Education Program. This activity seeks to reduce pollution from storm water runoff through a variety of programs, including street sweeping; ordinances to control fertilizer application on landscaping; collection locations and public education regarding the proper use and disposal of fertilizers, pesticides, motor oil, and other hazardous chemicals; and strenuous litter-control programs." (p. 189/190, FKNMS 2007) SDG 13: Take urgent action to combat climate change and its impacts Implement the commitment undertaken by developed-country parties to the United Nations Framework Convention on Climate Change to a goal "STRATEGY W.23 RESEARCHING OTHER POLLUTANTS AND WATER QUALITY ISSUES of mobilizing jointly $100 billion annually by 2020 Strategy Summary 13.a from all sources to address the needs of developing Conduct special studies to document the fate and ecological impacts of non-wastewater pollutants, countries in the context of meaningful mitigation develop innovative monitoring tools, and examine effects of global climate change on organisms and actions and transparency on implementation and ecosystems of the Keys." (p. 60, FKNMS 2007) fully operationalize the Green Climate Fund through its capitalization as soon as possible SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development FKNMS Management Plan includes the following strategies (FKNMS 2007): Assessing Wastewater Pollutants Impacts Researching Other Pollutants and Water Quality Issues Marina and Live-Aboard Strategies: Reducing Pollution Discharges Elimination of Wastewater Discharge From Vessels Reducing Pollution From Marina Operations Landfill Strategy: Assessing Solid Waste Disposal Problem Sites Hazardous Materials Strategies: HAZMAT Response Spill Reporting HAZMAT Handling Domestic Wastewater Strategies: By 2020, sustainably manage and protect marine "The purpose of these strategies is to reduce pollution from land-based sources of domestic and coastal ecosystems to avoid significant wastewater in the Florida Keys." (p. 184, FKNMS 2007) 14.2 adverse impacts including by strengthening their resilience, and take action for their restoration in "Currently, there is a prohibition on discharging or order to achieve healthy and productive oceans depositing materials or other matter in the Sanctuary. [...] In 2002, the EPA and State of Florida established a no-discharge zone2 through the federal Clean Water Act for the state waters of the Sanctuary." (p. 99, FKNMS 2007)

"Each activity in the Water Quality Action Plan is derived from the management strategies described in the 1996 final management plan. The strategies address sources of pollution, priority corrective actions and compliance schedules." (p. 177, FKNMS 2007)

Florida Keys National Marine Sanctuary and Protection Act 1990: "The Federal Government and the State of Florida should jointly develop and implement a comprehensive program to reduce pollution in the waters offshore the Florida Keys to protect and restore the water quality, coral reefs, and other living marine resources of the Florida Keys environment." (p. 258, Appendix B, FKNMS 2007) "The NMSP Mission: To serve as the trustee for the national system of marine protected areas to conserve, protect, and enhance their biodiversity, ecological integrity and cultural legacy." (p. 1, FKNMS 2007)

"The goal of the Sanctuary is to protect the marine resources of the Florida Keys. It also aims to interpret the Florida Keys marine environment for the public and to facilitate human uses of the Sanctuary that are consistent with the primary objective of sanctuary resource protection." (p. 3, FKNMS 2007) Minimize and address the impacts of ocean

14.3 acidification, including through enhanced scientific FKNMS Management Plan includes a Damage Assessment and Restoration Action Plan and a Habitat cooperation at all levels Restoration strategy "The National Marine Sanctuaries Act permits NOAA to recover the cost of restoring resources that are damaged by human activities. Restoration may involve re-stabilization of damaged but viable corals, seagrasses or hard-bottom components, and/or the replacement of substrate, structure and habitat. This strategy describes the on-going efforts of the DARP teams to restore Sanctuary resources damaged by human activity. In this Strategy when reef restoration techniques are discussed, the FKNMS means restoration to the reef framework that is already there, although damaged." (p. 122, FKNMS 2007) "Ensure Consistency Among Fishing Regulations. This activity will improve administrative and regulatory coordination between fisheries regulatory agencies operating within Sanctuary waters through a protocol for drafting and revising fisheries regulations in order to implement a consistent set of fishing regulations throughout the Sanctuary." (p. 100, FKNMS 2007) "(10) Consider Need for Fishing Gear/Fishing Methods Regulations. Certain fishing methods and/or gear types are addressed by CFR section 922.163(a) (11), which prohibits explosives, poisons, oil, and bleach as fishing methods and by the Protocol for Cooperative Fisheries Management. Working with the Sanctuary Advisory Council, FWC, South Atlantic and Gulf of Mexico fishery management By 2020, conserve at least 10 per cent of coastal councils. Sanctuary managers will determine if there is a need to revise these regulations and proceed and marine areas, consistent with national and 14.5 accordingly." (p. 101, FKNMS 2007) international law and based on the best available "(11) Consider Need for Spearfishing Regulations. Currently, spearfishing is addressed by CFR scientific information 922.164, which prohibits spearfishing in Ecological Reserves, Sanctuary Preservation Areas, the Key Largo and Looe Key Existing Management Areas, and the four Special-use (research-only) Areas and by the Protocol for Cooperative Fisheries Management. The need for spearfishing restrictions for high priority areas (e.g., areas of low abundance, a high degree of habitat damage, or a high degree of user conflicts) will be reviewed." (p. 102, FKNMS 2007) "Consider Need for Bait Fishing Regulations." (p. 102, FKNMS 2007) "Consider Regulations to Govern Catch and Release Trolling in Four Sanctuary Preservation Areas." (p. 102, FKNMS 2007) By 2030, increase the economic benefits to Small "The goal of the Sanctuary is to protect the marine resources of the Florida Keys." (p. 3, FKNMS 2007) 14.7 Island developing States and least developed "fully protected zones (Sanctuary Preservation Areas, Ecological Reserves, and Special-use and countries from the sustainable use of marine Research-only areas)" (p. 15, FKNMS 2007). resources, including through sustainable management of fisheries, aquaculture and tourism MARINE ZONING ACTION PLAN: Sanctuary Preservation Areas Ecological Reserves Special-use Areas Wildlife Management Areas Existing Management Areas

"Florida Keys National Marine Sanctuary is one of the largest marine protected areas in the United States, encompassing 2,896 square nautical miles (9,933 square kilometres)." (p. 3, Office of National Marine Sanctuaries 2011) SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The Florida Keys National Marine Sanctuary is administered by the National Oceanic and Atmospheric Administration (NOAA), a federal agency within the Department of Commerce. It is jointly managed by NOAA and the State of Florida, specifically the Florida Department of Environmental Protection, under a co-trustee agreement. The Florida Keys Marine Sanctuary Management Plan provides the management framework for the Capacity-Building: Enhance international support Sanctuary, setting out action plans, strategies and regulations, and coordinating the authorities and for implementing effective and targeted capacity- resources of the different state and federal agencies and partners involved in the management of the building in developing countries to support national Sanctuary. 17.9 plans to implement all the sustainable development Sanctuary regulations are enforced by the Florida Fish and Wildlife Conservation Commission in goals, including through North-South, South-South partnership with Sanctuary managers and the NOAA Office of Law Enforcement. and triangular cooperation The Sanctuary is supported by the Sanctuary Advisory Council, a community-based advisory group which provides advice on sanctuary operations and serves as liaison between the Sanctuary management and the local community. The Advisory Council plays a key role in the management plan review process. Further, the Sanctuary management cooperates with multiple state and federal agencies, universities and non-governmental organisations to ensure the protection of the Florida Keys coral reef system.

Sources and references FKNMS 2017. About Florida Keys National Marine Sanctuary. Website: http://floridakeys.noaa.gov/about/welcome.html?s=about [accessed 07/06/2017] FKNMS 2007. Florida Keys National Marine Sanctuary Revised Management Plan, 2007. U.S. Department of Commerce, NOAA, National Ocean Service and National Marine Sanctuary Program. NOAA 1996a. Florida Keys National Marine Sanctuary. Final Management Plan/Environmental Impact Statement. Volume I: The Management Plan. National Oceanic and Atmospheric Administration. NOAA 1996b. Florida Keys National Marine Sanctuary. Final Management Plan/Environmental Impact Statement. Volume II: Development of the Management Plan: Environmental Impact Statement. National Oceanic and Atmospheric Administration. Office of National Marine Sanctuaries 2011. Florida Keys National Marine Sanctuary Condition Report 2011. U.S. Department of Commerce, National Oceanic and Atmospheric Administration, Office of National Marine Sanctuaries, Silver Spring, MD. 105 pp. FKNMS Advisory Council. Marine Zoning and Regulatory Review. Shaping the future of Florida Keys marine conservation. Office of National Marine Sanctuaries, NOAA. National Marine Sanctuaries 2004. Funding requirements for the National Marine Sanctuary System. Supplemental Documentation for Report to Congress as required by the National Marine Sanctuaries Act Section 304(f). National Marine Sanctuary Program, National Ocean Service and National Oceanic and Atmospheric Administration. Case Study 11. Marine Protected Area: Nha Trang Bay Marine Protected Area

Facts about the case study Case-specific entries Tool MPA Region The Nha Trang Bay MPA is located in South Viet Nam The Hon Mun MPA pilot project was initiated in 2001 and the MPA was adopted as Viet Nam's first MPA in 2002. The project ran until 2005, Implementation status after which the MPA was renamed the Nha Trang Bay MPA. [1, 5] Governance The Hon Mun MPA Management System was established through decree 26/2002/QD-UB and a marine protected area management plan was Mechanisms developed as part of the pilot area project. In addition, a specific MPA authority was created: The Nha Trang Bay MPA Authority. What is the legal basis The Hon Mun MPA Management System was established through decree 26/2002/QD-UB. of the ABMT? The Government of Viet Nam’s commitment to the establishment of the Hon Mun MPA was strong and the Ministry of Finance in 2002 Is there government allocated US$78,000 through 2005 to Khanh Hoa Province in direct support of the Hon Mun MPA Authority and US$137,000 to the Ministry of support for the ABMT? Fisheries for its work on broadening the program at the national level. [1] At present however, there is no state funding to support the MPA. [4] A top-down management system is in place to manage the Hon Mun MPA, with the Khanh Hoa People's Provincial Committee directly responsible for management of the MPA via the Nha Trang Bay MPA Authority [6, 7]

What is the institutional Since 2013, the Hon Mun MPA has been under the jurisdiction of the Nha Trang City People's Committee. The Nha Trang Bay MPA Authority framework of the management body is a non-administrative technical unit which has the authority to develop management regulations, to contribute to ABMT? functional zoning of the MPA and to carry out routine monitoring activities. However, the management body has no mandate to impose any sanction against violation. The Nah Trang City People's Committee established a joint working group to monitor the MPA and address any violations. [4] What type of IUCN was the executing agency who worked in partnership with local stakeholders for the pilot project [1]. The lead entity for the Nha Trang organisation is the Lead Bay MPA as it is now known, is the Nha Trang City People's Committee. [4] Entity? What policies are being Broadly speaking, policies relating to environmental conservation of coral reef and seagrass marine ecosystems and sustainable income implemented by the generation are implemented within the Nha Trang MPA. ABMT? The primary aim of the Hon Mun Marine Protected Area (pilot project) was to conserve a representative example of internationally significant and threatened marine biodiversity. [1] The project also aimed to enable local island communities to improve their livelihoods and, in partnership with other stakeholders, effectively protect and sustainably manage the marine biodiversity at Hon Mun as a model for What are the primary collaborative MPA management in Viet Nam.[1] goals / objectives of the

ABMT? The objective is "to protect marine biodiversity environment and to enable local island communities to improve their livelihoods and in partnership with other stakeholders to effectively protect and manage the marine biodiversity in Nha Trang Bay, as a model for collaborative MPA management in Vietnam” [5] What are the The MPA has been divided into 3 different types of zones: core zones, buffer zones and transition zones which help regulate various activities management measures in an effort to manage the area in a responsible and sustainable way. [4] Trawling, destructive fishing and polluting activities are forbidden in associated with the all three zones. [5] ABMT? Does the ABMT involve The key sectors involved in the management of the MPA include the Khanh Hoa Provincial People's Committee, Provincial departments and cross sectoral agencies such as the department of traffic, border guards, waterway police; and the Nha Trang City People's Committee, departments and cooperation? People's Committee of communes, villages. [4] Which SDGs do the management measures 1.1, 8.9, 14.2, 14.5, 15.9 & 16.7 support? Does the AMBT process follow an ecosystem There is no specific mention of the ecosystem approach in the project documents. approach? Does the ABMT process Yes, the project incorporated data into the planning process, including baselines surveys, a marine biodiversity assessment, and community- incorporate data and based monitoring evidence. [7] evidence? The site for the Hon Mun MPA was selected based on a field assessment of sites proposed by the Government of Viet Name and the priority areas identified in the World Bank Report "A Global Representative System of Marine Protected Areas" (1995). It was noted as an area of What type of data was highest national priority for marine conservation in Viet Nam's Biodiversity Action Plan. [3] used in the ABMT development process? As part of the MPA planning process, a baseline survey was carried out in 2002, which was further supplemented by an inventory which was compiled in 2005. Nha Trang Bay MPA has a wide variety and large number of stakeholders including, fishermen, and adjacent fishermen, aquaculture farmers, tourists, local government and the private sector. Stakeholder involvement and participation was factored into all aspect of project activities at a number of levels, including: - The involvement of local community members in Participatory Rural Appraisals, the identification of livelihood options, credit schemes, zoning and education and awareness activities. Does the ABMT process - The establishment of Village Marine Protected Areas Committees in each of the 6 villages in the MPA, which meet with the MPA authority include stakeholder every 2-3 months to discuss project implementation. engagement? - The establishment of a Provincial Steering Committee, comprising a range of government agencies from Khanh Hoa Province and community representatives. - The National Marine Protected Area Advisory Committee acted as the National Steering Committee. - The organisation of over 20 stakeholder workshops to help build skills in a number of areas related to the implementation of MPAs, including formal and informal training activities, national and international study tours, and on-the-job training. [7] Does the ABMT use spatial and/or scenario analysis to support decisions? What decision-support tools were used to

support the planning process? What is the spatial The Hon Mun MPA is located in the Khan Hoa province, South Vietnam and covers an area approximately 160km2, including 122km2 of marine focus of the ABMT? area. [4] At what scale is the ABMT process implemented? What is the timeframe focused on for the The length of the project was 5 years, however it is envisaged that the MPA will be a long-term designation with some measures to be in place management for up to 10 years, for example alternative income generation activities. [6] measures? Does the ABMT include an evaluation There is a management plan for the Hon Mun MPA which is reviewed every 5 years. [4] framework, and if so, what is the framework? Monitoring and evaluation was conducted at multiple levels: - Community level: Village MPA Committees planned, monitored and evaluated the progress of project implementation which ensure the Does the ABMT include project met the needs of local users. performance - Provincial Level: the Nha Trang Bay MPA Authority reports to Khanh Hoa Province. monitoring, and if so, - National Level: the National MPA Steering Committee received reports from the project at each of its meetings and an additional workshops what is the framework? was held in 2002 to provide activity updates. - IUCN: Monitoring and evaluation controls were in place for technical, administrative and financial management and two independent project evaluations were also commissioned by IUCN. [7] Indicators used to identify project progress include: 1. Effective management of the MPA: the MPA Management Plan is being highly complied with, including elimination of destructive fishing What indicators are practices and anchoring on corals. used in the monitoring 2. Adoption of commercially viable AIG activities that promote the MPA goals and result in increased income among target group community of the ABMT? members. 3. MPA management system is financially self-sustaining. [7]

Case study assessment Assessment questions Responses Barriers Enablers To what extent does the The Hon Mun MPA Management System was established through decree The MPA is designated under legal basis of the ABMT 26/2002/QD-UB. national legislation, meaning support the delivery of the ABMT and that there is government associated policies? support. Uncertainty regarding roles and responsibilities of The establishment of a designated Nha Trang Bay MPA Authority, with a different agencies involved specific mandate for MPA implementation and management, has helped to can hinder effective To what extent does the coordinate and facilitate activities. However the authority has no mandate for implementation and may The establishment of a institutional framework enforcement and cannot impose sanctions upon individuals in violation of result in duplication of specific body with a focused associated with the management restrictions. The GEF Terminal evaluation report highlights the effort or implementation mandate can facilitate ABMT support the difficulties in establishing management agencies at the provincial level and gaps. effective management as it delivery of the ABMT that there is a need to clearly identify the roles and responsibilities for may have designated and associated provincial agencies in the management and operation of the MPA, particularly, A lack of institutional capacity. policies? the role of the Ministry of Fisheries, Provincial Level management Authorities punitive powers impedes (e.g. Nha Trang Bay MPA Authority). [7] enforcement of measures and ultimately reduces the effectiveness of the MPA. An assessment of the baseline data collected between 2002 and 2005 is Fragmented jurisdictions suggested to indicate that there was a reasonable decline in faunal diversity can hinder the and density in the MPA. [8] Within the Nha Trang Bay MPA the abundance and effectiveness of MPA size of all fish were investigated annually in the MPA, beginning 1 year after management as land- establishment in 2002-2005. Initially following MPA establishment, there was based activities within the an increase in fish abundance, however abundance began to decrease in the MPA can undermine To what extent does the following years. [9] In addition, it has been noted that there is no jurisdiction marine management ABMT support the over the island within the Nha Trang MPA. As such, land-based development measures. delivery of marine and activities can still occur and impact on the MPA via activities such as hotel coastal policies? development that does not consider the zoning process (for example, one 500 Insufficient monitoring and room hotel has been built in the buffer zone of the MPA) and agriculture and compliance impedes the village development which can result in waste discharges into the MPA. [7] effectiveness of management as illegal Within the MPA, illegal fishing still occurs and this is thought to be the result of activities with adverse insufficient awareness of the project and a lack of effective monitoring and impacts can go undetected enforcement. [5] or unpunished. As the MPA is implemented on a local scale, there is no requirement for international or national transboundary cooperation. However, cooperation To what extent does the between provinces may be sought to ensure that management measures in the ABMT promote Nha Trang Bay MPA are not undermined by potential harmful activities transboundary occurring in adjacent provinces. One of the lessons learned from the project is cooperation? the need to develop integrated catchment management approaches to managing all water discharges. This can be done by coordinating and cooperating with other national and provincial agencies to ensure that impacts on the MPA are mitigated. [7] Multi-sectoral or intersectoral coordination is noted as a vital component for To what extent does the effective MPA implementation and management. It has been highlighted that ABMT process there is a need to coordinated all activities within and adjacent to the MPA to emphasise multi-sector ensure that areas of importance are not impacted by specific activities or engagement? adjacent activities. [7] To what extent does the The MPA management plan is to be reviewed every 5 years, however there is no ABMT utilise an apparent evidence to identify whether adaptations have been made to the plan iterative/adaptive or the measures themselves. process? Alternative Income Generation Activities were implemented through the Reliance on visitor fees establishment of revolving funds to ensure sustainable management following could hinder the the project's implementation period. Activities financed include, but are not effectiveness of the MPA limited to, aquaculture, small animal husbandry and alternative fishing capacity in the event of a decrease for fisheries outside the protected area. This program was envisioned to in visitor numbers or the The establishment of To what extent does the continue for at least 10 years. [6] To further ensure sustainable financing of the inability to collect fees i.e. alternative income generation funding/resources of MPA, financial reports from the MPA authority are produced and boats and if authority boats are activities helps to ensure the ABMT support its staff have been assigned to collect a "service charge" from divers and inoperable. community buy-in as delivery and associated swimmers. There are plans to implement a Nha Trang Bay Sightseeing Fee. [7] stakeholders can maintain policies? Lack of state funding could livelihoods and support MPA Despite initial financial contributions from the government to the establishment impede management implementation. of the MPA, no further state funding has been provided since 2005. Income to measures as capacity is support the MPA is generated via tourism, specifically through site entrance required for fees and diving fees in Hon Mun Island. Around 3 billion VND is obtained implementation and for annually (~USD 132,000) [4]. enforcement. Stakeholder engagement was an important aspect of each stage of the project. Dedicated participatory The creation of dedicated committees and the use of participatory mechanisms mechanisms facilitated such as the rural appraisals, ensured that community voices and feedback stakeholder involvement and were considered and incorporated into the management plan. Workshops were ensured local needs were To what extent does also held to provide training to local communities and stakeholders and incorporated into stakeholder improve awareness of marine management and issues. management decisions. engagement support the effective delivery of Balancing different uses within the MPA is noted as an issue of key importance The establishment of the ABMT and in ensuring effective management. During the project, in the Nha Trang Bay protected area committees associated policies? MPA, there was some conflict over the location of the core zone. This conflict helped to ensure that local was resolved through discussions with the affected parties, in this case local communities were kept well fishermen, and an agreement was reached to more three boundary markers informed about management approximately 30 metres. [7] This example demonstrates the importance of and implementation and could stakeholder engagement in the project and that stakeholder input must be provide feedback through this collected and valued in order to resolve conflicts and foster community support mechanism. for the ABMT. Training workshops improved stakeholder awareness and increased stakeholder capacity to facilitate their involvement in management, which may ultimately increase community support. To what extent did data Baseline surveys, marine environment assessments and community-based provision support the monitoring programmes were used to inform the planning and implementation delivery of the ABMT? process of the MPA.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, eradicate extreme poverty for all people everywhere, Alternative income generation programmes have been operated through various 1.1 currently measured as people living on less than $1.25 a day activities, e.g. the promotion of sustainable aquaculture activities. (p.22, [5]) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Alternative income generation programmes have been operated through various By 2030, devise and implement policies to promote sustainable 8.9 activities, e.g. the promotion of sustainable tourism activities such a s glass bottom tourism that creates jobs and promotes local culture and products boat trips. [6] SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2020, sustainably manage and protect marine and coastal "To enable local island communities to improve their livelihoods and in partnership ecosystems to avoid significant adverse impacts including by 14.2 with other stakeholders to effectively protect and manage the marine biodiversity at strengthening their resilience, and take action for their restoration in Hon Mun as a model for collaborative MPA management in Vietnam." (p. 1, [7]) order to achieve healthy and productive oceans By 2020, conserve at least 10 per cent of coastal and marine areas, "To conserve a representative example of internationally significant and threatened 14.5 consistent with national and international law and based on the best marine biodiversity." (p.1, [7]) available scientific information SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values into national "To enable local island communities to improve their livelihoods and in partnership 15.9 and local planning, development processes, poverty reduction with other stakeholders to effectively protect and manage the marine biodiversity at strategies and accounts Hon Mun as a model for collaborative MPA management in Vietnam." (p. 1, [7]) SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Ensure responsive, inclusive, participatory and representative "Stakeholder involvement and participation was factored into all aspects of project 16.7 decision-making at all levels activities." (p.14, [7])

Sources and references 1 UNEP-WCMC. 2017. Global MSP inventory 2 Viet Nam Protected Areas development. 2001. First national Round table. 14 September 2001. [online]. Available at: http://www.mekong-protected- areas.org/vietnam/honmun.htm 3 IUCN. Unkown date. Hon Mun Marine Protected Area Pilot Project Available at: http://documents.worldbank.org/curated/en/615711468782389546/pdf/multi- page.pdf 4 Bui Thi Thu Hien et al. (2014). Vietnam Marine Protected Area Management Effectiveness Evaluation. Gland, Switzerland: IUCN, 86pp. 5 Nguyen, D.H. 2009. Economic Value of Coral Reef and Management Effectiveness in Trao Reef Locally Managed Marine Reserve: Master Thesis in Fisheries and Aquaculture Management and Economics. 6 GEF. 2007. GEF EO Terminal Evaluation Review Form 7 GEF. 2007. Hon Mun Marine Protected Area Pilot Project Implementation Completion Memorandum. 8 Dung, L.D. 2007. The Marine Protected Area of Nha Trang Bay, Vietnam: Initial Trends in Resource Status and Utilisation (2002-2005). Masters thesis in International Fisheries Management, Department of Aquatic Bioscience, Norwegian College of Fishery Science, University of Tromsø, Norway. 9 Ngoc, Q.T.K., Armstrong, C.W. & Anh, N.T.K. 2012. Indicators for Assessing Marine Protected Areas - the Case of the Nha Trang Bay Marine Protected Area in Vietnam. Asian Fisheries Science. 25. p.52-65 Case Study 12. Marine Protected Area System: Coral Triangle Marine Protected Area System

Facts about the case study Case-specific entries Tool MPA System Region South China Sea The Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security (CTI-CFF) process was initiated in 2007, and the 2010-2020 Regional Plan of Action (RPOA) adopted in 2009. [3] Goal 3 of this plan relates specifically to the development of an MPA system, and work to create a Implementation status the Coral Triangle Marine Protected Area System (CTMPAS) framework and action plan was undertaken from 2010-2013, with its adoption by Coral Triangle countries in 2013.[4] Various national laws and decrees that fundamentally support the designation of MPAs within the jurisdictional waters of member countries were in place prior to the initiation of the CTI-CFF. [1]

At its initiation the CTI-CFF formed a purely voluntary partnership between the 6 Coral Triangle countries (Indonesia, the Philippines, Malaysia, Timor Leste, Papua New Guinea and the Solomon Islands), which was consolidated through the adoption of a non-binding 10 year Regional Plan of Action in 2009, which provides the framework through which to designate a network of MPAs. [2] In 2011, the Secretariat Agreement, a legally binding agreement, established the CTI-CFF as a regional body with a coordinating Regional Secretariat and formalised coordination Governance procedures. [2] Mechanisms

Under the CTI-CFF, the CTI MPA working group developed the CTMPAS Framework and Action Plan which describes a collaborative structure, agreed approaches and a series of next steps for member countries through to 2020. The CTMPAS serves as the umbrella under which most CTI-CFF MPA activities come together. [4] Was in place for the ABMT process: Binding, legally enforceable instrument (law, ruling, policy or decision) Put in place to support ABMT: Binding, legally enforceable instrument (law, ruling, policy or decision) Non-binding instrument (action plans, declarations or guidance); Voluntary agreement/a (Memorandum of Understanding, custom) There are specific national laws or decrees in place that support the designation of MPAs under the Coral Triangle Initiative, examples of which include, inter alia, Law 32/2009 Environmental Protection and Management (Indonesia); Establishment of Marine Parks Malaysia Order, 2008 (Malaysia); and the National Integrated Protected Areas System Act 1992 (Philippines). [1]

The CTI-CFF is responsible for coordinating the efforts of the countries in the support and designation of an MPA system and was initially a What is the legal basis purely voluntary partnership. In 2011, the CTI-CFF was legally formalised as a regional body through the Secretariat Agreement. [3] However, of the ABMT? the CTI-CFF Secretariat agreement among the six countries was not ratified legally by each of the countries until 2016.

The legal status of the overarching RPOA is classified as "soft law" and therefore there is no legal obligation for any of the 6 member countries to support the initiative. As such, support for the ABMT is dependent upon national will. Goal 3 of the RPOA provides the basis for the work of the MPA Technical Working Group, however the CTMPAS is also non-binding. [2] The CTI-CFF was initiated by the Indonesian Government and demonstrates a collaborative effort among the governments of the 6 Coral Triangle Member Countries to develop and implement a plan for the protection and sustainable use of marine resources within the region. Is there government Each of the 6 countries has a National Coordinating Committee, comprised of representatives from different government agencies and support for the ABMT? development partners, and has defined responsibilities to facilitate the national operationalise of CTI-CFF goals. [2] There is a law/decree in place to promote ABMT: Organisations/working groups are tasked with ABMT with governmental mandate; Clearly defined responsibilities have been given to authorities for ABMT planning and implementation The CTI-CFF demonstrates an equitable partnership approach between the governments of the 6 Coral Triangle member countries, three of the main NGOs in the region (The Nature Conservancy (TNC), World Wildlife Fund (WWF) and Conservation International (CI)), and several international and regional donor agencies (USAID, Asian Development Bank (ADB), and the Australian Government). There are 3 levels of engagement between the 6 member countries and partners: - The Council of Ministers is the highest level decision-making body and is comprised of Ministers and Heads of State from each of the Coral Triangle countries. - The Council of Senior Officials meets annually at a dedicated meeting to review and agree upon recommendations made by the Technical Working Groups. - Technical and Governance Working Groups, comprised of representatives from key national agencies in each country and technical advisors What is the institutional from the non-government sector, meet to discuss thematically specific issues of relevance. The five technical working groups themes are: framework of the Seascapes, Fisheries, MPAs, Climate Change and Threatened species. [2] ABMT?

Under formal coordination procedures, the Regional Secretariat for the CTI-CFF facilitates dialogue and communication among the countries at each level, and is a champion of the ABMT process itself. [2]

The CTI MPA Technical Working Group (MPA-TWG), established in 2011, serves as the steering and oversight committee for the design, development and operation of the CTMPAS and guides regional MPA efforts under the CTI-CFF. The MPA-TWG also serves as the main coordinating body on MPAs between the Regional Secretariat, project partners and country representatives. [4] One country chairs each of the Technical Working Groups and the Chairmanship is rotated every 2 or 3 years. In the case of the MPA-TWG, the Philippines has been the Chair and has remained as the Chair which has helped stabilize and guide the work of the MPA-TWG. The lead entity for the overall process is the Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security (CTI-CFF), which is the convening body, and was legally formalised as a regional body in 2011. [2] What type of organisation is the Lead The CTI MPA Technical Working Group (MPA-TWG) is responsible for coordinating regional efforts towards the development of a regional MPA Entity? system. At the national level, each country's National Coordinating Committee (NCC) is responsible for implementing measures recommended by the MPA-TWG in accordance with the overarching CTI-CFF goals. [3] Regional Organisation What policies are being The CTI-CFF supports the implementation of a number of policies relating to environmental protection, sustainable resource use, food security, implemented by the fisheries, human well-being and climate change resilience/adaptation, which are implemented at the regional, national and sub-national levels ABMT? in accordance with the overarching Goals. [3] MPAs are noted as the key focus for Goal 3 and are recommended as a means of implementing such policies on a regional scale. [3]

The CTMPAS framework and action plan based upon Goal 3 of the RPOA has 3 key themes which contribute to the success of the CTMPAS and to a more effective MPA: - Ecology serves as the source of benefits - Governance represents the management institutions that have jurisdiction over shared resources and facilitate cooperative actions - Society/Socioeconomics represents the people who use the resources and are impacted by good or poor resource management. [4]

The MPA system designed under the CTMPAS Framework and Action Plan supports the implementation of the overarching CTI-CFF policies and also more specific policies relating to strategic partnerships and cross-sector collaboration within countries, effective governance and the utilisation of existing capacity.[4] The overarching goal of the CTI-CFF is to sustainably manage fisheries, adapt to climate change, improve threatened species status and establish and effectively manage priority seascapes and marine protected areas (MPAs). [3]

Specific goals of the Regional Plan of Action (RPOA) include: 1. "Priority seascapes" designated and effectively managed 2. Ecosystem approach to management of fisheries (EAFM) and other marine resources fully applied 3. Marine Protected Areas (MPAs) established and effectively managed 4. Climate change adoption measures achieved What are the primary 5. Threatened species status improving [3] goals / objectives of the

ABMT? The objective of the CTMPAS is to develop a “comprehensive, ecologically representative and well-managed region-wide system” in place and fully functioning by 2020. [4]

The vision of the CTMPAS is a system of “prioritized individual MPAs and networks of MPAs that are connected, resilient, and sustainably financed,” and designed in ways that (i) generate significant income, livelihoods, and food security benefits for coastal communities; and (ii) conserve the region’s rich biological diversity. [4] Maintain or develop local, small-scale or traditional use/s; Conserve or restore the health of marine ecosystem/s; Maximise the overall economic value of the marine ecosystem in a sustainable way The Regional Plan of Action (RPOA) for the CTI sets out 5 primary goals, under which there are one or more time-bound targets for each. In order to guide efforts towards achievement of targets, the RPOA sets out regional actions to be implemented at a regional level. [3] Regional What are the measures/actions will be supported by national level actions within each of the coral triangle countries. These are specified in the action plans management measures for each. associated with the

ABMT? CTMPAS is the mechanism for delivering goal 3 of the RPOA (regarding MPAs). Management measures in the CTMPAS are based on a number of regional actions that have been prioritised by Coral Triangle Countries, including: - Regional Action 1: Jointly establish overall goals, objectives, principles, and operational design elements for a CTMPAS cantered around priority MPA networks by 2010. - Regional Action 3: Build capacity for effective management of the CTMPAS.

The inclusion of no-take zones is also advocated as a management measure under the CTMPAS framework and action plan. [4] In addition, the CTMPAS guides the countries in developing sub-regional ecological MPA networks as well as social and government networks within each country that focus on management effectiveness. Basic standards for MPA management effectiveness are also part of the CTMPAS agreement among the countries. Yes the initiative involved cross-sectoral cooperation, and partners, in addition to the governing bodies and national governments, could/do include local governments, local communities, NGOs, funding institutions, private sector companies etc. (Section IV, [3]) The success of the CTI-CFF Regional Plan of Action (RPOA) is dependent on effective coordination across multiple levels and requires a large, diverse group of Does the ABMT involve implementation partners from within and outside the region. cross sectoral cooperation? The CTMPAS MPA Principle 2 requires the process to be inclusive and include a wide spectrum of partners and stakeholders from different backgrounds to encourage commitment. [4] Of note, one of the strategies set out in the CTMPAS aims to build upon and enhance institutional linkages and cross-sector coordination within Coral Triangle countries. [4] Which SDGs do the management measures 1.1, 1.2, 1.4, 2.1, 11.4, 12.2, 12.a, 13.1, 13.2, 13.3, 13.a, 13.b, 14.1, 14.2, 14.4, 14.5, 14.7, 14.b, 14.c, 17.9, 17.16 and 17.17. support? In the CTI-CFF Regional Plan of Action, Goal 2 pertains specifically to an ecosystem approach to fisheries and other marine resources. [3]

Does the AMBT process The CTMPAS framework and action plan does not explicitly note an ecosystem approach. However, the technical approach focuses on follow an ecosystem management of a critical subset of marine and reef ecosystems within the Coral Triangle. [4] The strategies set out for the CTMPAS note the approach? importance of protecting ecosystem functions and working towards "holistic ecosystem-based management within the region". (p.32, [4]) The CTMPAS also contains guidance for planning ecological networks of MPAs within countries and at a CTI regional scale. A guiding principle of the CTI-CFF is the use of solid science and data on fisheries, natural resources and poverty reduction benefits as a basis.[3] Does the ABMT process incorporate data and Minimum data requirements for nominated MPAs are set out in the CTMPAS and used to help classify MPAs in to designated categories. [4] evidence? Data is then stored in the online Coral Triangle Atlas database of Marine Protected areas. Sites may be downgraded from their category if they fail to update data in the CT Atlas. [4] What type of data was Data collected for the CT Atlas includes data on fisheries, biodiversity, natural resources and socioeconomics. [5] used in the ABMT Biological/ecological information; Current human activity distribution; Cumulative human impacts/pressures; Future developments/activities; development process? Ecosystem goods and services benefits; Social information; Economic/valuation information; Governance information Stakeholder engagement is highlighted as a key aspect of the CTI-CFF, with one guiding principle stating that the process "should be inclusive and engage multiple stakeholders" (p.9,[3]). The National Coordination Committee (NCC) within each country coordinates and promotes country-level implementation of both national and regional action plans through a multi-stakeholder process. [3] Does the ABMT process include stakeholder The CTMPAS Framework and Action Plan was built upon consensus among the 6 member countries following five regional workshops and a engagement? number of side discussions. These workshops and discussions were held through the CTI-CFF Regional Exchange Program. [4] This regional exchange program consisted of 5 regional workshops in which all six countries participated together with key resource persons and institutions to formulate the CTMPAS Framework and Action Plan. The CTI-CFF has created an online GIS database to provide governments, NGOs and researchers with spatial data at the regional scale - the Coral Triangle Atlas (CT Atlas). The aim is to help improve the efficiency of management and conservation planning and to help inform Does the ABMT use decision-making in the region by providing access to spatial data and encouraging the sharing of data to fill information gaps. [5] spatial and/or scenario analysis to support As part of CTI-CFF Goal 3, Regional Action 2 is to complete and endorse a comprehensive map of MPA networks to be included in the CTMPAS decisions? and highlights spatial mapping of areas with climate change resilience characteristics, fisheries-based food security data and poverty data overlaid with data on climate change vulnerability off marine ecosystems. [3] A number of regional actions within the RPOA require the undertaking of various foundational activities in order to support decision-making in the region, e.g. assessment of the economic costs of inaction, case studies based on local experience and evidence. [3] What decision-support tools were used to The development of the CTMPAS relied upon regional exchanges of knowledge and information on MPA network design and management support the planning effectiveness. These regional exchanges resulted in the creation of country action plans for the development and adoption of MPA process? effectiveness systems for each of the 6 countries. [4]

Optimisation or network tools; Economic valuation tools; Impact & risk assessments; Information management tools; Communication tools The CTI-CFF is implemented within waters under national jurisdiction of each of the Coral Triangle countries, encompassing an area What is the spatial approximately 6,000,000km2 in size. Within this management area ~73,000km2 of coral reef are located. *It is important to note that the focus of the ABMT? scientific boundary of the Coral Triangle region differs from the boundary of the management area, which encompasses a greater area due to the size of country Exclusive Economic Zones (EEZs). The CTI-CFF is transboundary in nature, involving 6 indo-pacific countries, each of which are required to cooperate at regional and national levels to implement a regional plan of action. At what scale is the

ABMT process The CTMPAS framework and action plan acts as an umbrella framework under which national MPA efforts are aligned in order to work towards implemented? regional goals and targets set out in the RPOA. Regional (e.g. international transboundary); and National (e.g. country-wide, island) What is the timeframe The CTI-CFF does not have a specified timeframe. It is a long-term process based on the long-term commitments of coral triangle countries. focused on for the However, the RPOA for the CTI is a 10 year plan, under which the implementation of transformation actions for the long term are encouraged. management measures? The CTMPAS Framework and Action Plan is considered to be an indefinite, long-running programme through 2020 and beyond. [4] In addition to the MPA-TWG, the CTI-CFF has established a Monitoring and Evaluation Working Group (MEWG) which has developed a monitoring and evaluation plan and a set of measurable indicators for each target in the RPOA. [3]

The CTMPAS Framework suggests the review of nominated sites and the inclusion into one of four categories of MPAs and MPA Networks Does the ABMT include based on the application of assessment criteria: an evaluation Category 1: Recognised CTMPAS Sites framework, and if so, Category 2: Effectively Managed Regional Sites what is the framework? Category 3: Priority Development Sites Category 4: Flagship Sites

Sites are subject to review and selection at both national and regional levels in accordance with the definitions of each category. The review process relies upon a rating system for site nominations, which is set out in Annex 3 of the CTMPAS. [4] Does the ABMT include performance The CTI member countries have defined a core minimum set of indicators to track progress towards Goal 3 of the RPOA. [4] monitoring, and if so, what is the framework? There are 5 minimum indicators to track progress towards Goal 3 of the RPOA. 1. CTMPAS Framework developed and adopted by CT6 2. Percent/Area of total marine habitat area in CT region in marine protected or managed areas 3. Percent/Area of each major marine and coastal habitat type in strictly protected “no-take replenishment zones” What indicators are 4. Percent/Area of marine protected areas under “effective” management used in the monitoring 5. Percent/Area of marine protected/managed areas included in CTMPAS of the ABMT? *The MPA-TWG has adopted the CBD target of 10% for Indicator 3 and 20% for Indicator 2 by 2020. [4] **More detail on these indicators can be found in Annex 6 of the CTMPAS Framework and Action Plan. [4] Environmental indicators (e.g. water quality, habitat/species distribution); Economic indicators (e.g. fish catch, income trends); Social indicators (e.g. employment levels, conflict resolution);

Case study assessment Assessment questions Responses Barriers Enablers To what extent does the The CTI-CFF Regional Plan of Action (2009) is considered to be soft law and is The CTI-CFF and CTMPAS The CTF-CFF does not place legal basis of the ABMT therefore not legally binding upon the 6 Coral Triangle countries. The same is are not legally binding and any legal requirements on support the delivery of true for the Coral Triangle Marine Protected Area System Framework and rely purely upon countries to meet their the ABMT and Action Plan (CTMPAS). These plans rely upon voluntary commitments of commitments of goodwill commitments. This means associated policies? goodwill to contribute towards an agreed regional approach to sustainable from the 6 countries that commitments could be marine resource use. involved. As such, there are altered to accommodate National Action plans developed under the CTI-CFF also tend to be largely few consequences should countries should they require policy instruments which lack a properly legally binding effect on the State. As a country fail to deliver one it, thus helping to ensure their such, there is no enforcement and no punitive measures, so the success of of its commitments. continued support. actions and achievement of targets can be difficult to ensure. It is worth noting the National Action Plans (NPoA) in several of the countries are synomous with Differences in institutional The synonymous nature of national agency plans and budget allocations so indeed the NPoA are thus in and governance NPoAs with national agencies several countries being implemented under the national legal mandate the frameworks, designation and budget allocations can agencies have for implementation. But, it is true that there is no CTI Regional and management enable the implementation of legal mandate for these actions except that the six countries share their processes between the 6 actions through national progress, work and lessons learned and indeed this serves as a kind of peer countries makes the agencies. pressure amongst the countries to improve on their budget allocations and effective management of implementation processes. resources on a regional The voluntary sharing of data scale difficult. and lessons learned can act There are over 1900 existing MPAs in the coral triangle and the efforts of the as a sort of peer pressure to CTI-CFF and the CTMPAS are supported by national, legislation that allows ensure countries update coral triangle countries to legally designate MPAs. However, due to differences implementation processes in in technical language, expertise and governance mechanisms, the number and accordance with progress in variety of MPAs in the 6 Coral Triangle countries, combined with increasing other member countries. socio-economic and development pressures, make the management of coastal activities challenging. (p.12, [4]) The CTI-CFF has been established as a regional body, meaning that it has the Reliance on member The CTI-CFF legal mandate legal mandate to help coordinate actions and facilitate communication country willingness or enables cooperation and the between the six Coral Triangle countries. One country chairs each of the goodwill could hinder the development of a range of To what extent does the Technical Working Groups and the Chairmanship is rotated every 2 or 3 years. effectiveness of an MPA focused management actions institutional framework In the case of the MPA-TWG, the Philippines has been the Chair and has system as there may be using evidence from the associated with the remained as the Chair which has helped stabilize and guide the work of the differences between the 6 technical working groups. ABMT support the MPA-TWG. countries. delivery of the ABMT Inclusive composition of and associated The MPA-TWG focuses specifically on MPA efforts and helps to coordinate Inter-agency tensions may working group facilitates policies? regional MPA efforts in line with Goal 3 of the CTI-CFF Regional Plan of Action. jeopardise institutional cooperation at a number of The MPA-TWG is comprised of a range of representatives from key national support and consequently levels and between countries. agencies in each country and technical advisors from the non-government hinder the process due to a sector. [2] The MPA-TWG therefore facilitates and promotes cooperation reduction in resources, The MPA-TWG is body between different institutions, levels of government and countries, which may capacity and appropriate specifically mandated to improve relationships and help to work towards an effective and coordinated expertise. develop a framework for approach that has been regionally agreed. guiding MPA efforts and to The MPA-TWG does not have a legal mandate, and as such, an MPA system focus on coordinating, and the entire CTMPAS rely on the members’ willingness for institutional reviewing and implementing collaboration and their recognition that such coordination leads to more regional MPA efforts. effective management. (p.39 [4]) This means that if tension arise between institutions or governments, the effectiveness of the MPA system could be A reduction in the frequency compromised. of TWG chairmanship rotation has helped stabilise and guide In addition, tensions between intergovernmental agencies were also notable MPA work. during the CTI-CFF process, as some agencies felt that they were better suited to MPA management than others. Leaving these tensions unresolved may result in the loss of support and consequently resources and expertise from such institutions. [2] The CTMPAS Framework and Action Plan sets out guidance for the The CTMPAS framework is development of an MPA system that is based upon 3 key components: ecology, based upon the goals and governance and socioeconomics. The inclusion of elements from each of these objectives set out in the CTI- components into the design and management of a MPA works towards the CFF RPOA. As such, the implementation of policies set out in the CTI-CFF. design of the MPA system will ultimately be based upon The Ultimate targets of the CTMPAS include: A significant percentage of total these overarching policies. area of each major near-shore habitat type within the Coral Triangle region (e.g., coral reefs, seagrass beds, mangroves, beach forests, wetland areas and Inclusion of different elements To what extent does the marine/offshore habitat) will be in some form of designated protected status, enables the delivery of a ABMT support the with 20% of each major marine and coastal habitat in strictly protected “no-take holistic and well-designed delivery of marine and replenishment zones” (to ensure long-term sustainable supplies of fisheries). management approach. coastal policies? [4] In addition, the CTMPAS guides the countries in developing sub-regional ecological MPA networks as well as social and government networks within National MPA legislation also each country that focus on management effectiveness. Basic standards for enables the implementation of MPA management effectiveness are also part of the CTMPAS agreement measures under the CTI-CFF. among the countries. The CTMPAS sets out basic Additionally, there has been a movement in member countries to develop standards for MPA and/or refine an agreed and nationally accepted criteria for MPA management management effectiveness effectiveness internally which is legally supported. The CTMPAS provides the which sets a baseline for guidance for this (as noted above), however each country much act nationally effective management among and endorse their own vision, in local language using commonly understood the 6 member countries. technical terms in order to ensure the CTMPAS have an impact. Initially, both the Philippines and Indonesia have developed nationally accepted and mandated guidelines that are consistent with those of the CTMPAS, with Malaysia, Timor-Leste and the Solomon Islands developing their national guidelines as of 2015/2016 [pers. com]. Tension between country The CTI-CFF is a regional approach that relies upon the coordination between 6 governments can prolong Indo-Pacific countries and regionally-operating NGOs and other involved or hinder negotiations and organisations. The Regional Plan of Action was developed to reflect aspirations The voluntary nature of the the development of of the Coral Triangle countries for regional marine conservation and CTI-CFF demonstrates country effective management To what extent does the sustainable resource use. The RPOA sets out a range of regional actions, under willingness and determination actions [2]. ABMT promote which countries individually contribute towards through national actions. to collaborate to develop a transboundary regional management There is no legal cooperation? In the past, there have been tensions between member countries regarding approach without the need for requirement for countries priorities or capacity issues etc. which has increased the complexity of some a legal framework. to collaborate in the aspects of the project. As the initiative is a voluntary partnership, tensions need development and to be resolved to ensure that countries continue to participate as they are not implementation of legally bound to continue partaking in the initiative. management actions. The CTI-CFF currently only deals with the fisheries and environment sectors. Private sector entities have been involved with the CTI-CFF, but were not involved in the development process. An exception is the private sector engagement with the MPA-Regional Exchange dealing with sustainable tourism The private sector has not Explicit mention of building To what extent does the and sources of financial support for MPA implementation when some marine been widely included in the linkages between institutions ABMT process tourism industry representatives were active. process to date, thus demonstrates commitments emphasise multi-sector reducing the inclusivity of to improving institutional engagement? Strategy 1 of the CTMPAS explicitly notes that the CTMPAS will build upon and the process. coordination. enhance institutional linkages and cross-sectoral coordination. Parties are therefore encouraged to improve cross-sectoral coordination which will ultimately help towards the designation and development of an effective MPA system that considers the needs of multiple sectors. (p.31, [4]) To what extent does the The CTI-CFF RPOA is a living, non-binding document to conserve and ABMT utilise an Living document allows for sustainably manage coastal and marine resources within the coral triangle iterative/adaptive timely amendments in light of region and actions taken under this plan are based on voluntary cooperation. process? The living nature of the regional plan of action means that it can be amended in new information, ultimately light of new discoveries, data or information. This allows countries to alter influencing its effectiveness. commitments fairly quick in order to address issues before adverse impacts have been felt. The plan therefore allows countries to be more proactive rather than reactionary. The CTI-CFF was supported by the Coral Triangle Support Partnership (CTSP) from 2009-2014 which was a USAID supported consortium led by the World Wildlife Fund (WWF), The Nature Conservancy (TNC) and Conservation

International (CI) and funded by USAID. While the 3 NGOs have continued to Lack of a sustainable support the CTI after the USAID funding ended in 2014, the consortium now financing mechanism Countries are committed to includes all supporting partners but on a voluntary basis. hinders adequate funding financially contributing to the To what extent does the across the entire region operation of the Regional funding/resources of The CTI-CFF now has a coordinating Regional Secretariat, formalised over appropriate time Secretariat, thus helping to the ABMT support its coordination procedures, and requires all six countries to support the financial periods. ensure coordination and delivery and associated costs of the Regional Secretariat. communication between the policies? Reliance on donor funding countries continues. The RPOA approach to financial resources focuses on (i) mobilisation of limits where money can be funding; and (ii) creation of financial architecture to structure and coordinate spent and is cyclical. funding flows to support priority activities and programs. This is recognised as

important in reducing the dependence on funding cycles of individual donors, which often dictates specifically where, when and what funding can be spent on. [2] Stakeholder engagement a Stakeholder engagement is noted as a key principle of the CTI-CFF Regional guiding principle, suggesting Plan of Action and is a fundamental part of planning at multiple levels. [4] that it has been considered in

To what extent does the development of all National Coordinating Committees (NCCs) have been established in each stakeholder actions. engagement support member country and are generally comprised of stakeholders from the public, the effective delivery of NGO and private sectors, and are typically facilitated by a CTI coordinator NCCs have specific the ABMT and based in a lead government ministry. NCCs are required to undertake multi- engagement and coordination associated policies? stakeholder engagement in order to work towards effective MPAs and to responsibilities to promote promote country-level implementation of national and regional plans of action. country-level implementation [4] of management measures. Data collection occurs at a The provision of data is of great importance to the continued designation and national level, making it review of MPAs for the CTMPAS. Without data, nominated sites cannot be harder to measure the appropriately reviewed, categorised and designated. Data is also required to effectiveness of regional monitor and track progress towards the achievement of Goal 3 of the CTI-CFF actions. RPOA.

A central Coral Triangle atlas No obligation to share The CT Atlas (http://ctatlas.reefbase.org/) has been created as a centralised exists where spatial data can To what extent did data data, resulting in data database for spatial MPA data and is a fundamental aspect in the development be shared, allowing provision support the gaps, which hinder the of an MPA system in the Coral Triangle Region. However, there is no obligation communication of MPA delivery of the ABMT? development of an for coral triangle countries to share their data and they do so on a voluntary designation and regional level effective MPA system. basis. This means that there are often data gaps which can hinder the review of reviews.

MPA effectiveness and ultimately impact the way in which they are managed. A Member countries often key issue is that whilst member countries are willing to share the basic data as lack the resources and required, they often lack the resources and expertise to compile and share this expertise to compile and information in a coordinated manner. In this regard, outside assistance is share information in a required to help facilitate this process. coordinated manner.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, eradicate extreme poverty for all people The CTI-CFF should support people-focused biodiversity conservation, sustainable development, everywhere, currently measured as people living on less poverty reduction and equitable benefit sharing. [3] 1.1 than $1.25 a day One of the criteria for MPA site selection under the CTMPAS is that a site offers increased livelihood opportunities. [4] By 2030, reduce at least by half the proportion of men, Goal 2, Target 2: "improved income, livelihoods and food security of coastal communities 1.2 women and children of all ages living in poverty in all its through a new Sustainable Coastal Fisheries and Poverty Reduction Initiative (COASTFISH)" [3] dimensions according to national definitions By 2030, ensure that all men and women, in particular the One of the principles of the RPOA is that the CTI-CFF should use existing and future forums to poor and the vulnerable, have equal rights to economic 1.4 promote implementation. In relation to this, in 2014, the CTI-CFF Women Leaders Forum was resources, as well as access to basic services, ownership launched. [6] and control over land and other forms of property, inheritance, natural resources, appropriate new technology and financial services, including microfinance SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture By 2030, end hunger and ensure access by all people, in particular the poor and people in vulnerable situations, Goal 2, Target 2: "improved income, livelihoods and food security of coastal communities 2.1 including infants, to safe, nutritious and sufficient food all through a new Sustainable Coastal Fisheries and Poverty Reduction Initiative (COASTFISH)" [3] year round SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable Goal 3, Regional Action 1: "Jointly establish overall goals, objectives, principles, and operational design elements for a CTMPAS centred around priority MPA networks" [3]

Strengthen efforts to protect and safeguard the world’s 11.4 "Sites should target an identified regional priority area, habitat or species" (p.65, [4]) cultural and natural heritage

MPA Principle 4: "Aim for social equity in all interactions, sharing of costs and benefits among stakeholders, and respect for the culture and indigenous heritage of all impacted stakeholders." [p.37, [4]) SDG 12: Ensure sustainable consumption and production patterns By 2030, achieve the sustainable management and The CTI-CFF RPOA has been developed to guide the conservation and sustainable management 12.2 efficient use of natural resources of coastal and marine resources within the Coral Triangle region. [3] Support developing countries to strengthen their Goal 3, Regional Action 3: "Build capacity for effective management of the CTMPAS", including scientific and technological capacity to move towards 12.a the establishment and strengthening of long-term capacity building programmes and more sustainable patterns of consumption and institutions and the establishment of an MPA learning network (p.32, [3]) production SDG 13: Take urgent action to combat climate change and its impacts Goal 4, Target 1: Region-wide early action plan for climate change adaptation of the near-shore Strengthen resilience and adaptive capacity to climate 13.1 marine and coastal environment and small island ecosystems developed and implemented. related hazards and natural disasters in all countries (p.35, [3]) CTI-CFF Goal 3, Regional action 2 requires spatial mapping of areas with climate change resilience characteristics as well as to overlay poverty data with data on climate change vulnerability. [3] Integrate climate change measures into national policies, 13.2 strategies and planning Goal 3, Target 1: Region-wide coral triangle MPA system in place and fully functional [3]

Goal 4, Regional Action 2: "Identify the most important and immediate adaptation measures that could be taken in each CT country" (p. 37, [3]) Improve education, awareness-raising and human and Goal 4, Regional Action 4: "Conduct capacity needs assessments and develop capacity building 13.3 institutional capacity on climate change mitigation, programs on climate change adaptation measures" (p.37, [3]) adaptation, impact reduction and early warning Implement the commitment undertaken by developed- country parties to the United Nations Framework Convention on Climate Change to a goal of mobilizing jointly $100 billion annually by 2020 from all sources to Goal 4, Target 1: Region-wide early action plan for climate change adaptation of the near-shore 13.a address the needs of developing countries in the context marine and coastal environment and small island ecosystems developed and implemented. of meaningful mitigation actions and transparency on implementation and fully operationalize the Green Climate Fund through its capitalization as soon as possible Promote mechanisms for raising capacity for effective climate change related planning and management in Action 3: Build capacity for effective management of the CTMPAS (p.16, [4]) 13.b least developed countries and small island developing

States, including focusing on women, youth and local and marginalized communities SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development Many of the coral triangle countries have policies and laws to implement MPAs within their By 2025, prevent and significantly reduce marine jurisdictional waters and under these, there is often an underlying obligation to prevent, reduce 14.1 pollution of all kinds, in particular from land-based and control pollution. One specific example is the Environment Act (1998) of the Solomon activities, including marine debris and nutrient pollution Islands. [4] The Vision of the CTMPAS is a system of “prioritized individual MPAs and networks of MPAs By 2020, sustainably manage and protect marine and that are coastal ecosystems to avoid significant adverse impacts connected, resilient, and sustainably financed,” and designed in ways that (i) generate 14.2 including by strengthening their resilience, and take significant income, livelihoods, and food security benefits for coastal communities; and (ii) action for their restoration in order to achieve healthy and conserve the region’s rich biological productive oceans diversity.[4] By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing Goal 2, Regional action 2: Improve enforcement of IUU fishing through greater collaboration 14.4 and destructive fishing practices and implement science- (p.19, [3]) based management plans, in order to restore fish stocks in the shortest time feasible, at least to levels that can produce maximum sustainable yield as determined by their biological characteristics "20% of total area of each major nearshore habitat type within the CT region will be in some form By 2020, conserve at least 10 per cent of coastal and of designated protected status, with 20% (10% in the interim until 2020) of each major marine 14.5 marine areas, consistent with national and international and coastal habitat in strictly protected "no-take replenishment zones" (to ensure long-term law and based on the best available scientific information sustainable supplies of fishery resources". (p.35, [4]) By 2030, increase the economic benefits to Small Island developing States and least developed countries from the Goal 2, National Actions, Papua New Guinea, Action 1: Build a sustainably managed tuna 14.7 sustainable use of marine resources, including through industry and maximise economic benefits (p. 75, [3]) sustainable management of fisheries, aquaculture and tourism Goal 2 of the CTI-CFF RPOA notes the need to develop funding mechanisms to support small- scale fishers Provide access for small-scale artisanal fishers to marine 14.b resources and markets Goal 2, National Actions, Indonesia- Action 3: Develop integrated, community-based coastal fisheries to achieve sustainable fisheries. (p.72, [3]) Enhance the conservation and sustainable use of oceans and their resources by implementing international law as reflected in UNCLOS, which provides the legal framework Principle 5 of the RPOA requires that the CTI be aligned with international and regional 14.c for the conservation and sustainable use of oceans and commitments. For example UNCLOS, a.192 to protect and preserve the marine environment. their resources, as recalled in paragraph 158 of The Future We Want SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Yes, and partners, in additional to the governing bodies and national governments, could/do include local governments, local communities, NGOs, funding institutions, private sector companies etc. (Section IV, [3]) The success of the CTI-CFF RPOA is dependent on effective coordination across multiple levels and requires a large, diverse group of implementation Encourage and promote effective public, public-private partners from within and outside the region. 17.17 and civil society partnerships, building on the experience

and resourcing strategies of partnerships The CTMPAS Principle 2 include a wide spectrum of partners and stakeholders from different backgrounds to encourage commitment. [4] Of note, one of the strategies set out in the CTMPAS aims to build upon and enhance institutional linkages and cross-sector coordination within Coral Triangle countries. [4] Capacity-Building: Enhance international support for The RPOA for the CTI sets out 5 primary goals, under which there are one or more time-bound 17.9 implementing effective and targeted capacity-building in targets for each. In order to guide efforts towards achievements of targets, the RPOA sets out developing countries to support national plans to implement all the sustainable development goals, regional actions to be implemented at a regional level. [3] Regional measures/actions will be including through North-South, South-South and supported by national level actions within each of the coral triangle countries. These are triangular cooperation specified in the action plans for each.

The CTMPAS advocates that MPAs should include no-take areas. [4]

Goal 3, Target 1: Region-wide coral triangle MPA system (CTMPAS) in place and fully functional. [3] Under this goal, the Coral Triangle counties prioritised the following regional actions: - Regional Action 1: Jointly establish overall goals, objectives, principles, and operational design elements for a CTMPAS centred around priority MPA networks by 2010. - Regional Action 3: Build capacity for effective management of the CTMPAS. The CTI-CFF demonstrates an equitable partnership approach between the governments of the 6 Coral Triangle member countries, three of the main NGOs in the region (The Nature Conservancy (TNC), World Wildlife Fund (WWF) and Conservation International (CI)), and several international and regional donor agencies (USAID, Asian Development Bank (ADB), and the Australian Government). There are 3 levels of engagement between the 6 member countries and partners: - The Council of Ministers is the highest decision-making body and is comprised of Ministers and Heads of State from each of the Coral Triangle countries. - The Council of Senior Officials meets annuals at a dedicated meeting to review and agree upon Multi-stakeholder partnerships: Enhance the global recommendations made by the Technical Working Groups. partnership for sustainable development, complemented - Technical and Governance Working Groups comprised of representatives from key national by multi-stakeholder partnerships that mobilize and share agencies in each country and technical advisors from the non-government sector to discuss 17.16 knowledge, expertise, technology and financial resources, thematically specific issues of relevance. The five technical working groups themes are: to support the achievement of the sustainable Seascapes, Fisheries, MPAs, Climate Change and Threatened species. [2] development goals in all countries, in particular developing countries Under formal coordination procedures, the Regional Secretariat for the CTI-CFF facilitates dialogue and communication among the countries at each level, and is a champion of the ABMT process itself. [2]

The CTI MPA Technical Working Group (MPA TWG), established in 2011, serves as the steering and oversight committee for the design, development and operation of the CTMPAS and guides regional MPA efforts under the CTI-CFF. The MPA-TWG also serves as the main coordinating body on MPAs between the Regional Secretariat, project partners and country representatives. [4]

Sources and references [1] UNEP-WCMC, 2017, International cross-border marine spatial planning inventory. [2] Thomas, H., White, A., Whitford, L., Scrimgeour, R. 2017. Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security (CTI-CFF): Case Study Summary Report. UNEP-WCMC. Service Contract: EASME/ECFF/2014/1.3.1.8/SI2.717082 [3] CTI-CFF Regional Secretariat (2016) Regional Plan of Action: Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security (CTI-CFF). Manado, Indonesia [4] Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security (CTI-CFF). 2013. Coral Triangle Marine Protected Area System Framework and Action Plan. CTI-CFF, United States Agency for International Development Coral Triangle Support Partnership and US National Oceanic and Atmospheric Administration, Cebu City, Philippines. 75 pp. Available at: http://www.coraltriangleinitiative.org/library/action-plan-coral-triangle-marine-protected-area-system-ctmpas-framework- and-action-plan [5] Coral Triangle Atlas. 2017. About Coral Triangle Atlas. [Online] Available at: http://ctatlas.reefbase.org/about.aspx [6] Coral triangle Initiative. 2017. Turning the Tide in Marine Conservation - The Women Leaders Forum of the Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security. Article written for a CTI-CFF Side event at UN Ocean Conference on SDG14, 6 June 2017. [online] Available at: http://www.coraltriangleinitiative.org/news/turning-tide-marine-conservation-%E2%80%93-women-leaders-forum-coral-triangle-initiative-coral-reefs-fi

Case Study 13. Marine Protected Area Network: Raja Ampat Marine Protected Area Network, Indonesia

Facts about the case study Case-specific entries Tool MPA network Region South China Sea Implementation status MPA network development process began in 2007. MPA network was adopted in 2012. The Raja Ampat Regency Government, the regional government body for the Raja Ampat islands, is responsible for natural resource management and for declaring MPAs in the regency. Under national Law 27/2007, the Regency Government was required to undertake zoning of activities in order to ensure the sustainable use of marine resources in the region. This process was supported by the National Government and partnerships were formed with non-governmental organisations, such as The Nature Conservancy and Conservation International, to Governance support local communities zone the MPAs. The local communities were heavily involved in the planning and design of the MPA, including the Mechanisms zones and management plans, which allowed the governance framework for the area to be built on existing customary approaches, practices, and included traditional governance structures. Was in place for the ABMT process: Voluntary agreement/a (Memorandum of Understanding, custom) Was put in place to support ABMT implementation: Binding, legally enforceable instrument (law, ruling, policy or decision) Voluntary agreement/a (Memorandum of Understanding, custom) Law No 27/2007 regarding coastal zone and small islands management is the national legislation that underpins the regulation of What is the legal basis development activities in the Indonesian EEZ. It is a legal instrument that calls for the development of a series of plans to manage the human- of the ABMT? ecosystem interactions through zoning. The declaration of MPAs was done initially under a Regency Law 66/2007, and 5/2009, and supported by a national law 27/2008. The Raja Ampat Regency Government worked in partnership with The Nature Conservancy and Conservation International develop the zoning plan for the proposed network of MPAs. These international NGOs worked closely with local communities to create a bottom up process to Is there government integrate traditional management systems (such as sasi) into the zoning process. The national government supports the designation of the support for the ABMT? network of MPAs through its declaration of the Raja Ampat Regency as a National Strategy Area. Organisations/working groups are tasked with ABMT with governmental mandate. Financial resources have been allocated to all stages of ABMT by government. Clearly defined responsibilities have been given to authorities for ABMT planning and implementation What is the institutional The network of MPAs was designated under Law 27/2007. Management of the MPA network is the responsibility of the Raja Ampat Regency framework of the Government and the Ministry of Marine Affairs and Fisheries, with the support of local communities and international NGOs [1]. ABMT? What type of The Raja Ampat MPA network is managed in partnership between local government and non-governmental organisations (The Nature organisation is the Lead Conservancy & Conservation International). Entity? Local Government. Non-Governmental Organisation (NGO) What policies are being The MPA network contributes to objectives on wider conservation of biodiversity, ecological recovery, sustainable resource use and long-term implemented by the food security. The designation of a network of MPAs also contributes to global MPA coverage targets. ABMT? The objectives of the Raja Ampat MPA Network revolve around two biological and socioeconomic themes: ensuring sustainable fishing, and What are the primary biodiversity conservation [1]. The goal is an ecologically coherent network of MPAs across the Bird's Head Seascape, protecting 20-30% of the goals / objectives of the critical coral reef habitats within this network [2]. This will support both ecological recovery and long-term food security. ABMT? Maintain or develop local, small-scale or traditional use/s; Conserve or restore the health of marine ecosystem/s; Maximise the overall economic value of the marine ecosystem in a sustainable way What are the The management of the network of MPAs in Raja Ampat is based on the zoning of activities. Management measures include limiting fishing management measures efforts and practices to sustainable levels, 'strategic partnerships' (p.8, [5]) with international NGOs, biological and resource use monitoring, associated with the community outreach regarding LMMA networks and patrols of the area [5]. ABMT? Does the ABMT involve Yes, the management plan involved cooperation across different sectors. The needs of the environment and conservation sector must be cross sectoral balanced with the fishing industry in the area. Local stakeholders collaborated with international NGOs on the socioeconomic and biological cooperation? objectives of the network, and also to share local ecological knowledge. Which SDGs do the management measures 1.1, 1.2, 1.5, 2.1, 8.9, 12.2, 12.a, 13.1, 13.2, 14.1, 14.2, 14.4, 14.5, 16.7 & 17.17 support? Yes the process did. Through funding from the Packard Foundation there was an ecosystem-based management project to pull together a Does the AMBT process series of baseline studies on government, ecology, social, economics, etc. to underpin the design of the MPAs. Both the biological and human follow an ecosystem elements of the ecosystem were integrated in the zoning decisions. The health and status of the ecological elements was spatially mapped approach? against the human uses and pressures, with the aim of creating a sustainable relationship between users of the marine environment and the health of the ecosystem [10].

Does the ABMT process Scientific input to support the establishment and ongoing management of the network of MPAs was provided by the international NGOs [3], as incorporate data and well as visiting researchers (e.g. University of Queensland). The process is also supported with traditional ecological evidence provided by evidence? local communities [4]. Ecological data was collated regarding the habitats and species present in the area and their respective health status. Further socioeconomic data was gathered to reflect human uses of the area and pressures on the marine environment. Spatial data regarding the location of these What type of data was components was gathered using an expert mapping process that integrated local stakeholder knowledge. used in the ABMT Biological/ecological information; Current human activity distribution; Cumulative human impacts/pressures; Ecosystem goods and services benefits; development process? Social information; Economic/valuation information

Stakeholder involvement is stated as a 'high priority in this project' [p.32, 1]. Stakeholders were engaged to assist in the development of the key Does the ABMT process socioeconomic objectives for the network of MPAs. This information was used to build a multi-objective database, identifying the current include stakeholder management of the area. Stakeholders were then involved again at a later stage, to take part in community participatory mapping, expert engagement? mapping and to offer feedback on the draft zoning plan [1]. Local stakeholders are also integrated into the enforcement programme, working to identify and resolve infringements of the regulations put in place. Does the ABMT use Yes, spatial analysis played a key role in the development of the Raja Ampat MPA Network. Community participatory mapping was also used spatial and/or scenario to identify the fishing grounds used by the local communities. Expert mapping was used to draw on local technical knowledge regarding any analysis to support gaps in socioeconomic or biological data. decisions? The zoning plan was developed using the tool 'Marxan with Zones'. This use of software allowed ecological and socioeconomic factors to be What decision-support spatially overlaid with customary fishing grounds to identify the most appropriate areas for designation. The software enabled network tools were used to planners 'to integrate a wide variety of information and explore trade-offs between placing fisheries and conservation zones in specific areas' support the planning [p.28, 1]. process? Optimisation or network tools (Marxan) *GIS-based work

What is the spatial The focus of the zoning plan is on the coastal waters surrounding the Raja Ampat archipelago. The network of seven MPAs covers 1,185,940 focus of the ABMT? ha.

At what scale is the The MPA network is implemented at a provincial scale. However, the decision-making tools that formed the basis of the designation process ABMT process are said to be scalable and could be applied elsewhere [1]. implemented? Sub-national (e.g. state, province) What is the timeframe focused on for the The MPA designations fall under the National Government aim to designate 20 million hectares of waters under national jurisdiction as marine management protected areas by 2020 [6]. The plans are designed to work on a 20 year timescale, coming under review every 5 years [11]. measures? Does the ABMT include an evaluation MPA zoning plans developed under Law 27/2007 are to be reviewed every 5 years to assess the effectiveness of the implementation of the framework, and if so, plans [11]. what is the framework?

Does the ABMT include The zoning plans build on existing monitoring programmes to gather data concerning the biological and socioeconomic value of the local performance fisheries. Training in monitoring approaches is provided to the local communities, who adopt some responsibility for the ongoing monitoring of monitoring, and if so, the biological and socioeconomic factors to help assess the effectiveness of the implementation of the plans. At some sites, this is largely what is the framework? done by local scientists working for international NGOs. What indicators are The success of the implementation of the zoning plans can be monitored using indicators that support the biodiversity, sustainable fisheries used in the monitoring and community resource access objectives. of the ABMT? Environmental indicators (e.g. water quality, habitat/species distribution). Economic indicators (e.g. fish catch, income trends) Social indicators (e.g. employment levels, conflict resolution);

Case study assessment Assessment questions Responses Barriers Enablers The existence of a statutory The delivery of the objectives of the network of MPAs is supported by its framework is an enabler for the To what extent does the statutory grounding that allows legal incentives to be attached to the legal basis of the ABMT effective delivery of the MPA and management strategies that are put in place as a result of the zoning support the delivery of associated policies because it plan. This encourages compliance and increases the effectiveness of the the ABMT and provides legally enforceable wider conservation aims, as infringements can lead to the destruction of associated policies? incentives for compliance with fishing boats and gear. management measures. While responsibility for the implementation of the Raja Ampat MPA The collaborative and inclusive network lies with the Regency Government, management occurs in To what extent does the institutional framework of the partnership with international NGOs and local communities, who were institutional framework Raja Ampat MPA network enables associated with the also involved in the initial zoning and designation process. Thus, the the effective implementation of ABMT support the institutional framework for the MPA network provides official the zoning plans and associated delivery of the ABMT government authority for the designation of MPAs and implementation measures because it provides and associated of management, community buy-in and support for the management, as official authority, community policies? well as financial support, scientific knowledge and other expertise from support and NGO expertise. NGOs. Strong community involvement in the management of the network of MPAs helps to fulfil the wider conservation and policy objectives as community members are strict on the enforcement of the legislation put Strong community involvement is in place to protect fragile habitats and species. Community patrols of the To what extent does the an enabling factor for the MPAs to enforce the shark and ray sanctuary have been effective and ABMT support the effective delivery of policies have seen a move away from shark fishing and towards the delivery of marine and because it supports enforcement establishment of ecologically sustainable dive tourism in the area [12]. coastal policies? of management measures in the The effective enforcement of the MPAs has led to a decline in destructive MPA network. fishing practices in the area, with positive implications for the health of the local marine biodiversity and preservation of fish stocks that are relied upon by local communities affected by poverty [12]. The Raja Ampat Zoning Plan encourages cross jurisdictional cooperation between the National Government and the Regency Government. Zoning National Government recognition plans are supported by the National Government who have recognised of the importance of the MPA To what extent does the the importance of the MPA network by facilitating its development network is an enabling factor as it ABMT promote through legislation. Power to undertake the zoning planning process and promotes wider recognition of the transboundary involve stakeholders, and responsibility for ongoing management is network and facilitated the cooperation? devolved to the Regency Government. implementation of the network The cooperation between the national and regional government bodies through the establishment of allows for wider recognition of the importance of the MPA network, and national legislation. for sharing responsibilities regarding its management. Multi-sector engagement in the planning process and Involvement of different sectors (fishing and conservation), as well as management of the Raja Ampat international NGOs and local communities in the zoning and designation There was no funding to MPA network was an enabling To what extent does the process as well as the management of the MPA network has enabled the engage fishers that visited factor for the effective delivery of ABMT process integration of ecological as well as socioeconomic and subsistence the MPAs from outside of objectives associated with the emphasise multi-sector considerations in the MPA network and its management. This ensures Raja Ampat, to look at their network as it facilitated the engagement? that the network can achieve both its sustainable fishing and biodiversity role in fisheries and the integration of ecological and conservation targets. It also secures buy-in and support from the local MPAs. socioeconomic considerations in communities who depend on the marine environment for subsistence. decisions and ensured local community buy-in and support. To what extent does the The MPA zoning plans are to be reviewed every five years. Data collected ABMT utilise an from Biological surveys, Resource Use surveys and local patrols are used iterative/adaptive for the monitoring, surveillance and enforcement of the MPAs. process? Visitors to the MPA network pay a fee for ecosystem services, and this To ensure the long-term money is reinvested in the delivery of the management of the area success of the network of The reinvestment of entry fees To what extent does the through patrols, community engagement and scientific research and MPAs, financial self- funding/resources of enables the MPA network to monitoring [9]. However, the initial setup funding was donated by private sustainability must be found the ABMT support its contribute to its own and public bodies, and did not come from the communities involved in to prevent the development of delivery and associated management. This is an enabling the management themselves. The development of approaches to ensure financial dependence on third policies? factor for economic sustainability. sustainable finance will allow the management of the MPA to be parties becoming a barrier to financially sustainable in the long-term. effective management.

To what extent does Stakeholder engagement in the Raja Ampat MPA Network planning and The use of tools such as Involvement of relevant stakeholder management process is key to its success [1]. There was collaboration Marxan with Zones can stakeholders and local engagement support between the three levels of government, as well as input from local present a barrier to communities in the production of the effective delivery of communities, non-governmental organisations and experts throughout stakeholder engagement, as zoning plans increased ownership the ABMT and the planning process. Effective stakeholder engagement provided a they require specialist and support for management associated policies? source of local ecological knowledge; it increased ownership and training to be able to use decisions, and therefore therefore compliance with regulations; and it facilitated the introduction them effectively [1]. compliance with the management of new management that is in line with existing customary regulations. measures. This was an enabling This last point is particularly important as the local communities depend The dependence of local factor supporting the effective heavily on the marine environment for their subsistence, and therefore communities on customary implementation of the MPA conservation and sustainable fishing management must be carefully marine tenure for subsistence network. Involving stakeholders in balanced. Failing to integrate customary marine tenure into the spatial must be incorporated into the the development of the Raja analysis may lead to infringements of the management plans for plans, otherwise food security Ampat zoning plans enabled local subsistence fishing. will become a barrier to their ecological knowledge to be taken Moreover, some elements of the planning phase involved specialist tools, effective implementation and into account. This was an such as the use of Marxan with Zones that can present a barrier to those achievement of conservation enabling factor as it strengthened who are not trained in its use. and sustainable resource use the knowledge base behind the objectives. designations, allowed to address data gaps and secured community ownership and support. The data that was available at the early stages of the development of the zoning plan was on a variety of different scales. This was a Data provision was key to the development of the MPA network barrier as it made comparison management plan. The use of Marxan with Zones supported the spatial of potential MPA sites more analysis for the identification of potential locations for the network that To what extent did data difficult. would allow biodiversity conservation and sustainable resource use provision support the A lack of historical datasets goals to be balanced alongside community needs. However, the data that delivery of the ABMT? was a barrier that made initial was required to undertake this analysis was extensive, requiring a large comparisons of potential amount of resources to collate it. There were also historical gaps in the MPA sites more difficult [7]. dataset and the available data was on a variety of different scales. The initial collation of data to support the use of the Marxan with Zones tool was a time consuming and resource heavy process, which could present a barrier to the effective use of this approach in other areas.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, eradicate extreme poverty for all people everywhere, currently Socioeconomic monitoring was conducted to determine the impact of the MPAs on 1.1 measured as people living on less than $1.25 a day local communities (both positive and negative), and this included contribution to poverty alleviation with a focus on protein security (through fish) By 2030, reduce at least by half the proportion of men, women and The zoning plans will help to implement overarching policies that will ensure the children of all ages living in poverty in all its dimensions according to sustainable use of marine resources for the long term. This access to marine resources 1.2 national definitions will support poverty reduction. Socioeconomic monitoring for the Bird's Head will provide this data, and enable this assessment. By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and vulnerability to climate- The focus on the MPAs was building resilience of ecosystems and natural resources 1.5 related extreme events and other economic, social and environmental communities were dependent on for food security and local livelihoods. shocks and disasters SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture By 2030, end hunger and ensure access by all people, in particular the Incorporating local communities into the planning process will allow for customary 2.1 poor and people in vulnerable situations, including infants, to safe, marine tenure to be taken into account and maintain access to fishing grounds for nutritious and sufficient food all year round subsistence. SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all By 2030, devise and implement policies to promote sustainable Sustainable dive tourism is replacing the commercial shark fishing industry in the 8.9 tourism that creates jobs and promotes local culture and products region, as a result of the establishment of the shark and ray sanctuary. SDG 12: Ensure sustainable consumption and production patterns By 2030, achieve the sustainable management and efficient use of The overarching legislation concerns the balance of human activities and natural 12.2 natural resources resources to enable their sustainable management and efficient use.

Support developing countries to strengthen their scientific and The use of decision-making technology, such as Marxan with Zones, has allowed the 12.a technological capacity to move towards more sustainable patterns of Regency government to increase their scientific and technological capacity with regard consumption and production to sustainable resource management. This approach has allowed for a transparent approach to establishing governance of complex marine ecosystems with multiple users. SDG 13: Take urgent action to combat climate change and its impacts Strengthen resilience and adaptive capacity to climate related hazards 13.1 Resilience (to climate change) design principles were applied to the MPA network. and natural disasters in all countries Integrate climate change measures into national policies, strategies 13.2 Resilience (to climate change) design principles were applied to the MPA network. and planning SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, 14.1 in particular from land-based activities, including marine debris and Marine pollution was addressed as part of the management plans for the MPAs. nutrient pollution By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by Designating an ecologically coherent network of Marine Protected Areas will help to 14.2 strengthening their resilience, and take action for their restoration in increase the resilience of the local marine area to climate change. order to achieve healthy and productive oceans By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and implement science-based management plans, in order to restore Enforcing the Marine Protected Areas that form the Raja Ampat Network has reduced 14.4 fish stocks in the shortest time feasible, at least to levels that can the amount of destructive fishing occurring in the area. produce maximum sustainable yield as determined by their biological characteristics By 2020, conserve at least 10 per cent of coastal and marine areas, The Raja Ampat Network contributes to achieving Indonesia's wider national scale MPA 14.5 consistent with national and international law and based on the best commitments. available scientific information SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Stakeholder involvement is stated to have been a 'high priority in this project' [P.32, 1]. Stakeholders were engaged to assist in the development of the key socioeconomic objectives for the network of MPAs. This information was used to build a multi-objective Ensure responsive, inclusive, participatory and representative decision- database, identifying the current management of the area. Stakeholders were then 16.7 making at all levels involved again at a later stage, to take part in community participatory mapping, expert mapping and to offer feedback on the draft zoning plan [1]. Local stakeholders are also integrated into the enforcement programme, working to identify and resolve infringements of the regulations put in place. SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Encourage and promote effective public, public-private and civil The Raja Ampat MPA network is managed in partnership between local government and 17.17 society partnerships, building on the experience and resourcing non-governmental organisations (The Nature Conservancy & Conservation strategies of partnerships International).

Sources and references 1 Agostini et al., 2012 https://www.conservationgateway.org/Documents/Agostini%20etal12_Raja%20Ampat %20Zoning%20REPORT.pdf 2 The Nature Conservancy website https://www.nature.org/ourinitiatives/regions/asiaandthepacific/indonesia/placeswep rotect/raja-ampat-islands.xml?redirect=https-301 3 Social-Ecological Systems Meta-Analysis Database: Raja Ampat https://sesmad.dartmouth.edu/components/103 Governance System 4 Birds Head Seascape Factsheet http://birdsheadseascape.com/download/fact- sheets/Raja%20Ampat%20MPA%20Network%20Fact%20Sheet%202012.pdf 5 Establishment of Effectively Managed MPA Platform Sites as Foundations http://pdf.usaid.gov/pdf_docs/Pdacn777.pdf for Resilient Networks of Functionally Connected Marine Protected Areas 6 Coral Triangle Initiative News Release http://www.coraltriangleinitiative.org/news/local-communities-raja-ampat-embrace- mpa-zoning-plan 7 Ahmedia et al.,2015 http://rstb.royalsocietypublishing.org/content/370/1681/20140275 8 Marine Planning website: Seascape Approach http://www.marineplanning.org/Case_Studies/Indo_RA_Approach.html 9 Varkey et al., 2012 https://www.hindawi.com/journals/jmb/2012/721483/ 10 Ecosystem Based Management of the Birds Head Seascape http://www.reefresilience.org/pdf/Birds_Head_EBM_Fact_Sheets_09_051-1.pdf 11 Policy Review: Opportunities for Enhancing Coastal Community Resilience http://www.crc.uri.edu/download/IMC_CCPolPaperFinal_11_12.pdf and Climate Change Adaptation in Indonesia 12 Heinrichs. S. 2011. A shelter for Sharks: Indonesia declares a new http://birdsheadseascape.com/download/media/Raja%20Ampat%20Shark%20Sanctua sanctuary for sharks and rays in one of the world's most biodiverse ry:SDAA%202011.pdf ecosystems

Case Study 14. Marine Protected Area Network: Red Sea and Gulf of Aden Regional Marine Protected Area Network

Facts about the case study Case-specific entries Tool Marine protected area (MPA) network Region Red Sea and Gulf of Aden As of 2002, some MPAs have been established for many years with legal standing and well defined management plans, whereas others have Implementation status been proposed but not officially declared by their national governments. [2] The overarching governance framework for the Red Sea and Gulf of Aden Regional MPA network is the Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment (the "Jeddah Convention") which is implemented through the 1982 Action Plan for the Conservation of the Marine Environment and Coastal Areas in the Red Sea and Gulf of Aden. Within this framework, in 2002, a Regional Governance Master Plan was agreed by the Contracting Parties that provides a regional framework for the consistent planning and management of each Mechanisms MPA in the regional network. The Regional Master Plan is a long term policy document that sets out regionally applicable objectives, goals, general policies and strategies; it includes guidelines of planning, zoning, research and monitoring, public awareness, stakeholder participation, sustainable financing and management personnel requirements. Further, each MPA in the network has a regionally standardised, site specific Master plan to guide the development of the specific site. [1] 1) Regional Convention for the Conservation of the Red Sea and Gulf of Aden Environment (the "Jeddah Convention") 1982 2) Protocol Concerning the Conservation of Biological Diversity and the Establishment of a Network of Protected Areas the Red Sea and Gulf of Aden, 2005 3) Most countries in the region have legislation relevant to environmental management as well as site-specific legislation for the What is the legal basis establishment of specific MPAs. Egypt and Saudi Arabia have framework laws for the establishment and management of protected areas of the ABMT? throughout the country: - Egypt: Law 102 Concerning Natural Protectorates (1983) (includes articles that define protected area, forbid certain activities within Pas; control activities in adjacent area; specifies the administrative body responsible for enforcement). - Saudi Arabia: Royal Decree M/12 (1995) enacted the Protected Areas Act (sets out requirements for a network of protected areas to be established and managed, and the range of activities prohibited within all protected areas). The MPAs that form the regional network are designated nationally by the Member States of the Regional Organization for the Conservation of Is there government the Environment of the Red Sea and Gulf of Aden (PERSGA). [1] Within the individual countries, clearly defined responsibilities have been given support for the ABMT? to authorities for the planning and implementation of the MPAs. The overarching institutional framework for the regional MPA network is provided by the Regional Organization for the Conservation of the What is the institutional Environment of the Red Sea and Gulf of Aden (PERSGA), which is the implementing body of the Jeddah Convention. Within PERSGA, the MPA framework of the network and implementation of the Regional Master Plan is coordinated by the Regional Activity Centre for MPAs. The MPAs are designated ABMT? and implemented through national legal and institutional frameworks which are listed in Appendix 2 of the Regional Master Plan. [2] What type of The Regional Organization for the Conservation of the Environment of the Red Sea & Gulf of Aden (PERSGA) is a regional intergovernmental organisation is the Lead organisation. It is governed by a council including ministers handling environmental affairs in each of the seven PERSGA member state. [1] Entity? What policies are being The MPA Network contributes to the PERSGA Vision: Clean-up of the Red Sea (zero discharge) and healthy environment and sustainable implemented by the economic development of their coastal and marine resources. [1] ABMT? It also implements one of the components of the PERSGA Strategic Action Programme: Component 5 'Development of a Regional Network of Marine Protected Areas'. [5] Moreover, the Regional Master Plan for the MPA Network is consistent with the objectives of the Convention on Biological Diversity [1] The overarching goal of the regional MPA network is to "conserve areas that represent the range of the region’s unique habitats and biodiversity and to support national development". (p. 1, PERSGA/GEF 2002) More specifically, the 2005 Protocol defines the objectives of the MPA network as follows: What are the primary "1. To provide for the conservation, protection and restoration of the health and integrity of the ecosystems and biological diversity in the goals / objectives of the PERSGA region. ABMT? 2. To safeguard the threatened species, the critical habitats, sites of particular importance, as well as representative types of coastal and marine ecosystems, their biodiversity and their sustainable use and management, to ensure long-term viability and diversity." (p. 4, PERSGA 2005) Management strategies listed in the Regional Master Plan include: - zoning - traditional management practices What are the - collaborative and community-based management management measures - public education and awareness associated with the - research and monitoring ABMT? - environmental assessment for commercial uses - surveillance and enforcement - economic instruments - specific regulations (e.g. seasonal closures, gear type restrictions, quotas, development controls) Does the ABMT involve The Regional Master Plan states that successful MPA planning and management relies on the participation of government agencies cross sectoral responsible for all sectors related to the MPA objectives, including fisheries, tourism, municipalities, development authorities, ports and cooperation? shipping, and the military. [2] Which SDGs do the management measures 8.3, 8.4, 8.5, 8.9, 11.4, 12.1, 12.2, 12.4, 12.a, 14.1, 14.2, 14.4, 14.5, 14.c, 16.7, 17.7, 17.9 support? Does the AMBT process One of the principles of the MPA Network is ecological sustainability. The Regional Master Plan describes ecosystem based management as follow an ecosystem one of the key elements of ecologically sustainable planning and management. [2] The MPA Network is the mechanism through which approach? PERSGA has decided to implement an ecosystem approach to conservation and management. [6] Does the ABMT process Gathering and review of information on the nature, use and conditions of the area are the first step in the MPA planning process outlined by incorporate data and the Regional Master Plan. [2] The Regional Master Plan states that "information is required to support the ongoing management of protected evidence? areas". (p. 44, PERSGA/GEF 2002) Information used in the MPA planning process includes bio-physical information, resource use information, socio-economic information and What type of data was information about adjacent areas (including coastal landscapes and drainage patterns, human uses nearby and further away on land and used in the ABMT water). [2] development process? Rapid-assessment surveys of proposed MPA sites include both biological and resource use (socio-economic and fisheries) components, providing an overall assessment of the nature and condition of each site, including habitats, species and human impacts. [1] The Regional Master Plan includes stakeholder consultation and participation as one of the principles of the MPA Network and lists opportunities for consultation and participation: "Successful planning and management of MPAs relies on the active participation of a range of Does the ABMT process government agencies whose responsibilities coincide with the objectives of the MPA, including fisheries, tourism, municipalities, development include stakeholder authorities, ports and shipping, and the military." (p. 50, PERSGA/GEF 2002) engagement? Moreover, the Master Plan states that the management plans for the MPAs should include a public awareness programme to achieve the support and cooperation of stakeholders for the goals of the MPA; the community should be informed at all stages of the process and continuously throughout the life of the MPA. [2] Does the ABMT use spatial and/or scenario No information on this was found. analysis to support decisions? What decision-support Impact assessments are included in the Regional Master Plan as strategies to achieve the objectives of sustainable resource use, national tools were used to economic and social development and cultural heritage protection. [2] The 2005 Protocol also requires the use of environmental impact support the planning assessments to evaluate the suitability of proposed mariculture operations. [3] process? The spatial focus of the regional MPA Network is the Red Sea, Gulf of Aqaba, Gulf of Suez, Suez Canal, and Gulf of Aden surrounding the Socotra Archipelago and nearby waters, thus the area of the Regional Organization for the Conservation of the Environment of the Red Sea and What is the spatial Gulf of Aden (PERSGA). PERSGA member states are Djibouti, Egypt, Jordan, Saudi Arabia, Somalia, Sudan, and Yemen. [2] focus of the ABMT? The 2005 Protocol defines the area of application as "the Sea Areas as defined in the Convention, together with the inland sea waters of the Contracting Parties, as well as the terrestrial coastal areas, the saltwater marshes communicating with the sea, and any terrestrial coastal areas designated by each of the Contracting Parties, including wetlands." [3] At what scale is the ABMT process The MPA network is implemented at a regional scale. implemented? What is the timeframe focused on for the The Regional Master Plan is a long-term policy document. However, the site-specific Management Plans are designed to be short term (e.g. management five year periods) to enable review and update in response to monitoring results and changes in local conditions. [2] measures? Does the ABMT include an evaluation The Regional Master Plan states that plans should be evaluated regularly (e.g. every 5-7 years) based on information from the monitoring framework, and if so, programme and on improved scientific understanding. [2] what is the framework? The Regional Master Plan states that MPA management plans should include monitoring programmes on the impacts of activities, usage Does the ABMT include patterns and the effectiveness of specific management activities. Research priorities for the monitoring programmes are to be determined performance collaboratively between managers and scientists and to be reviewed regularly. Moreover, long-term monitoring programmes should be monitoring, and if so, designed during the planning stage and start before or at the time of MPA establishment. This provides a baseline for future MPA review what is the framework? processes and performance assessments. Finally, the Regional Master Plan determines that monitoring programmes should include objectives, indicators, methods, sampling regime, who will undertake the monitoring, database and reporting procedures. [2] What indicators are used in the monitoring of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The Jeddah Convention and 2005 Protocol provide a regional Having a regional Convention as legal framework for cooperative management of the Red Sea and Gulf of framework for cooperation enabled Aden, within which the MPA network could be set up. However, only Lack of appropriate and the establishment of the regional MPA To what extent does the some of the MPAs have been established with appropriate national consistent legal frameworks Network. legal basis of the ABMT legislation. The Regional Master Plan identifies the need for for part of the MPAs is a The regional Protocol provided a legal support the delivery of consistent national legal frameworks as a legal basis for the potential barrier for the framework that supported national the ABMT and remaining MPAs and potential additional MPAs in order to ensure effectiveness of the network governments in establishing national associated policies? effective implementation of the regional network. [2] The 2005 as a whole. legislation to implement MPAS by Protocol, in particular, was intended to support the PERSGA countries providing guidance and setting out in strengthening legal mechanisms at national level. general obligations. Having common guidelines and criteria for identification, planning and management of MPAs enables the implementation of national The Regional Master Plan and 2005 Protocol include guidelines and approaches that are consistent across common criteria for the identification, planning and management of the region and thus the national MPAs to be adopted by the Contracting Parties. This supports implementation of a regionally consistency in national approaches to implementing MPAs, and thus consistent MPA network. To what extent does the consistency across the MPA network. Moreover, having an overarching institutional framework Moreover, the Regional Master Plan sets out provisions and regional master plan ensures that all associated with the requirements, for example on stakeholder and cross-sector MPAs in the network include ABMT support the engagement, monitoring and data use, that are to be included in the important elements for effective delivery of the ABMT local MPA management plans. This further increases consistency management in their local and associated across the network and ensures that important elements for effective management plans, such as policies? MPA management are included at each site across the network. stakeholder engagement and The Regional Activity Centre for MPAs was established to support the monitoring. countries in the effective coordination of the regional MPA network. A Regional Activity Centre is a further [1] enabling condition that facilitates the coordination of the regional MPA network. The establishment of regional coordinating bodies and national focal points have been identified as enablers for implementing the regional MPA network and achieving associated policies. A review of the status of coral reefs in the region that was published in 2010 found that few of the declared MPAs are managed Lack of technical capacity appropriately. One major issue the report identified was limited and limited experience in technical capacity and experience in MPA management, and lack of MPA management have experts to provide the necessary knowledge, training and skills. been identified as barriers to Another issue was lack of surveillance and enforcement of the effective implementation regulations. Moreover, not all regionally significant and representative of MPAs in the individual habitats were covered by existing MPAs. National monitoring countries as well as across The fact that PERSGA, as a regional programmes for coral reefs only exist in Egypt and Jordan. Efforts in the region, limiting the coordinating body, is taking the Yemen, Saudi Arabia and Sudan are irregular and the data not effectiveness of the regional initiative to increase technical To what extent does the comparable. The 2010 status report concludes that "significant MPA network in delivering capacity and know how in the region ABMT support the progress in conservation of the marine environment [...] has been associated policies. is an enabling factor to overcome delivery of marine and made [...]. However, further actions are needed to ensure continued these limitations and improve MPA coastal policies? progress." (p. 54, PERSGA 2010). Lack of surveillance and management, and with it the effective Limited technical capacity and experience in MPA management in enforcement, as well as delivery of marine and coastal specific countries, as well as throughout the region, had already been limited and inconsistent policies. identified as a potential constraint to achieving the objectives of the monitoring across the regional MPA network in the 2002 Regional Master Plan. The Plan region, have also been determines that provisions for capacity building and training should identified as barriers to the be included in site-specific Management Plans. [2] effective management of the Since the 2010 status report, PERSGA has engaged in a number of MPA network and delivery of projects and initiatives to train MPA managers and build technical associated policies. capacity in the region. [7, 8] The Regional Master Plan emphasises that coordination of activities, A coordination and networking sharing of experiences and knowledge, and networking amongst mechanism that facilitates MPAs will build local and regional capacity to effectively manage communication and knowledge MPAS; and it will contribute to addressing regional goals through sharing enables transboundary To what extent does the local action. To support this, the Regional Master Plan proposed the cooperation and strengthens overall ABMT promote establishment of 1) a Regional Coordinating Committee, 2) a Regional regional, as well as individual site transboundary Activity Centre for MPAs at the PERSGA headquarters, and 3) MPA specific, capacity in MPA cooperation? Focal Points in each country. The Regional Master Plan also management. promotes the inclusion of non-network MPAs in the region in the Promoting the inclusion of non- development of coordinated management strategies. network MPAs in this coordinated The events listed on the PERSGA website suggest that work is being approach further enables done to coordinate efforts across PERSGA member states on a range transboundary cooperation. of different activities and programmes, including MPA management. The establishment of regional coordinating bodies and national focal points enabled transboundary cooperation across the region. Multi sector engagement is clearly identified as a prerequisite for To what extent does the The Regional Master Plan requires the participation of government achieving MPA objectives. This is an ABMT process agencies responsible for all sectors related to the MPA objectives, as enabling condition for multi-sector emphasise multi-sector well as stakeholder consultation and participation more broadly. engagement as it sets out engagement? requirements to involve all relevant sectors. Adaptive management has been identified as one of the principles to To what extent does the be implemented in the MPA network. ABMT utilise an The Regional Master Plan describes adaptive management as one of This is an enabling condition as it sets iterative/adaptive the principles of the MPA Network. [2] out requirements for adaptive process? management to be applied in the MPAs. The Regional Master Plan states that "financing of the operations of MPAs has largely been the responsibility of governments. Economic Limited government funds Identification of sustainable financing To what extent does the constraints, and other development priorities, have limited the amount and economic constraints mechanisms is an enabling condition funding/resources of of funding available for establishment and management of MPAs." (p. have been identified as for ensuring adequate funding to the ABMT support its 53, PERSGA/GEF 2002). The plan further sets out strategies for barriers to the establishment establish and manage MPAs and delivery and associated sustainable financing, including income from ecologically and socially and effective management effectively deliver associated policies policies? sustainable tourism, fishing, biotechnology and aquaculture. Tourism, of MPAs. in the long term. in particular, was identified as a source of revenue for MPAs. [2] Stakeholder participation was identified as an enabling factor for successful delivery of MPA objectives. The Regional Master Plan recognises that "MPAs will have a greater Clear identification of the role of To what extent does chance of success if they have the participation of all stakeholders in stakeholder engagement, and stakeholder the planning and implementation and if they are aware of the opportunities for engagement, in the engagement support advantages arising from the declaration and management of a MPA" Regional Master Plan is an enabling the effective delivery of (p. 50, PERSGA/GEF). It includes provisions about stakeholder factor for stakeholder engagement the ABMT and consultation and participation and talks about the local community across the regional network as it associated policies? and stakeholders as partners in the MPA planning and management. promotes the inclusion of [2] engagement approaches in the management plans for the individual MPAS. Clear provisions for the use of data to support impact assessments, MPA planning and management, and Biological, resource use and socioeconomic surveys are used to performance review are enabling assess proposed MPAs. A regional survey guide was developed for factors for the delivery of effective this purpose. The Regional Master Plan states that this information is Lack of inconsistent MPAs, allowing effective designation also to be used in the MPA planning process. Moreover, data monitoring across the region and management, as well as adaptive provision supports the delivery of MPA objectives through To what extent did data is a barrier limiting the approaches in response to environmental impact assessments, as required by the Regional provision support the availably of data to support monitoring. Master Plan. Finally, the Regional Master Plan sets out requirements delivery of the ABMT? the planning, management The inclusion of provisions for long for long term monitoring, including the use of indicators, to enable and performance term monitoring and data use in the MPA review and performance assessment. assessment of the MPAs. Regional Master Plan enables the use No information was found on data availability, but the lack of of data and evidence in the consistent monitoring across the region suggests that data management of the individual MPAs availability might be an issue for some of the sites. as these provisions should also be included in the local MPA management plans.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Promote development-oriented policies that support productive activities, decent job creation, entrepreneurship, creativity and innovation, and To provide employment opportunities for the local community in the operations of 8.3 encourage the formalization and growth of micro-, small- and medium- the MPA. (p. 30, PERSGA/GEF 2002) sized enterprises, including through access to financial services To encourage economic development activities based on the resources of the marine and coastal environments of the MPA, which are compatible with the Improve progressively, through 2030, global resource efficiency in objectives of the MPA. consumption and production and endeavour to decouple economic growth

8.4 from environmental degradation, in accordance with the 10-year To ensure that all economic development activities and uses of the resources of framework of programmes on sustainable consumption and production, the MPA are sustainable and subject to environmental and social impact with developed countries taking the lead assessment, according to the relevant legal instruments. (p. 30, PERSGA/GEF 2002) By 2030, achieve full and productive employment and decent work for all "To provide employment opportunities for the local community in the operations of 8.5 women and men, including for young people and persons with disabilities, the MPA." (p. 30, PERSGA/GEF 2002) and equal pay for work of equal value By 2030, devise and implement policies to promote sustainable tourism All tourism operations to be ecologically and socially sustainable and subject to 8.9 that creates jobs and promotes local culture and products sound environmental and social impact assessment (p. 29, PERSGA/GEF 2002) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable Strengthen efforts to protect and safeguard the world’s cultural and 8. To protect the unique cultural heritage of the marine and coastal environments of 11.4 natural heritage the Red Sea and Gulf of Aden. (p. 28, PERSGA/GEF 2002) SDG 12: Ensure sustainable consumption and production patterns To encourage economic development activities based on the resources of the marine and coastal environments of the MPA, which are compatible with the objectives of the MPA.

12.1 Implement the 10-year framework of programmes on sustainable To ensure that all economic development activities and uses of the resources of consumption and production, all countries taking action, with developed the MPA are sustainable and subject to environmental and social impact countries taking the lead, taking into account the development and assessment, according to the relevant legal instruments. (p. 30, PERSGA/GEF capabilities of developing countries 2002) By 2030, achieve the sustainable management and efficient use of natural "to provide for the sustainable use of living marine resources" (p. 2, PERSGA/GEF 12.2 resources 2002) By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance with agreed Regional master plan: manage sewage release in or near MPAs 12.4 international frameworks, and significantly reduce their release to air, ban discharge of land sources of pollution in or near MPAs. water and soil in order to minimize their adverse impacts on human health and the environment The planning and management of MPAs are complex tasks requiring a wide range of skills. In addition to formal education and Support developing countries to strengthen their scientific and experience in planning and management, staff require regular training updates 12.a technological capacity to move towards more sustainable patterns of through seminars, workshops and short courses. For many MPAs in the Regional consumption and production Network, training will be required at all levels (p. 53, PERSGA/GEF 2002)

to foster capacity building and training for MPA staff (p. 58, PERSGA/GEF 2002) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development Surveillance for pollution incidents to be developed and implemented. The legislation and regulations relating to pollution to be enforced. Discharges from land-based and sea-based sources into the waters within or adjacent to the MPA to By 2025, prevent and significantly reduce marine pollution of all kinds, in be forbidden. 14.1 particular from land-based activities, including marine debris and nutrient Oil spill contingency plans to be developed for the MPA and integrated with the pollution relevant Marine Emergency Mutual Aid Centre (p. 32, PERSGA/GEF 2002)

"6. Control land-based and sea-based sources of pollution that pose a significant impact on habitats and species." (2005 Protocol) By 2020, sustainably manage and protect marine and coastal ecosystems 1. To develop regional capacity in all aspects of MPA planning and management. to avoid significant adverse impacts including by strengthening their 14.2 2. To provide for the sustainable use of living marine resources.(p. 28, PERSGA/GEF resilience, and take action for their restoration in order to achieve healthy 2002) and productive oceans Habitats critical for the support of living marine resources, such as breeding and nursery areas, and larval sources, to be protected.

Fishing activities to be excluded from parts of each MPA so these areas can support fishing in surrounding areas of the MPA, through the emigration of adult By 2020, effectively regulate harvesting and end overfishing, illegal, fish and enhancement of reproductive output. unreported and unregulated fishing and destructive fishing practices and Fishing activities in other parts of the MPA may be regulated from time to time in implement science-based management plans, in order to restore fish consultation with, or on the advice of, the traditional and commercial users e.g. via 14.4 stocks in the shortest time feasible, at least to levels that can produce seasonal or temporary closures. maximum sustainable yield as determined by their biological characteristics Inventories of species caught within the MPA to be developed and stock assessments of key fisheries species undertaken.

Stocks of key species caught within the MPA to be monitored using standardised techniques, to evaluate the effectiveness of management strategies. (p. 29, PERSGA/GEF 2002) 5. To conserve representative and prime examples of the biodiversity of the Red By 2020, conserve at least 10 per cent of coastal and marine areas, Sea and Gulf of Aden. 14.5 consistent with national and international law and based on the best available scientific information 6. To conduct monitoring and research programmes for the benefit of MPA management.(p. 28, PERSGA/GEF 2002) Enhance the conservation and sustainable use of oceans and their Regional Convention for the Conservation of the Red Sea and Gulf of Aden resources by implementing international law as reflected in UNCLOS, Environment (the "Jeddah Convention") 1982 14.c which provides the legal framework for the conservation and sustainable use of oceans and their resources, as recalled in paragraph 158 of The Protocol Concerning the Conservation of Biological Diversity and the Establishment Future We Want of a Network of Protected Areas the Red Sea and Gulf of Aden, 2005 SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all "To involve the local community and stakeholders in a participatory manner in the Ensure responsive, inclusive, participatory and representative decision- 16.7 development of management plans and in day-to-day management activities of the making at all levels MPA." (p. 30, PERSGA/GEF 2002) SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Encourage and promote effective public, public-private and civil society "To engender within the local community a sense of partnership and commitment 17.1 partnerships, building on the experience and resourcing strategies of to the objectives of the MPA and its management activities." (p. 30, PERSGA/GEF 7 partnerships 2002) "To increase staff capacity in the planning, establishment and management of Capacity-Building: Enhance international support for implementing MPAs. To establish a regional group of MPA experts. To establish communication effective and targeted capacity-building in developing countries to support 17.9 networks and the exchange of information and experiences amongst MPAs in the national plans to implement all the sustainable development goals, Regional Network, and with regional networks in other parts of the world." (p. 29, including through North-South, South-South and triangular cooperation PERSGA/GEF 2002)

Sources and references 1 http://www.persga.org/inner.php?id=110 2 Regional Master Plan 2002 http://www.persga.org/Files//Common/MPA/3_MPAnetwork_MasterPlan.pdf PERSGA/GEF. 2002. The Red Sea and Gulf of Aden Regional Network of Marine Protected Areas. Regional Master Plan. PERSGA Technical Series No.1. PERSGA, Jeddah. 3 PERSGA 2005. Protocol Concerning the Conservation of Biological Diversity and the Establishment of a Network of Protected Areas the Red Sea and Gulf of Aden, 2005 4 PERSGA/GEF. 2004. Dungonab Bay–Mukawwar Island Proposed Marine Protected Area: Site-Specific Master Plan with Management Guidelines. PERSGA, Jeddah. 5 PERSGA 2003. Survey of the Proposed Marine Protected Area at Dungonab Bay and Mukkawar Island, Sudan. PERSGA, Jeddah. 6 PERSGA. 2010. The Status of Coral Reefs in the Red Sea and Gulf of Aden: 2009. PERSGA Technical Series Number 16, PERSGA, Jeddah. 7 http://www.persga.org/calender.php?id=174 8 http://www.persga.org/calender.php?id=76

Case Study 15. Marine Spatial Planning: Marine Bioregional Planning, Australia

Facts about the case study Case-specific entries Tool MSP (MPAs nested within) Australia Region Pacific: South West Marine bioregional planning was initiated in 2006, and in 2012 it delivered four Marine Bioregional Plans (MBPs) and forty new Australian Implementation status marine parks, which combined with existing marine parks form a national representative system of marine reserves covering approximately 36% of Australia's EEZ. Marine Bioregional plans are designed to support the implementation of decision making under the Environment Protection and Biodiversity Conservation Act 1999 (the EPBC Act). The plans were prepared under Section 176 of the EPBC Act and provide information for decision makers in relation to the protection of marine biodiversity and sustainable use of our oceans. They provide information on a number of matters of national environmental significance that are protected under the EPBC Act:

• world heritage properties • national heritage places • wetlands of international importance (listed under the Ramsar Convention) • listed threatened species (except those listed as extinct or conservation dependent) and ecological communities (except those listed as Governance vulnerable) Mechanisms • migratory species protected under international agreements • the Commonwealth marine environment • the Great Barrier Reef Marine Park • nuclear actions, including uranium mines.

Australian Marine Parks are managed under statutory management plans implemented by the Director of National Parks, a statutory entity under the EPBC Act. Was in place prior to process: Binding, legally enforceable instrument (law, ruling, policy or decision) Was put in place to support the process: Non-binding instrument (action plans, declarations or guidance) The EPBC Act provides for the creation of Marine Bioregional Plans under Section 176, for the purpose of supporting and informing decision- making regarding activities that impact on the marine environment. The environment minister must have regard to the Marine Bioregional What is the legal basis Plans when making decisions that relate to the EPBC Act. of the ABMT? The EPBC Act also enables the creation of Commonwealth marine reserves and sets out considerations and requirements for their management. The marine bioregional planning process and the creation of Australia's network of Australian marine parks was initiated and funded by the Australian Government and has involved extensive stakeholder consultation and expert input at key points over many years and successive Is there government Australian governments. support for the ABMT? There is a law/decree in place to promote ABMT. Financial resources have been allocated to all stages of ABMT by government. Clearly defined responsibilities have been given to authorities for ABMT planning and implementation

What is the institutional The environment department of the Australian Government (currently the Department of the Environment and Energy) is responsible for framework of the implementing the EPBC Act, including in Commonwealth marine areas (waters from 3 to 200 nautical miles from the Territorial Sea Baseline). ABMT? The management of Australian marine parks is the responsibility of the Director of National Parks, a statutory agent created by the EPBC Act. What type of Government department (Department of the Environment and Energy) organisation is the Lead National Government Entity? What policies are being The Bioregional plans and marine protected areas support efforts to 'ensure the marine environment remains healthy and resilient' [P. 5, 1], by implemented by the ensuring both conservation and the sustainable use of the marine environment and its resources. ABMT? The main objectives of the marine bioregional planning process are to set the following objectives for a region: - conserve biodiversity and maintain ecosystem health - ensure the recovery and protection of threatened species - improve understanding of the region's biodiversity and ecosystems and the pressures they face.

The marine bioregional plans contribute to these objectives by: - Supporting strategic, consistent and informed decision-making under Commonwealth environment legislation in relation to Commonwealth What are the primary marine areas. goals / objectives of the - Supporting efficient administration of the EPBC Act to promote the ecologically sustainable use of the marine environment and its resources. ABMT? - Providing a framework for strategic intervention and investment by government to meet policy objectives and statutory responsibilities [1] - establish a representative system of marine protected areas (marine parks)

The objectives of Australian marine parks are to: - protect and conserve biodiversity and other natural, cultural and heritage values of marine parks; and - ecologically sustainable use and enjoyment of the natural resources within marine parks where this is consistent with the protection and conservation of biodiversity and other values. Conserve or restore the health of marine ecosystem/s. Maximise the overall economic value of the marine ecosystem in a sustainable way;

What are the The management measures vary with each bioregion. There are currently four plans covering the North, North-west, South-west and management measures Temperate East marine regions. A bioregional profile was completed for the South-east region in 2015. Unlike marine bioregional plans the associated with the South-East Profile has not been made under s176 of the EPBC Act, but provides a useful source of information about the South-east marine ABMT? region that could inform decisions made under the EPBC Act. Each region has different conservation and sustainable resource use policies, and as a result the advice differs regionally. Actions include: - increasing the use of research to inform management decisions regarding the eight matters of national environmental significance (above). This can be facilitated through increased partnerships between research institutions and policymakers. - Establish a marine reserve network. - Build up and provide an evidence-based bank of information to support decision making. - Increase collaborations between conservation organisations, government agencies and industries that use the marine environment to increase awareness of anthropogenic pressures on conservation priorities of the Bioregion. - Improve monitoring and evaluation of ecosystem health. - Collaborate with international efforts to tackle the issues that feature within the conservation priorities in each Bioregion.

Australian marine parks are managed under statutory management plans which set out: - zone types within each marine park (consistent with IUCN zone categorisation) - prescriptions and rules that apply to different zone types, including access restrictions and conditions for activities within the marine parks - management programs of action to be undertaken during the life of the plans Both Marine Bioregional Plans and the Australian marine park management plans support cross-sectoral cooperation in the management of the marine environments. Partnership across sectors are a key element of the plans. Plans have also been developed through extensive Does the ABMT involve stakeholder consultation. Groups involved include: cross sectoral - marine Industries cooperation? - Recreational organisations - Conservation organisations - General public Which SDGs do the management measures 8.9, 11.4, 12.2, 13.1, 13.3, 14.1, 14.2, 14.3, 14.4, 14.5, 15.9, 16.7, 17.17 support? The focus of Bioregional Planning is on supporting an 'ecosystem-based approach at a 'landscape' scale' [P.3, 7]. The plans closely follow an ecosystem approach, targeting management strategies and actions with 'recognition and valuation of many essential and largely irreplaceable ecosystem services provided by the Australian marine environment' [P.2, 1]. The plans focus on addressing 'the drivers of biodiversity loss, Does the AMBT process rather than the symptoms' [P.4, 1]. This shows that the management of the marine environment is treated as an interconnected system in follow an ecosystem which people play an important role. approach?

The establishment of marine protected areas was based on the consolidation of biophysical, biogeographical data and human use and consideration of ecosystem structure and functions.

Does the ABMT process The planning process was grounded in best available scientific evidence. Scientists were consulted regarding the compilation of bioregional incorporate data and profiles, summarising the biophysical and socio-economic characteristics of each region. Key ecological features of interest were also evidence? identified by scientists for consideration as conservation priorities, and experts collected and analysed data concerning the health of these features. Science was also used to assess the pressures on the conservation features of interest, including undertaking Environmental Impact Assessments and Risk Assessments concerning anthropogenic impacts. The location and size of the marine parks were determined using a systematic conservation design approach that required a number of biological, physical and socio-economic datasets. Biological, physical and socio-economic datasets as outlined above. What type of data was used in the ABMT Biological / ecological information. Current human activity distribution. Future development/activities. Ecosystem goods and services/benefits. development process? Economic/valuation information. Governance information

Does the ABMT process Stakeholders have been extensively engaged at key points during the development of the Marine Bioregional Plans and Australian Marine include stakeholder Parks. Further, the EPBC Act also specifies how stakeholders should be consulted during the development of Australian marine park engagement? management plans. GIS was a core tool used in the process to collect additional information, examine scenarios and communicate outputs to stakeholders. [1] Does the ABMT use During the stakeholder consultation phase, the public were able to view GIS maps of a region that spatially identify the 'species distribution, spatial and/or scenario location of conservation values [and] spread and intensity of industries' [P.4, 6]. analysis to support Options for marine park networks were also explored spatially, using GIS-based tools to generate reports of the conservation and socio- decisions? economic performance under different configuration and zoning scenarios. A matrix was produced using best available scientific evidence to identify the severity of pressures on key protected species and ecological What decision-support species that fell within the spatial boundaries of the Bioregion as well as the distribution of cultural, social and economic uses. This provides a tools were used to summary to support decision-making regarding the placement of Marine Protected Areas and informing key considerations for decision support the planning makers. process? Optimisation or network tools. Impact & risk assessments The Marine Bioregional Plans focus on the spatial analysis and management of the Australian EEZ. There are currently four Bioregional Plans: South-west (2012), North-west (2012), North (2012), and Temperate East (2012). There is a Bioregional Profile for the South-east marine region (2015). What is the spatial focus of the ABMT? The marine parks are areas of the ocean proclaimed under federal environmental legislation as being managed for the primary purpose of biodiversity conservation and additional social, economic and cultural objectives. Marine parks cover approximately 3.3 million square kilometres of Australia's EEZ. Both marine bioregional planning and Australia's network of Australian marine parks deliver outcomes at a continental scale (whole of At what scale is the Australia). Both processes also deliver at the regional scale through decision making on activities within Australia's marine environment ABMT process (marine bioregional plans) and at the individual Australian marine park scale (there are a total of 58 Australian marine parks in waters around implemented? Australia). There is no set timeframe for the revision of the marine bioregional plans at this time. The actions suggested by the Plans range in timescale What is the timeframe from 'Immediate' actions that are expected to be implemented within 6-12 months, up to 'Long-term' actions that are estimated to be focused on for the implemented within 8-10 years [1]. management measures? Plans of management for the marine parks are statutory instruments that must be renewed every ten years once created. Does the ABMT include

an evaluation Plans of management for Australian marine parks include an evaluation framework that provides for reporting and review over the life of a framework, and if so, plan. what is the framework? Does the ABMT include performance Monitoring and evaluation frameworks regarding the effectiveness of the network of marine protected areas and their management draw on monitoring, and if so, 'scientific information from a range of sources'[4]. what is the framework?

What indicators are The monitoring and evaluation framework for Australian marine parks and their management is currently being developed, including indicators used in the monitoring of state and trend, and of management effectiveness. of the ABMT? Environmental indicators (e.g. water quality; habitat/species distribution). Economic indicators (e.g. fish catch; income trends) Social indicators (e.g. employment levels; conflict resolution)

Case study assessment Assessment questions Responses Barriers Enablers The plans provide a crucial background and scientific framework to support and frame the government's statutory responsibilities to enable the To what extent does achievement of the conservation and sustainable the legal basis of the The Marine Bioregional Plans are produced under Section 176 of the EPBC resource use objectives of the Plans for a particular ABMT support the Act 1999. The environment minister must have regard to Marine Bioregional bioregion. delivery of the ABMT Plans when making any decision to which the Plan is relevant. and associated The detailed plans support the implementation of policies? biodiversity conservation and sustainable resource use policies through the provision of advisory guidelines concerning anthropogenic activity.

To what extent does The Bioregional Plans are the responsibility of the Department of the the institutional Ministerial requirement for consideration of plans in Environment and Energy. This department of the Australian Government is framework associated environmental decision-making which enables responsible for implementing the EPBC Act in Commonwealth marine areas. with the ABMT consistency in plan implementation. In addition, the Minister responsible for the Environment "must have regard support the delivery of the ABMT and to the Marine Bioregional Plans in making any decision under the EPBC Act associated policies? to which the plans are relevant" [3]. Marine Bioregional Plans were prepared to improve the way decisions are The collation of information regarding a particular made about the protection of marine biodiversity and the sustainable use of Bioregion into one document provides a reference To what extent does our oceans. Information in Marine Bioregional Plans and supporting guide for future human activities taking place in the the ABMT support the information tools assist planning practitioners to undertake activities within area. This information empowers marine managers delivery of marine and a marine region to determine how to mitigate the potential environmental with the knowledge required to limit activities with coastal policies? impacts of their proposals and/or whether their proposals should be potentially adverse impacts, enabling them to work referred in accordance with the EPBC Act. towards biodiversity conservation goals. Transboundary cooperation is encouraged with regard to the wider management of conservation priorities that feature within the bioregional plans. The plans address biodiversity and conservation issues, as well as The Bioregional plans promote action on a larger encouraging sustainable resource use. One of the objectives of the scale to enable wider marine environmental To what extent does bioregional plans is to engage with and offer support to the wider protection. the ABMT promote international efforts and organisations that are working to resolve the transboundary issues that also fall under the Bioregional Plans. Consideration of issues across jurisdictions enables cooperation? coherent management within the region and The Marine Bioregional Planning ecosystem approach "requires government between regions. decision-makers to consider issues across jurisdictional, sectoral and disciplinary boundaries, so that actions are not considered in isolation from one another." [1] The Plans require collaboration between federal, state and local To what extent does The plans require and encourage multi-sectoral governments, as well as stakeholder bodies. The encouragement of multi- the ABMT process engagement, enabling due consideration of the sector stakeholder engagement is crucial in raising awareness and emphasise multi- needs of all parties and different levels of managing the cumulative pressures of anthropogenic activities on the sector engagement? government affected. marine environment.

To what extent does Bioregional planning information tools, such as the National Conservation the ABMT utilise an Atlas enable new information, collected through recovery planning iterative/adaptive processes, on Biologically Important Areas for species to be displayed and process? overlaid with other conservation values. To what extent does the funding/resources Federal government funding demonstrates a The Marine Bioregional Planning process was funded by the federal of the ABMT support commitment and willingness of government to government, driven by the Department of the Environment and Energy. its delivery and invest in bioregional planning into the future, thus associated policies? helping to support plan development and implementation. Stakeholder consultation was sought in order to help users of the area understand the impact that To what extent does their activities may have on the conservation stakeholder The marine bioregional plans and supporting information tools assist people priorities of the Bioregion. engagement support planning to undertake activities within a marine region to determine how to

the effective delivery mitigate the potential environmental impacts of their proposals and/or Statutory consultations on draft plans enabled of the ABMT and whether their proposals should be referred in accordance with the EPBC Act. inclusion and fair involvement of a wide range of associated policies? stakeholders and their views, thus helping to ensure stakeholder buy-in. The environment department (currently the Department of the Environment and Energy) maintains a suite of interactive tools that allows users to search, find and generate reports on information and data describing The bioregional profiles were supported by strong To what extent did matters of national environmental significance and other conservation scientific data and research. This meant that they data provision support values in the marine environment. The Conservation Values Atlas is were deemed to be a reliable account of the the delivery of the designed to provide a visual representation of conservation values in each condition of the marine environment on which to ABMT? marine region. It shows the location and spatial extent of conservation base management decisions. values (where sufficient information exists) and is available at www.environment.gov.au/cva.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all The Plans identify conservation features that could be sensitive to the development of tourist activities in certain areas. The Plans form a thorough guide to the potential By 2030, devise and implement policies to promote sustainable 8.9 impacts that tourist activities could have on particular species and habitats and should tourism that creates jobs and promotes local culture and products be consulted as part of the 'Referral of Proposed Action' when undertaking sustainable tourism in a Bioregional area.

SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable The Plans apply to the eight matters of national environmental significance, one of which is natural heritage. "Under the EPBC Act actions that have or are likely to have a Strengthen efforts to protect and safeguard the world’s cultural and 11.4 natural heritage significant impact on matters of national environmental significance require approval by the environment minister" [P.3, 1].

SDG 12: Ensure sustainable consumption and production patterns The Plans are designed to "Support efficient administration of the EPBC Act to promote By 2030, achieve the sustainable management and efficient use of 12.2 natural resources the ecologically sustainable use of the marine environment and its resources" [3].

SDG 13: Take urgent action to combat climate change and its impacts "Ensure that management arrangements for the reserves minimise, where appropriate, Strengthen resilience and adaptive capacity to climate related 13.1 the risk and impacts of pressures rated as being of concern or of potential concern in hazards and natural disasters in all countries the South-west Marine Region" (P.51, [1])

"Support research to improve information on the impacts of climate change on Improve education, awareness-raising and human and institutional 13.3 capacity on climate change mitigation, adaptation, impact reduction protected species and key ecological features; in particular, their vulnerability and and early warning adaptive capacity to predicted changes" (p. 50, [1])

SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, "Improving knowledge on the impact of marine pollution is listed as an action in the 14.1 in particular from land-based activities, including marine debris and South-west Plan." (p.50, [1]) nutrient pollution By 2020, sustainably manage and protect marine and coastal The Plans advocate for the establishment of Marine Reserves in order to sustainably ecosystems to avoid significant adverse impacts including by 14.2 strengthening their resilience, and take action for their restoration in manage marine ecosystems and increase resilience to climate change. order to achieve healthy and productive oceans "Support research to improve information on the impacts of climate change on Minimize and address the impacts of ocean acidification, including 14.3 protected species and key ecological features; in particular, their vulnerability and through enhanced scientific cooperation at all levels adaptive capacity to predicted changes" (p. 50, [1])

By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices The Marine Bioregional Plans are science-based, with the aim of supporting the and implement science-based management plans, in order to restore 14.4 ecologically-sustainable use of Australia's marine resources, in line with the fish stocks in the shortest time feasible, at least to levels that can requirements of the EPBC 1999. produce maximum sustainable yield as determined by their biological characteristics Strategy B in the South-west Bioregional Plan states that an action should be to By 2020, conserve at least 10 per cent of coastal and marine areas, "Establish and manage a south-west Commonwealth marine reserve network in the 14.5 consistent with national and international law and based on the best South-west Marine Region as part of the national representative system of marine available scientific information protected areas" [P.51, 1].

SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss Bioregional plans include identification of terrestrial pressures on the marine By 2020, integrate ecosystem and biodiversity values into national environment. Sustainable management of these terrestrial systems will reduce the 15.9 and local planning, development processes, poverty reduction impacts on the marine environment and reduce terrestrial degradation. The plans strategies and accounts identify national and local legislation.

SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all In order to be effective, the Marine Bioregional Plans require collaboration between Ensure responsive, inclusive, participatory and representative 16.7 decision-making at all levels federal, state and local governments, as well as stakeholder bodies.

SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Encourage and promote effective public, public-private and civil The plans encourage partnerships in order to facilitate long term implementation of the 17.1 society partnerships, building on the experience and resourcing 7 plan and integration with decision making. strategies of partnerships

Sources and references 1 SW Marine Bioregional Plan http://www.environment.gov.au/topics/marine/marine-bioregional-plans/south-west 2 EPBC 1999 FAQ Factsheet http://www.environment.gov.au/epbc/publications/factsheet-epbc-act-frequently-asked-questions 3 Australian Government Marine Bioregional Plans http://www.environment.gov.au/marine/marine-bioregional-plans website 4 Marine Spatial Planning Programme: Bioregions http://msp.ioc-unesco.org/world-applications/oceania/australia/bioregions/ 5 Vince, 2013 https://www.researchgate.net/publication/257162970_Marine_bioregional_plans_and_implementation_issue s_Australia%27s_oceans_policy_process?enrichId=rgreq-90e604faba8db5cb9ae6e051710edbb2- XXX&enrichSource=Y292ZXJQYWdlOzI1NzE2Mjk3MDtBUzoxMDM5MzQzMzcyMjQ3MDlAMTQwMTc5MTI4N TY1NQ%3D%3D&el=1_x_3&_esc=publicationCoverPdf 6 Marine Bioregional Planning overview https://www.environment.gov.au/system/files/resources/5aa4ff80-e0d7-4ec8-8e39- d58e9352eeeb/files/mbp-brochure.pdf 7 Australia's Marine Bioregional Planning - possible https://www.bfn.de/fileadmin/ABS/presentation7.pdf lessons for areas beyond national jurisdiction 8 Marine Spatial Planning Programme: World http://msp.ioc-unesco.org/world-applications/ Applications 9 Marine Bioregional Planning Information Sheet http://155.187.2.69/coasts/mbp/publications/pubs/mbp.pdf 1 Barr and Possingham, 2013 http://www.sciencedirect.com/science/article/pii/S0308597X13000213 0 1 Australia’s Report to the Convention on Biological https://www.cbd.int/doc/world/au/au-nr-vmc-en.pdf 1 Diversity on the Implementation of the Program of Work on Marine and Coastal Biodiversity 1 EPBC Act (1999) https://www.legislation.gov.au/Details/C2016C00777 2

Case Study 16. Marine Spatial Planning: Pacific North Coast Integrated Management Area (PNCIMA)

Facts about the case study Case-specific entries Tool Integrated Management Planning (Marine Spatial Planning) The Pacific North Coast Integrated Management Area (PNCIMA) is located on the Pacific North coast of British Columbia, Canada and Region encompasses approximately 102,000 km2 of marine area. The PNCIMA marine planning process began in 2009. The PNCIMA plan was signed by partners in February 2017 and implementation began in Implementation status the months following. [4] "In 2008, the PNCIMA Collaborative Oceans Governance MoU was signed by the Department of Fisheries and Oceans Canada on behalf of the Government of Canada, The Coastal First Nations and the North Coast Skeena First Nations Stewardship Society. [3] In 2010 the Province of British Columbia signed onto the PNCIMA Collaborative Oceans Governance MoU, effectively changing the 2008 MoU from a bilateral to a trilateral agreement. [3] The MoU established a governance framework for marine use planning in PNCIMA that engaged federal, provincial and First Nations governments through a collaborative governance approach. Governance The Pacific North Coast Integrated Management Area (PNCIMA) Plan was subsequently developed and signed by the Department of Fisheries Mechanisms and Oceans Canada, coastal First Nations and the Province of British Columbia on behalf of all partners in early 2017. [4] The Plan is a high level strategic document that provides direction on and commitment to integrated, ecosystem-based and adaptive management of marine activities and resources in the planning area. One of the five priorities identified in the PNCIMA Plan is to establish governance arrangements for plan implementation. Work to establish effective governance for Plan implementation began in 2017. The primary legal basis supporting marine spatial planning in Canada is the Oceans Act (1997). In 2002, the northern half of Canada's Pacific coast was identified as an important area for planning - a Large Ocean Management Area (LOMA). [3] Canada's Oceans Strategy provides a specific policy direction for implementing the Oceans Act based on principles of sustainable development, integrated management and the precautionary approach. In 2004 a Memorandum of Understanding (MoU) respecting the implementation of Canada's Oceans Strategy on the Pacific Coast of Canada was signed by the Department of Fisheries and Oceans Canada (on behalf of the government of Canada,) and the Ministry of Agriculture (on behalf of Government of British Columbia). [3] What is the legal basis In addition to marine planning legislation, Section 35 of the Canadian Constitution Act (1982) recognizes and affirms the existing rights and of the ABMT? treaty rights of Canada’s Indigenous First Nations populations. Various First Nations assert indigenous titles and rights, including ownership, jurisdiction and management over the lands, water and resources, including marine spaces, throughout First Nations Territories in the PNCIMA area [3]. The Ecosystem-Based Management approach established in the PNCIMA Plan respects indigenous rights, titles and treaty rights. Canada also has various existing obligations under international Agreements and Conventions, including general obligations under UNCLOS. While the PNCIMA Plan and governance mechanisms are grounded in Canada's Oceans Act (1997) and other legal obligations, the Plan itself is not legally binding and does not create enforceable rights between Canada, British Columbia, and First Nations. The PNCIMA Plan does not establish new regulatory framework, restrict existing legislative authorities, fetter ministerial discretion, or fetter or restrict authorities or decisions of the First Nations. Canada's Oceans Act (1997) provides the foundation for government support of the PNCIMA initiative by outlining the responsibilities of the Minister of Fisheries and Oceans with respect to Canada's Oceans Strategy (sections 29-30) and integrated management plans (sections 31- 32). The Minister of Fisheries and Oceans is mandated to "…lead and facilitate the development and implementation of plans for the integrated management of all activities or measures in or affecting estuaries, coastal waters and marine waters..." (Part II, par 29, [5]). Is there government In 2004, a MoU respecting the implementation of Canada's Oceans Strategy on the Pacific Coast of Canada was signed by the Department of support for the ABMT? Fisheries and Oceans Canada (on behalf of government of Canada,) and the Ministry of Agriculture (on behalf of Government of British Columbia). [3] The PNCIMA Collaborative Oceans Governance Memorandum of Understanding (MoU) was signed by federal and First Nations governments in 2008 and signed by the provincial government in 2010, thus demonstrating their willingness to cooperate trilaterally for marine planning in PNCIMA. It was through this MoU that governments led the development of a marine plan for PNCIMA. [3] The PNCIMA plan operates within a multi-jurisdictional context of management and regulation of ocean use, and respects existing legal and administrative jurisdictions. For example, First Nations have laws, customs and traditions for the protection, management and stewardship of marine areas within PNCIMA. In British Columbia, municipalities are established by the provincial legislature and some authority over land use planning and zoning has been delegated to local governments. Municipal level bylaws and zoning regulations govern coastal activities of 14 incorporated and 17 unincorporated coastal communities within PNCIMA. (p.9, [3])

Under the Collaborative Governance MoU (2008), the planning process was led by the PNCIMA Steering Committee, comprised of First What is the institutional Nations, federal and provincial government representatives, and provided strategic direction for the development of an integrated management framework of the plan [3]. First Nations party to the Collaborative Governance MoU coordinated their participation in the PNCIMA Steering Committee through a ABMT? First Nations Governance Committee. [3]

The Integrated Oceans Advisory Committee (IOAC) was established to provide guidance on the planning process, its outputs and the implementation of the integrated management plan. In addition, First Nations, federal and provincial technical staff worked together in a Planning Office which supported the Steering Committee and the IOAC.

The implementation of the PNCIMA Plan is the shared responsibility of all signatories to the planning process and will be undertaken within existing programmes and resources, where possible (p.v, [3]). Under the Collaborative Governance MoU, the planning process was co-managed by the PNCIMA Steering Committee which is comprised of What type of representatives of First Nations, federal (Fisheries and Oceans Canada on behalf of the Government of Canada) and provincial (Ministry of organisation is the Lead Forests, Lands, Natural Resource Operations on behalf the Province of British Columbia) governments [3]. This tripartite governance structure Entity? has strengthened relationships among federal, provincial, and Indigenous partners throughout the planning process. The PNCIMA Plan sets out strategies relating to ecological integrity (e.g., fisheries sustainability, conservation, habitat protection), human well- What policies are being being (e.g., marine-based economic development), collaboration and integrated governance (e.g., inclusive and coordinated approach), and implemented by the improved understanding of the area (e.g., monitoring and enforcement). ABMT? Due to the strategic nature of the PNCIMA initiative, the Plan does not make commitments to new action, but rather sets a broad ecosystem context that can inform and guide existing complementary work. Many other marine-based planning processes are under way at various scales (e.g. community, provincial) both within and adjacent to PNCIMA. Government departments and agencies can use their regulatory authorities and powers to fulfil or contribute to the objectives and management strategies contained in the plan. The intended role of the PNCIMA plan is to provide an overarching marine EBM framework that is available to guide marine planning and management at these other scales [3, 4] and support a more integrated and coordinated approach to implementing existing policy. Under the Oceans Act, the purpose of the PNCIMA planning process is to ensure sustainable human use and conserve ecological diversity of the marine area [4].

The PNCIMA Plan sets out an ecosystem-based management (EBM) framework, the purpose of which is to achieve 4 main goals: • integrity of the marine ecosystems in PNCIMA, primarily with respect to their structure, function and resilience • human well-being supported through societal, economic, spiritual and cultural connections to marine ecosystems in PNCIMA • collaborative, effective, transparent and integrated governance, management and public engagement • improved understanding of complex marine ecosystems and changing marine environments

What are the primary For each of the goals, the plan sets out a number of objectives and specific strategies for their achievement. A detailed list of these can be goals / objectives of the found in the PNCIMA Plan (p.38, [3]). Above all, the ABMT? EBM framework seeks to ensure that relationships between ecosystem and human use objectives are recognized and reflected in future management decisions.

In addition, the PNCIMA Plan identifies 5 priorities, that address many of the EBM strategies and will be the focus of plan implementation: • governance arrangements for implementation • marine protected area network planning • monitoring and adaptive management • integrated economic opportunities • tools to support plan implementation Due to the strategic nature of the PNCIMA initiative, the PNCIMA Plan does not provide management measures, but rather sets a broad What are the ecosystem context that can inform and guide existing complementary work. Many other marine-based planning processes are under way at management measures various scales (e.g. community, provincial) both within and adjacent to PNCIMA. Government departments and agencies can use their associated with the regulatory authorities and powers to fulfil or contribute to the objectives and management strategies contained in the plan. The intended role ABMT? of the PNCIMA plan is to provide an overarching marine Ecosystem-Based Management framework that is available to guide marine planning and management at these other scales [3, 4] and support a more integrated and coordinated approach to implementing existing policy. Cross-sectoral cooperation was a key aspect of the PNCIMA planning process and was facilitated through the Integrated Oceans Advisory Does the ABMT involve Committee (IOAC) - a multi-stakeholder advisory Committee established to provide guidance on the planning process, its outputs and the cross sectoral implementation of the integrated management plan. Sectors represented in the IOAC include: aquaculture, commercial fisheries, conservation, cooperation? local government, marine transportation, non-renewable energy, recreation, recreational fisheries, renewable energy, and tourism. [3] Which SDGs do the management measures 1.4, 2.1, 8.1, 8.3, 8.5, 11.2, 11.4, 12.2, 13.1, 13.2, 14.1, 14.2, 14.5, 14.b, 14.c, 15.9, 16.7, 17.7, 17.16. support? Does the AMBT process The PNCIMA Plan is centred around a framework for ecosystem-based management, including assumptions, principles, goals, objectives and follow an ecosystem strategies. The framework is broadly applicable to a range of stakeholders including decision-makers, regulators, community members and approach? resource users. [3] Data collection was conducted between 2007 and 2012 and reflects the best available information during that period [3]. Key ecological, socioeconomic, and cultural information was assembled and studied prior to and during the PNCIMA planning process to inform planning (e.g., "Ecosystem Overview: Pacific North Coast Integrated Management Area" and "Socio-Economic and Cultural Overview and Assessment Report for the Pacific North Coast Integrated Management Area") [3].

In addition, one of the principles established for PNCIMA is "the EBM approach is based on science and on wise counsel. It aims to integrate Does the ABMT process the best available scientific knowledge and information with traditional, intergenerational and local knowledge of ecological and social incorporate data and systems and adapt it as required." evidence?

Data and evidence will play a crucial role throughout PNCIMA plan implementation. For example, data and evidence are key elements of the following objectives and strategies of the EBM Framework: updating spatial and analytical information related to marine ecosystems (strategy 1.1.3), updating knowledge regarding natural resource systems (strategy 2.5.3), promoting information sharing (objective 4.1), using data, knowledge, and analyses to inform and adapt management decisions (strategies 2.2.1, 2.4.3, objective 4.2, 4.4), and aligning research priorities with management objectives (objective 4.3). Data in the form of reports, analyses, and maps were used extensively to support the development of the PNCIMA initiative (see PNCIMA Plan, What type of data was Appendix 2: Supporting documents). For example, the Atlas of the Pacific North Coast Integrated Management Area (2011) includes extensive used in the ABMT ecological, community, and human use data in the form of text and 63 maps. In addition, the Socio-Economic and Cultural Overview and development process? Assessment Report for the PNCIMA combined with other scientific and socioeconomic studies contributed to an in-depth understanding of the marine environment and human use in the PNCIMA planning area. Stakeholder engagement was critical to the development of the PNCIMA Plan and its importance is emphasized in the PNCIMA Plan Ecosystem-Based Management Principle #6: The EBM approach is equitable, collaborative, inclusive and participatory. Engagement in Plan development involved a variety of tools and mechanisms such as, meetings and workshops, website and written submissions, the creation of Sub-Regional Advisory Forums, utilisation of existing advisory process and the establishment of the Integrated Oceans Advisory Committee Does the ABMT process (IOAC). [3] include stakeholder engagement? The IOAC was established as a multi-sector advisory body to provide guidance on the planning process, its outputs and the implementation of the integrated management plan. The IOAC consisted of participants from industry, regional districts, recreational groups, environmental non- governmental organizations and other interested parties. First Nations, federal and provincial governments participated as ex-officio members in order to provide feedback on IOAC discussions. [3]

The process engaged stakeholders further via the sharing of a draft management plan for consultation with stakeholders and the public. Consultation was facilitated via a series of community open houses, during which the public could make comment. [2] Spatial data contained in the Atlas of the PNCIMA (2011) and other scientific studies supported plan development, however due to the high level, strategic nature of the PNCIMA Plan, spatial and scenario analyses were not used directly to develop the EBM Framework. The EBM Framework does however include four strategies (1.1.3, 2.2.2, 4.3.1, 4.3.2) that explicitly focus on updating and enhancing existing spatial information and/or analytical tools to improve the understanding of marine ecosystems and human use and well-being. Does the ABMT use spatial and/or scenario The PNCIMA Plan is forward-looking and visionary in nature. In addition to outlining goals, objectives, and high level strategies for the area, the analysis to support PNCIMA Plan states that establishment of effective governance arrangements is a key priority for plan implementation. Marine Protected Area decisions? Network Planning, another one of the immediate priorities for PNCIMA implementation, is currently being advanced in the region and makes use of spatial optimization and collaborative spatial decision-support tools such as Marxan, Seasketch, and a structured decision making (SDM) framework. These tools will be used to evaluate potential network configurations and provide a recommended MPA Network and network action plan for the Northern Shelf Bioregion. The next steps for PNCIMA implementation will build on these two implementation priorities and may include the development of a comprehensive marine spatial plan for the area. While decision-support tools were not used directly to develop the EBM Framework of the PNCIMA Plan, a pilot ecological risk assessment framework was developed concurrently by Fisheries and Oceans Canada (2012). Spatial data contained in the Atlas of the PNCIMA (2011) and other geographic information systems (GIS) data also supported the public engagement process during development of the PNCIMA Plan.

What decision-support The pilot ecological risk assessment framework tool may be used in PNCIMA implementation and assists in identifying ecological components tools were used to at greatest risk from human activities. This tool has also been tested through applications to additional areas in the Pacific Region (e.g., support the planning SGaan Kinghlas-Bowie Seamount Marine Protected Area). process? Implementation of the PNCIMA Plan also focuses on developing tools for mitigating negative cumulative effects (e.g., modelling and cumulative effects assessment tool or framework). These efforts may build on a regional framework for assessing cumulative effects within the region that was developed by community and regional programmes of the Marine Plan Partnership (MaPP), an initiative of the Province of British Columbia and First Nations. The PNCIMA encompasses around 102,000km2 of ocean area, covering about two thirds of the British Columbia coast. PNCIMA boundaries What is the spatial extend from the base of the continental shelf slope in the west to the coastal watershed in the east, and North to South, extends from the focus of the ABMT? Canada-US border of Alaska to Brooks Peninsula on northwest Vancouver Island and to Quadra Island in the south. [3] Due to the large size of the area, sub-national management will be necessary, requiring collaboration between federal, provincial and First Nations governments in the implementation of the PNCIMA plan. The goals, objectives, and strategies outlined in the EBM Framework are At what scale is the applicable to the entire planning area, however, the way in which specific management measures are applied will vary across temporal and ABMT process spatial scales. This concept is expressed in the PNCIMA Plan EBM Principle #8, which states, "the EBM approach is area-based. Management implemented? measures are amenable to the area in which they are applied; they are implemented at the temporal or spatial scales required to address the issue and according to ecological rather than political boundaries." The emphasis of the PNCIMA Plan on adaptive management highlights the importance of establishing mechanisms for modifying management measures to fit local conditions.

Related planning processes have developed plans and management tools at multiple scales. For example, the Marine Plan Partnership (MaPP), an initiative of provincial and First Nation governments, shares the same footprint as PNCIMA and both draws from, and builds on, the PNCIMA plan. MaPP adopted the EBM framework of the PNCIMA Plan. MaPP marine use plans provide more operational management direction for marine uses, focusing on nearshore and foreshore areas.

Work planning for PNCIMA implementation will recognize work that is ongoing at different scales and respect the jurisdictional authorities of each party. While some aspects of PNCIMA implementation will occur at local spatial scales, the integrated nature of the EBM framework emphasizes that PNCIMA implementation is a shared responsibility of all parties to the PNCIMA initiative. What is the timeframe focused on for the The PNCIMA Plan does not explicitly note dates for targets, but rather indicates whether management strategies are associated with ongoing, management short term, or long term timelines. The PNCIMA Plan also identifies five priorities for short-term implementation. [3] measures? The PNCIMA Plan states that an essential component of plan implementation will be the development of a performance evaluation that will assess both outcomes (i.e., are the EBM goals, objectives, and strategies being achieved?) and processes (i.e., are management processes Does the ABMT include effective?). an evaluation framework, and if so, The PNCIMA Plan will undergo a formal review every five years to assess progress made towards the implementation of objectives and what is the framework? strategies. Less formal evaluations will be conducted at regular intervals to assess short-term progress on the implementation of strategies. Mechanisms for evaluation may include the use of external specialists or reviewers and the production of regular reports that describe annual progress and achievements (p.54, [3]). Does the ABMT include performance The PNCIMA Plan was endorsed in 2017 and as such implementation remains in its infancy. Indicators will be developed to monitor and monitoring, and if so, evaluate plan outcomes, and comprehensive reviews will be undertaken to assess progress in achieving EBM goals and objectives. [3] what is the framework? An essential component of plan implementation will be the development of a suite of indicators to assess plan outcomes or performance What indicators are against EBM goals, objectives and strategies [4]. Development of a performance monitoring program for the PNCIMA Plan may draw on used in the monitoring existing indicators established through related planning processes. For example, community and regional programmes have empowered of the ABMT? locals and enabled identification of indicators for monitoring EBM and assessing cumulative effects within the region (e.g., Marine Plan Partnership; Environmental Stewardship Initiative).

Case study assessment Assessment Responses Barriers Enablers questions To what extent does Canada's Oceans Act (1997) provides legislative authority for the The jurisdictional complexity The Oceans Act sets out a legislative the legal basis of the Minister of Fisheries and Oceans, in collaboration with other resulting from many parties having basis for integrated marine ABMT support the parties, to lead and facilitate the development and multiple accountabilities within the management and has therefore delivery of the ABMT implementation of integrated management plans in estuarine, same planning area results in facilitated the development of the and associated coastal, and marine waters. However, compliance with the collaborative processes being very PNCIMA plan to comply with this. policies? PNCIMA Plan and other plans developed in this legislative time consuming. Coordinating Planning for the PNCIMA was enabled context, is not legally required. The degree to which the PNCIMA diverse mandates, priorities, and by the identification of the area as a Plan is adhered to will depend on each party's (jurisdiction) views within and among partner priority large ocean management area willingness. agencies may hinder the (LOMA) for action. Recently proposed implementation of PNCIMA. amendments to Oceans Act, currently The establishment of the PNCIMA Collaborative Oceans within Canada's parliamentary process, Governance MoU (2008) provided a collaborative governance The complex and potentially would require the Minister to take a framework for marine use planning that engages federal, fragmented nature of legislation precautionary approach when deciding provincial and First Nations governments. The MoU is an relevant to the PNCIMA initiative to establish a marine protected area example of a proactive approach to collaborative governance on may be a barrier to efficient under this act. This provision would the west coast of Canada and inherently undertakes to represent implementation of the PNCIMA align with the principle of taking a stakeholder needs at all levels of government. (p.7, [3]) Plan. For example, management of precautionary approach to marine uses occurs within diverse management, as outlined in the The PNCIMA plan notes that the establishment of the MoU has regulatory frameworks at both the PNCIMA Plan. resulted in: federal (e.g., Oceans Act, Fisheries • the sharing and integration of information and knowledge Act, Navigation Protection Act) and The Protected Areas of British Columbia across the three levels of government and stakeholders to provincial (e.g., Land Act, Protected Act and the Land Act are key pieces of support the development of the plan; Areas of British Columbia Act) provincial legislation that may facilitate • the achievement of consistency in concepts and outcomes levels. Currently there is no legal implementation of the PNCIMA Plan. across marine planning initiatives within PNCIMA; framework that explicitly links • the establishment of enhanced opportunities for First Nations these legislative tools in the The Collaborative Oceans Governance to collaborate and engage meaningfully in integrated oceans context of integrated management. MoU enabled communication and planning; collaboration between different levels • the strengthening of relationships between federal, provincial The administrative structures of of government, resulting in a plan that and First Nations governments; the institutions involved PNCIMA is respectful of existing governance • the opportunity for stakeholders to engage in the development can potentially pose a barrier to arrangements. The MoU also enabled of the marine plan; and implementation. For example, the strengthening of relationships • the identification of information and policy gaps that may within the Province of British between the three levels of government require further work and coordination to enable effective Columbia, accountabilities for facilitating a truly collaborative implementation of the plan. marine activities occur across approach. several ministries, such as Forests, Lands, Natural Resource PNCIMA Stakeholders have also been Operations & Rural Development; engaged in the planning process Environment & Climate Change through the Collaborative Ocean Strategy; and Transportation and Governance MoU, enabling decision- Infrastructure. The same can be makers to note and consider said at the federal level, as multiple stakeholder needs. departments have responsibilities within the marine area. This MoU is currently being revised and renewed as per the stated priority to establish governance arrangements for implementation of the Plan. This will ensure effective governance structures are in place to support further Plan implementation. The PNCIMA Steering Committee, comprised of representatives from First Nations, federal and provincial governments, provided strategic direction for the PNCIMA initiative that was in line with the obligations, needs and requirements for marine planning, By encompassing the authorities and sustainable use and conservation among each of the mandates of Canada, the Province of governments. British Columbia and First Nations in

the initiative, the planning has enabled The Integrated Oceans Advisory Committee (IOAC) provided continued support from parties, and all advice and recommendations to the Steering Committee based The Plan relies upon existing, To what extent does parties’ authoritative rights have been on multi-sector and multi-stakeholder input which helped to sector-specific regulatory the institutional respected and as a result, all parties will framework ensure that policies and measures developed under the PNCIMA frameworks. Because of the benefit. associated with the plan were representative of all parties and respectful of local fragmented nature of multiple

ABMT support the needs. regulatory frameworks, this may The PNCIMA initiative enabled First delivery of the ABMT limit its ability to adapt adequately Nations to integrate their interests into and associated The PNCIMA Plan does not establish a new regulatory framework and effectively manage changing ocean-related governance mechanisms. policies? or restrict existing legislative authorities, and implementation will issues in the PNCIMA area.

take place within existing programmes and resources, where The IOAC, as part of the institutional possible, and may ultimately lead to the identification of new arrangement, facilitates multi-sectoral work which will be implemented as resources permit. (p.6, [3]) discussions and considerations in

marine planning for the area. The overlap of jurisdiction and management authority on the sea surface, water column and seabed necessitates a concerted effort by First Nations, federal, provincial and local governments to achieve mutually desired and priority goals for PNCIMA. (p.7, [3])

One of the key priorities for the PNCIMA initiative is to maintain and support an ongoing governance arrangement that is flexible enough to address implementation needs as they arise and that can maintain the momentum built throughout the plan's development. [4] The PNCIMA Plan is in the initial stages of implementation, and as such it is difficult to assess the extent to which it will support the delivery of marine and coastal policies.

The intended role of the PNCIMA plan is to provide an overarching marine Ecosystem-Based Management framework that is available to guide marine planning and management at other scales (e.g., local or regional processes). The PNCIMA process does not supersede existing legislation or the ability of the federal or provincial governments to carry out their regulatory It is anticipated that the inclusive The PNCIMA Plan is not legally activities. However, in implementing the plan, government structure of the Area-Based To what extent does binding and therefore relies upon the ABMT support departments and agencies can use their regulatory authorities Management Tool (ABMT) will ensure general obligations under existing the delivery of and powers to fulfil or contribute to the objectives and that marine and coastal policies legislation and the continued marine and coastal management strategies contained in the plan. regarding First Nations access and commitment of partners in policies? rights are implemented in a coordinated implementing the plan. For example, the Marine Plan Partnership (MaPP) for the North and meaningful way. Pacific Coast, an initiative of provincial and First Nation governments, adopted the EBM framework established through the PNCIMA initiative. MaPP partners worked with local governments, stakeholders and the public to develop objectives and strategies for a range of topics and detailed sub–regional spatial plans that inform the development, use and protection of marine spaces throughout the area. The MaPP marine use plans provide more operational management direction for marine uses, focusing on nearshore and foreshore areas. To what extent does The PNCIMA Plan encompasses a large proportion of the Pacific The lack of a provision for the ABMT promote North Coast of British Columbia up to Alaska, however the plan cooperation with the US could transboundary does not set out any requirement for transboundary cooperation potentially hinder the effectiveness cooperation? with the U.S. of the plan as activities occurring in Alaska may impact upon the Within the PNCIMA boundary, there are a number of area. administrative boundaries for municipalities, provinces and First Nations, some of which have existing marine use plans. The PNCIMA process was designed to engage different authorities throughout the area through the Steering Committee, IOAC and other mechanisms such as public meetings and as such, is facilitating cooperation across administrative boundaries. The Integrated Oceans Advisory Committee (IOAC) was The process enabled multi-sectoral established as a multi-sectoral advisory body to provide advice engagement through the creation of a and recommendations to the Steering Committee based on multi- specialised body with the explicit sector and multi-stakeholder input. Consequently, the planning purpose of multi-sectoral engagement process required and was driven by multi-sectoral input from the and communicating the results of that IOAC. engagement.

In addition to the IOAC, stakeholders, communities, and the The IOAC can provide advice directly to general public were engaged in development of the PNCIMA Plan the PNCIMA Steering Committee, thus through a variety of mechanisms, including meetings and The IOAC provides an advisory role enabling decision makers to consider workshops, the PNCIMA website and written submissions, other only, and as such the Steering the needs of different sectors in advisory processes, and sub-regional advisory forums. Committee is not obligated to planning. To what extent does follow advice given. the ABMT process Several objectives within the PNCIMA Plan highlight how multi- PNCIMA's commitment to public emphasise multi- sector engagement will be a key factor in achieving the goals of Due to the diversity of planning engagement and creating an inclusive sector engagement? PNCIMA. That is, providing opportunities for diverse involvement processes in this region, capacity approach to management results in in management, planning, and advisory processes (Objective limitations of sectors to engage in additional avenues whereby sectors can 3.2), fostering an inclusive approach to management (Objective PNCIMA may hinder its be involved in management and 3.5), promoting information sharing (Strategy 2.4.2, Objective implementation. planning, other than through the IOAC 4.1), and improving public understanding (Objective 4.5) are all (e.g., participation in sub-regional ways that PNCIMA emphasizes multi-sector engagement. advisory forums).

As PNCIMA moves forward with plan implementation, the priority Planning continuity and having shared to establish governance arrangements for implementation perspectives among sectors are also identifies next steps, including, "facilitating the accessibility to enabled by the fact that multiple and exchange of environmental and socio-economic data among sectors that are engaged with PNCIMA First Nations, federal and provincial agencies, coastal are also engaged in related planning communities and marine user groups." processes at other local and regional scales. The PNCIMA initiative emphasizes the use of an iterative/adaptive process in two ways: 1. to achieve the goals of the EBM Framework and 2. to ensure effectiveness of the PNCIMA initiative itself.

One of the fundamental principles identified for EBM in PNCIMA is that of adaptive management, whereby the design of the process permits and supports evolution and will be monitored Inclusion of a guiding principle and and evaluated to support shared learning and adaptation through management objective of adaptive adaptive management [4]. Objective 4.4 also reflects this management in the PNCIMA Plan Capacity limitations of federal, To what extent does adaptive approach: Adapt ocean management to respond to new indicate that the Plan has been provincial and First Nation the ABMT utilise an information and knowledge. designed specifically with adaptability partners, as well as sectors may iterative/adaptive in mind. influence the timelines associated process? As PNCIMA moves forward with plan implementation, one of the with iterative/adaptive processes. five short-term priorities is to create a Monitoring and Adaptive The PNCIMA Plan requires a 5 year Management Framework to evaluate whether the goals and review which enables the plan to objectives of the PNCIMA plan are being achieved. implement an adaptive review process.

To ensure effectiveness of the PNCIMA initiative, the Plan will be formally reviewed every 5 years and states that findings from performance evaluations, along with emerging management needs and priorities will be considered and, where appropriate, will be incorporated into implementation so that the plan reflects changing circumstances and conditions as they arise. [3] Successful implementation of all elements of the PNCIMA Plan The plan priorities and strategies To what extent does will rely heavily on sufficient federal, provincial, and First Nation Partners have acknowledged capacity the will be implemented through capacity. Federal funding was limited in recent years, however, limitations for PNCIMA implementation funding/resources of existing authorities and new resources under Canada's Ocean Protection Plan and Marine and as a result, this may encourage the ABMT support its organisations, some of which may Conservation Targets initiative will support delivery of some implementation of the most important delivery and not have the financial and resource PNCIMA priorities, such as Marine Protected Area Network Plan elements. associated policies? capacity to do so. planning. To what extent does The IOAC (est. 2010) provided advice and recommendations to Capacity limitations of federal, The plan was open for public review, stakeholder the PNCIMA Steering Committee throughout the planning provincial and First Nation allowing for local stakeholders to engagement support process and outcomes of the steering Committee review were partners, as well as stakeholders participate in marine planning. the effective delivery shared with the IOAC. This provided the opportunity to resolve may influence stakeholder of the ABMT and differences by consensus which therefore generated and engagement processes, as The IOAC provided a forum through associated policies? sustained broad support across participating sectors and collaborative processes tend to be which stakeholder voices were heard interests. [3] Following negotiations in 2011, engagement with quite resource intensive. and their needs expressed to the the IOAC changed from a consensus-seeking approach to a more PNCIMA steering committee, thus consultative approach. (p.25, [3]) enabling a multi-stakeholder approach to marine planning. In addition to the IOAC, stakeholders, communities, and the general public were engaged in development of the PNCIMA Plan MPA network planning, a key priority for through a variety of mechanisms, including meetings and plan implementation, is ongoing and workshops, the PNCIMA website and written submissions, other makes use of a Stakeholder advisory processes, and sub-regional advisory forums. Engagement Strategy to ensure effective involvement of stakeholders. Several objectives within the PNCIMA Plan highlight how This strategy may be relevant to and stakeholder engagement will be a key factor in achieving the used for other aspects of the PNCIMA goals of PNCIMA. That is, providing opportunities for diverse Plan implementation. involvement in management, planning, and advisory processes (Objective 3.2), fostering an inclusive approach to management (Objective 3.5), promoting information sharing (Strategy 2.4.2, Objective 4.1), and improving public understanding (Objective 4.5) are all ways that PNCIMA emphasizes stakeholder engagement.

As PNCIMA moves forward with plan implementation, the priority to establish governance arrangements for implementation identifies next steps, including, "fostering transparent stakeholder engagement through ongoing communications and advisory processes" and "facilitating the accessibility to and exchange of environmental and socio-economic data among First Nations, federal and provincial agencies, coastal communities and marine user groups." One of the guiding EBM Principles for PNCIMA is that this The PNCIMA Plan notes that the A Regional Monitoring System, To what extent did approach is based on science and wise counsel. Data and lack of a decision support tool managed by the First Nations enables data provision knowledge resources such as the Atlas of the Pacific North related to socio-economic and data collection and sharing between support the delivery Coast Integrated Management Area and the Socio-economic and cultural activities in PNCIMA has stakeholders. of the ABMT? Cultural Overview and Assessment Report for the Pacific North been identified as a significant Coast Integrated Management Area were used extensively in gap. However, the further MPA Network Planning was identified development of the PNCIMA Plan. development of risk assessment as priority for PNCIMA implementation tools has been identified as a and is currently underway. This process Data will support implementation of the PNCIMA Plan through priority for Plan implementation, is drawing extensively on data the development of a Monitoring and Adaptive Management including developing methods to resources from various sources (e.g., Framework, which is identified as one of first short-term incorporate socio-economic values from complementary planning implementation priorities. Data and knowledge are also a key and interests into risk assessment. processes) to inform planning. It is part of many objectives and strategies identified in the EBM anticipated this data will also be used in Framework (e.g., strategies 1.1.3, 2.2.1, 2.4.3, 2.5.3 and Data collection was undertaken the future to support subsequent objectives 4.1, 4.2, 4.3, 4.4). prior to 2012, and data could now activities related to PNCIMA be considered outdated in light of implementation. First Nations have established and manage a programme titled new marine developments and the the Coastal Stewardship Network (The Coastal Guardian changing marine environment. Marine Protected Area Network Watchmen Network) which supports the stewardship and However there remains ongoing planning has updated ecological, monitoring of the marine, terrestrial and cultural resources of the data collection within the PNCIMA cultural, and human use datasets and North and Central Coast of British Columbia and the impact of region, such as efforts to update data collection by community and management practices implemented under ecosystem-based and improve geospatial fishery and regional programs (e.g., Coastal management. As part of the programme, a Regional Monitoring aquaculture layers, which may be Guardian Watchmen Network) may be System has been designed and an online data management used in various ways related to used in PNCIMA implementation. system has been developed to share information and data, PNCIMA implementation. analyse regional trends and report to communities. While the plan does not include a data collection strategy for monitoring implementation of the plan and progress, Objectives 4.2 and 4.3 show the commitment of the PNCIMA initiative to base management decisions on data and knowledge.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, ensure that all men and women, in particular the poor and the vulnerable, have equal rights to Strategy 2.3.1: Identify and assess ocean-related economic opportunities and implement management economic resources, as well as access to basic measures as appropriate to achieve sustainable economic opportunities in the region (p. 40, [3]). 1.4 services, ownership and control over land and other forms of property, inheritance, natural resources, Strategy 2.7.1: Identify and assess management measures that support First Nations and local appropriate new technology and financial services, communities in deriving economic benefits from the ecosystems in which they live. (p.41, [3]) including microfinance SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture Strategy 2.1.3: Support priority use, subject to conservation needs, of marine resources for First Nations By 2030, end hunger and ensure access by all people, traditional use, including food, social and ceremonial requirements (p. 40, [3]) in particular the poor and people in vulnerable 2.1 situations, including infants, to safe, nutritious and Objective 2.5: Support the maintenance of natural resource systems that deliver marine goods and sufficient food all year round services at multiple scales (p. 41, [3]). SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Sustain per capita economic growth in accordance with national circumstances and, in particular, at least Strategy 2.3.1: Identify and assess ocean-related economic opportunities and implement management 8.1 7 per cent gross domestic product growth per annum measures as appropriate to achieve sustainable economic opportunities in the region. (p.40, [3]) in the least developed countries Promote development-oriented policies that support productive activities, decent job creation, entrepreneurship, creativity and innovation, and Strategy 2.7.3: Support sustainable community economic development, including enhancement of local 8.3 encourage the formalization and growth of micro-, capacity (p. 41, [3]). small- and medium-sized enterprises, including through access to financial services By 2030, achieve full and productive employment and decent work for all women and men, including for 8.5 Strategy 2.3.3: Support the participation of First Nations in all sectors of the marine economy. (p.40, [3]) young people and persons with disabilities, and equal pay for work of equal value SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable By 2030, provide access to safe, affordable, accessible and sustainable transport systems for all,

improving road safety, notably by expanding public 11.2 Strategy 2.6.2: Assess and consider marine safety and security issues at a community scale when transport, with special attention to the needs of those developing management measures. (p. 41, [3]) in vulnerable situations, women, children, persons with disabilities and older persons Objective 2.1: Protect culturally and spiritually important marine customs, practices, traditions, areas, sites and cultural resources. (p.40, [3]) Strengthen efforts to protect and safeguard the 11.4 world’s cultural and natural heritage Strategy 2.1.4: Support the creation of an MPA network for PNCIMA that protects culturally and spiritually important marine customs, practices, traditions, areas, sites and cultural resources. SDG 12: Ensure sustainable consumption and production patterns 2.1.3 Support priority use, subject to conservation needs, of marine resources for First Nations traditional use, including food, social and ceremonial requirements. (p.40, [3])

2.5 Support the maintenance of natural resource systems that deliver marine goods and services at multiple scales. (p.41, [3]) By 2030, achieve the sustainable management and 12.2 efficient use of natural resources 2.5.3 Identify and assess possible management measures to address key risks to natural resource systems that deliver marine goods and services, and implement as appropriate. (p.41, [3])

2.5.4 Identify and assess possible management measures to support healthy natural resource systems. (p.41, [3]). SDG 13: Take urgent action to combat climate change and its impacts Strengthen resilience and adaptive capacity to Objective 1.1: Conserve the diversity of species, viable populations and ecological communities and 13.1 climate related hazards and natural disasters in all their ability to adapt to changing environments. (p. 38, [3]) countries Strategy 4.1.1: Promote and integrate relevant tools, analyses, information and the EBM framework into decision-making processes, including regulatory processes and policy making. (p. 43, [3]) Integrate climate change measures into national 13.2 policies, strategies and planning Strategy 4.4.2: Develop tools, including adaptive management plans, to improve the use of monitoring data for the timely adaptation of management policies and programs. (p. 43, [3]) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in particular from land-based Strategy 1.3.5: Identify and assess possible management measures to address identified risks to 14.1 activities, including marine debris and nutrient habitat and water quality, and implement as appropriate. (p.39, [3]) pollution By 2020, sustainably manage and protect marine and Goal 1: Integrity of the marine ecosystems in PNCIMA, primarily with respect to their structure, function coastal ecosystems to avoid significant adverse and resilience. (p. 38, [3]) 14.2 impacts including by strengthening their resilience, and take action for their restoration in order to e.g., Strategy 1.3.7: Protect important habitat from degradation, and pay particular attention to achieve healthy and productive oceans components of species’ life cycles (p.39, [3]).

See also strategies 1.1.5, 1.2.4, and 1.4.2 (p. 38-39, [3]). Strategy 1.1.5: Support the creation of an MPA network for PNCIMA that conserves species diversity, population viability and ecological communities. (p.38, [3]) By 2020, conserve at least 10 per cent of coastal and marine areas, consistent with national and Strategy 1.2.5: Support the creation of an MPA network for PNCIMA that conserves productivity and the 14.5 international law and based on the best available trophic structure of ecosystem components. (p.39, [3]) scientific information MPA network planning is also included as one of the five priorities identified for PNCIMA Plan implementation, to address PNCIMA EBM goals (pg. 47, [3]). Strategy 2.3.4: Identify and support development of local and global markets and efficient and affordable distribution channels. (p. 40, [3])

Provide access for small-scale artisanal fishers to Strategy 2.7.1: Identify and assess management measures that support First Nations and local 14.b marine resources and markets communities in deriving economic benefits from the ecosystems in which they live (p. 41, [3]).

Strategy 2.7.3: Support sustainable community economic development, including enhancement of local capacity (p. 41, [3]). Under Canada's Oceans Act (1997), the Government of Canada made a commitment to conserve, Enhance the conservation and sustainable use of protect and develop the oceans in a sustainable manner. This legislation emphasizes principles of oceans and their resources by implementing sustainable development, integrated management of activities or measures, and the precautionary international law as reflected in UNCLOS, which approach (s. 29-34). The Oceans Act also provides for the designation of marine protected areas to 14.c provides the legal framework for the conservation and conserve and protect marine resources and habitats (s. 35). sustainable use of oceans and their resources, as recalled in paragraph 158 of The Future We Want Canada has a number of general obligations under UNCLOS pertaining to environmental protection, fisheries, continental shelf and national defence. SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss Strategy 1.1.6: Support the creation of an MPA network for PNCIMA that conserves species diversity, population viability and ecological communities.

By 2020, integrate ecosystem and biodiversity values Strategy 2.2.1: Promote and integrate relevant tools, analyses, information and the ecosystem-based 15.9 into national and local planning, development management framework into decision-making processes and policy-making. processes, poverty reduction strategies and accounts

Objective 2.5: Support the maintenance of natural resource systems that deliver marine goods and services at multiple scales. --> Including in particular, Strategy 2.5.4 Identify and assess possible management measures to support healthy natural resource systems.

With respect to local planning: Strategy 3.4.1 Develop and build on existing governance and technical bodies that include First Nations in marine stewardship decision-making processes.

Objective 4.2. Include scientific, traditional and local knowledge and experience to inform the development of management and monitoring plans. --> Including in particular, Strategy 4.2.3 Develop a monitoring and evaluation framework for PNCIMA that incorporates different types of knowledge, including scientific, social, cultural, and economic. [3] SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all As part of the planning process, the Integrated Oceans Advisory Committee (IOAC) - multi-sector advisory body to provide guidance on the planning process, its outputs and the implementation of the integrated management plan. The IOAC consisted of participants from industry, regional districts, recreational groups, environmental non-governmental organizations and other interested parties. First Ensure responsive, inclusive, participatory and 16.7 Nations, federal and provincial governments participated as ex-officio members in order to provide representative decision-making at all levels feedback on IOAC discussions. [3]

Goal 3: Collaborative, effective, transparent and integrated governance, management and public engagement (p. 42, [3]). SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The planning process and development of the plan was undertaken through a partnership between Government of Canada, First Nations and the Province of British Columbia [4]. Encourage and promote effective public, public- 17.1 private and civil society partnerships, building on the 7 Strategy 3.1.2: Establish mechanisms and/or build on existing mechanisms, advisory experience and resourcing strategies of partnerships committees and opportunities to effectively coordinate stakeholder advisory processes for ocean management issues in PNCIMA. [3] Multi-stakeholder partnerships: Enhance the global As part of the planning process, the Integrated Oceans Advisory Committee (IOAC) - multi-sector partnership for sustainable development, advisory body to provide guidance on the planning process, its outputs and the implementation of the complemented by multi-stakeholder partnerships that integrated management plan. The IOAC consisted of participants from industry, regional districts, 17.1 mobilize and share knowledge, expertise, technology recreational groups, environmental non-governmental organizations and other interested parties. First 6 and financial resources, to support the achievement Nations, federal and provincial governments participated as ex-officio members in order to provide of the sustainable development goals in all countries, feedback on IOAC discussions. [3] in particular developing countries Objective 3.2: Provide opportunities for the participation of First Nations, federal and provincial government agencies, coastal communities, marine user groups and other interested parties in ocean management, planning and advisory processes (p. 42, [3]).

Sources and references 1 UNEP-WCMC. 2017. Global Cross-Border Marine Spatial Planning Inventory. 2 IOC-UNESCO. 2017. Canada (Pacific North Coast). [Online]. Available at: http://msp.ioc-unesco.org/world-applications/americas/canada/pacific-north-coast/ Pacific North Coast Integrated Management Area (PNCIMA) Initiative. 2017. Pacific North Coast Integrated 3 Management Area Plan: vii + 78 pp. 4 http://www.pncima.org/ 5 Minister of Justice, Canada. 1997. Oceans Act. Available at: http://laws-lois.justice.gc.ca/eng/acts/O-2.4/

Case Study 17. Marine Spatial Planning: Marine Spatial Planning in Portugal

Facts about the case study Case-specific entries Tool Marine Spatial Planning (MSP) Region Atlantic: North East The MSP legal framework was launched in April 2014 with Law No. 17/2014 on 'marine spatial planning and management’ (LBOGEM) and Implementation status implemented in 2015 through enabling legislation Decree-Law No. 38/2015 and Decree-Law No. 139/2015. Order No. 11494/2015 established the beginning of the planning process considering the development of the Portuguese Situation Plan. In April 2014, a binding, legally enforceable law - Law No. 17/2014 on ‘marine spatial planning and management’ (LBOGEM) - was put in place to support the MSP implementation in Portuguese waters. The Law applies to Portuguese territorial waters, the Portuguese exclusive economic zone (EEZ) and also applies to the seabed on the continental shelf extension beyond 200 nautical miles. Prior to this, there was no effective legal implementation of integrated spatial planning or adequate management of the maritime space in Portuguese waters, except to the one related to the application of the Water Framework Directive. Attempts had been made to organize and coordinate the different uses and activities of the maritime space, including the proposal of a plan for marine spatial planning - POEM (Plano de Ordenamento do Espaço Marítimo). However, this plan has never been formally approved.

POEM was developed between 2009 and 2011 as a sectoral plan, under coordination of the former Water Institute (INAG), covering maritime space adjacent to mainland Portugal (EEZ included). In 2012 under Order No.14449/2012, POEM was not granted the status of a planning Governance instrument; instead it was published as a study on the uses and activities that take place in the Portuguese maritime space. Mechanisms

The enabling legislation for the LBOGEM Law, Decree-Law No. 38/2015, entered into force on 12 March 2015 and developed the fundamental marine spatial planning and management law, defining, among others, the regime of maritime spatial planning instruments and the private use of maritime space regime.

In 2015, Order No. 11494/2015 established the beginning of the preparation and development of the Situation Plan for the Portuguese maritime space, defining the competent authorities for preparation and support of the process. This forms the implementation of the Portuguese MSP process.

The National Ocean Strategy 2013-2020, adopted through Council of Ministers Resolution No.12/2014, is a strategic toll for MSP process. Directive 2014/89/EU Establishing a framework for maritime spatial planning (EU MPS Directive) - transposed into national Portuguese What is the legal basis legislation by Law No. 17/2014 on ‘marine spatial planning and management’ (LBOGEM) of the ABMT? LBOGEM was enabled through Decree-Law No. 38/2015 and implemented through namely the Order No. 11494/2015 Is there government The EU MSP Directive was the result of work undertaken by Member States and Portugal was profoundly involved in the process. support for the ABMT? The entry into force of LBOGEM and its developing legislation in Decree-Law n. 38/2015 placed Portugal at the forefront of ocean governance, together with only a handful of other EU Member States. The fact that, due to government support, the LBOGEM was published three months before its actual approval by the European Parliament and the Council, in July 2014, provides evidence of support. At national level, the main responsibility for MSP lies with the Ministry of the Sea. The Directorate General for Natural Resources, Safety and Maritime Services (DGRM) is responsible for the coordination, preparation and development of the Situation Plan. Moreover, the Inter- ministerial Commission for Maritime Affairs (CIAM) brings together representatives of all the concerned ministries. Lastly, the Directorate General for Marine Policy (DGPM) chairs, in the mainland, the advisory committee created to assist in the preparation of the Situation Plan in the maritime zone between the baseline and the continental shelf beyond 200 nautical miles (with the exception of the national maritime space adjacent to the Madeira and the Azores archipelagos).

What is the institutional The autonomous regions of Madeira and Azores have exclusive and shared competencies on maritime affairs together with the National framework of the Government. Here, MSP authority lies with the Regional Directorate for Maritime Affairs, Autonomous Region of the Azores, which will be ABMT? responsible for the preparation and development of the Situation Plan in maritime space adjacent to the Azores archipelago, and the Regional Directorate for Spatial Planning and Environment, Autonomous Region of Madeira, which is responsible for the preparation and development of the Situation Plan in maritime space adjacent to the Madeira archipelago, between the baseline and the continental shelf until 200 nautical miles.

Further, as mentioned above, the National Ocean Strategy 2013-2020 is the public policy instrument in Portugal for the sustainable development of economic sectors related to the ocean, and is one of the Strategic tools for the MSP process. What type of organisation is the Lead The Portuguese government, namely the Ministry of the Sea is leading the MSP process, according the EU legislation. Entity? The MSP process implements the EU MSP Directive through marine spatial plans for the whole of Portugal's maritime space, including the continental shelf beyond 200 nautical miles. What policies are being It further implements the National Ocean Strategy 2013-2020 for the sustainable development of the economic sectors related to the ocean. implemented by the This Strategy presents the model of development of ocean and coastal areas that will allow Portugal to meet the challenges for the promotion, ABMT? growth and competitiveness of the maritime economy. Portugal's return to the sea depends on the implementation of a strategy based on knowledge and technological progress and on the size and geography of the emerged and submerged national territory, including the new extended dimension resulting from the submitted proposal to extend the continental shelf beyond 200 nautical miles. What are the primary The overall objective of the MSP process is management of the Portuguese maritime space, ensuring that uses and activities are subject to goals / objectives of the coherent and efficient spatial planning and management, and integrating the environmental, social and economic dimensions. ABMT? What are the No information on this was found, but it can be assumed that the marine spatial plan includes management measures for sectors such as management measures aquaculture, fisheries, mineral extraction, nature protection, shipping and submarine cables and pipelines, as these were the sectors included associated with the in POEM and are included in the MSP legal framework. ABMT? The national MSP framework establishes a management regime for the private use of Portugal's maritime space for the following uses and activities: - Aquaculture, - Marine biotechnology, - Mineral Resources and associated infrastructures, - Energy resources and renewable energy and associated infrastructures, Does the ABMT involve - Infrastructures, cross sectoral - Scientific research, cooperation? - Nautical activities, Sports and Tourism, - Under water cultural heritage, - Dredging - Sinking of ships - Other uses or activities of an industrial nature. Therefore, it can be assumed that these sectors are involved in the MSP process. Which SDGs do the management measures 8.1, 8.3, 8.4, 8.9, 12.2, 13.2, 13.3, 14.2, 14.4, 14.5 and 17.17 support? The main objective of the 2012 MSP study POEM, was to “provide an overview based on the principle of sustainable development, the Does the AMBT process precautionary principle and the ecosystem approach in planning, through the review and planning of the present and future uses, allowing follow an ecosystem supporting a truly integrated, progressive and adaptive management of the ocean and coastal zone and the activities associated with them. approach? This principle is also established in the Law No. 17/2014." (p. 5, EU MSP Platform 2016 [5]) The 2012 national MSP study, POEM, collected a significant amount of information related to the marine features and maritime uses and activities, most of which were georeferenced. The POEM information was considered and further updated by the reports of EU Marine Strategy Does the ABMT process Framework Directive, which are based on best available data. incorporate data and Moreover, Portugal was involved in coordinating the European Commission-funded project “TPEA – Transboundary Planning in the European evidence? Atlantic”, involving United Kingdom, Ireland, Portugal and Spain. The TPEA Project developed a proposal for a Geoportal for data sharing between Portugal-Spain and further explored methodologies for cross border cooperation and coordination with the adjacent coastal zone. This project was completed in May 2014 and a good practice guide was published. What type of data was used in the ABMT Information related to marine features as well as maritime uses and activities in Portuguese waters (see above) development process? The development of the national MSP study POEM involved stakeholder consultation. In addition, a series of thematic workshops were Does the ABMT process organised in different coastal locations, focusing on the following topics: Navigation and Transport, Fisheries and Aquaculture, Tourism and include stakeholder Sports, Defence and National Safety, and Scientific Research, and documents were publicly available. engagement? Further, there was explicit engagement in the TPEA project: 3 main workshops took place at key moments. The workshops took place in both countries and stakeholders were invited from public entities with jurisdiction in the licensing and inspection of activities and uses of marine space and the marine and/or coastal zone, and representative organisations from the relevant sectors from both countries. Partners and advisors were also invited. Does the ABMT use spatial and/or scenario No information on the use of scenario or spatial analysis was found. analysis to support decisions? What decision-support tools were used to The development of the national MSP study POEM included Strategic Environmental Assessment (SEA), in compliance with national laws that support the planning transpose EU requirements for SEA of plans and programmes. No further information on the use of decision-support tools was found. process? What is the spatial The MSP process covers the entire Portuguese maritime space, including territorial waters and the EEZ, and the continental shelf beyond 200 focus of the ABMT? nautical miles, resulting in a maritime area with a total of more than 3,877,408 km². (4) At what scale is the ABMT process The MSP process in Portugal is implemented at a national scale in close articulation with the autonomous regions. implemented? What is the timeframe focused on for the The timeframe for the Portuguese MSP process is unspecified. The legal framework establishes the update of the Situation Plan whenever a management plan of allocation is approved. measures? Does the ABMT include The National Ocean Strategy determines the need to keep the action plans that are developed to implement MSP up to date by applying an evaluation monitoring, evaluation and reviewing of instruments. framework, and if so, The Portuguese MSP legal framework is also consider an evaluation framework aligned with the National Ocean Strategy. what is the framework? Does the ABMT include performance No information on this was found. The future Situation Plan will consider monitoring program. monitoring, and if so, what is the framework? What indicators are used in the monitoring No information on this was found. The future Situation Plan will consider a monitoring program. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers In 2014, Portugal approved Law n. 17/2014, 10 April (“LBOGEM”), which An insufficient The LBOGEM legislation enabled the To what extent does the established the legal basis for this country’s policy on marine spatial legal framework application of MSP to the whole maritime legal basis of the ABMT planning and management. It was the first time that Portugal enacted and the lack of space of Portugal, including the seabed on support the delivery of legislation applicable to the whole maritime space adjacent to its mainland societal the continental shelf extension. the ABMT and and archipelagos, including the continental shelf beyond 200 nautical miles. consensus associated policies? In doing so, LBOGEM introduced a new and larger concept of the Portuguese enhanced The LBOGEM legislation created a legally territory while recognizing, at the same time, that uses and activities in the conflict, binding requirement for MSP to occur. national maritime space must be subject to coherent and efficient spatial suspicion and planning and management. These included integrating the environmental, legal The legally binding, EU directive was an social and economic dimensions. uncertainty, enabler as it required Portugal to adopt and With legislation subsequent to LBOGEM, Portugal transposed the EU MSP ultimately implement appropriate national legislation Directive into national law (Decrees-Law No. 38/2015 and No. 139/2015). hindering the to implement this directive. successful In January 2015, an expert conference, consisting of government implementation representatives, specialists in themes relating to Marine Spatial Planning of MSP and Management from academia and civil society, was held to discuss one previously. of the proposals of the current Portuguese MSP framework. National efforts to regulate the maritime space using MSP were generally commended, however it was concluded that the proposal responsible for implementation lacked a solid legal framework and the required societal consensus. [7] Consequently, the legal framework was thought to promote, rather than mitigate, legal uncertainty, conflicts and suspicions between user groups. To what extent does the Clear responsibilities within government institutional framework In Portugal, responsibilities for implementing MSP are clearly assigned to bodies as well as a long term national associated with the different ministries and other government bodies. Moreover, the strategy for sustainable marine development ABMT support the implementation of MSP is considered in National Ocean Strategy 2013-2020 are enabling factors that facilitate the MSP delivery of the ABMT which sets out a clear policy for the sustainable development of the marine process in Portugal by giving it a clear and associated space in Portugal. government mandate and implementation policies? authority. A specific legal basis and clearly defined institutional framework within the national With the MSP process, the Portuguese Government is implementing the EU government are enabling conditions for the MSP Directive as well as its own National Ocean Strategy 2013-2020 for implementation of MSP in Portugal, thus To what extent does the sustainable marine development. With regard to the EU MSP Directive, the contributing to the implementation of MSP ABMT support the adoption of the LBOGEM legislation put Portugal at the forefront of across the EU, as required under the EU MSP delivery of marine and implementing MSP across Europe. As for the National Ocean Strategy, it is Directive. coastal policies? too early in the process to tell how effectively MSP is delivering the sustainable economic development of the Portuguese marine space. The references to spatial planning in the National Ocean Strategy is an enabling factor, providing a clear policy mandate for MSP in Portugal. This, in turn, enables the implementation of the Strategy. Realising the value of the interconnectedness and establishing To what extent does the The EC-funded project Transboundary Planning European Atlantic (TPEA), projects with other marine-border countries ABMT promote included joint working between Spain and Portugal in the Algarve-Gulf of was an enabler for the Portuguese MSP transboundary Cadiz pilot area, and this project fed into the MSP process. process. Among other things, it provided cooperation? opportunities for stakeholder engagement as well as data to support the MSP process. To what extent does the Multi-sector engagement is an inherent part of a comprehensive, integrated Early identification of the key relevant ABMT process marine spatial planning approach. This was recognised in the initial 2012 sectors for MSP was an enabling factor for emphasise multi-sector national MSP study POEM which identified a number of key sectors to be multi-sector engagement in the Portuguese engagement? included in the MSP process. MSP process. To what extent does the The National Ocean Strategy 2013-2020 includes requirements for ABMT utilise an monitoring and evaluation to ensure that action plans to implement MSP are iterative/adaptive kept up to date. This would provide the necessary conditions for an adaptive process? management approach. However, no further information on this was found. The fact that MSP is implemented by To what extent does the Funding for MSP in Portugal is provided through the EU, national and sub- funding/resources of government ministries means that there is national government ministries and projects such as the TPEA project. No the ABMT support its comparatively secure and ongoing funding further information was found on funding and in how far it was a barrier or delivery and associated which is an enabling condition for the enabler to the implementation of MSP and delivery of associated policies. policies? effective implementation of MSP. To what extent does While stakeholder engagement was part of the MSP process, for example in stakeholder the development of the 2012 national MSP study POEM or in the TPEA engagement support project, no information was found as to how this supported the effective the effective delivery of implementation of MSP and delivery of associated policies in Portugal. The the ABMT and Portuguese MSP framework considers stakeholder engagement as well the associated policies? public consultation of the MSP instruments. Data was collected as parts of POEM and the TPEA project but there was a To what extent did data lack of detail provided. In the development of the Situation Plan was created provision support the and is available a geoportal for the Portuguese maritime space delivery of the ABMT? (www.psoem.pt).

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Sustain per capita economic growth in accordance The National Ocean Strategy 2013-2020 for the sustainable development of the economic sectors with national circumstances and, in particular, at least related to the ocean. This Strategy presents a new model of development of ocean and coastal areas 8.1 7 per cent gross domestic product growth per annum that will allow Portugal to meet the challenges for the promotion, growth and competitiveness of the in the least developed countries maritime economy. Promote development-oriented policies that support productive activities, decent job creation, The National Ocean Strategy 2013-2020 for the sustainable development of the economic sectors entrepreneurship, creativity and innovation, and related to the ocean. This Strategy presents a new model of development of ocean and coastal areas 8.3 encourage the formalization and growth of micro-, that will allow Portugal to meet the challenges for the promotion, growth and competitiveness of the small- and medium-sized enterprises, including maritime economy. through access to financial services Improve progressively, through 2030, global resource efficiency in consumption and production and The National Ocean Strategy 2013-2020 for the sustainable development of the economic sectors endeavour to decouple economic growth from related to the ocean. This Strategy presents a new model of development of ocean and coastal areas 8.4 environmental degradation, in accordance with the 10- that will allow Portugal to meet the challenges for the promotion, growth and competitiveness of the year framework of programmes on sustainable maritime economy. consumption and production, with developed countries taking the lead The National Ocean Strategy 2013-2020 for the sustainable development of the economic sectors By 2030, devise and implement policies to promote related to the ocean. This Strategy presents a new model of development of ocean and coastal areas 8.9 sustainable tourism that creates jobs and promotes that will allow Portugal to meet the challenges for the promotion, growth and competitiveness of the local culture and products maritime economy - including tourism SDG 12: Ensure sustainable consumption and production patterns The management of the Portuguese maritime space, ensuring that uses and activities are subject to By 2030, achieve the sustainable management and 12.2 coherent and efficient spatial planning and management, and integrating the environmental, social efficient use of natural resources and economic dimensions SDG 13: Take urgent action to combat climate change and its impacts The National Strategy for Climate Change Adaptation (ENAAC), approved by the Council of Ministers Resolution No. 24/2010, focused initially on reducing the impacts on the coastal zone, and were Integrate climate change measures into national considered a set of measures to prevent the effects in this area. The update of this strategy (ENAAC 13.2 policies, strategies and planning 2020, approved by the Council of Ministers Resolution No. 56/2015), xxi created a special working group for the coastal zone and sea, and adaptation measures due to take place until 2020 are in development, namely to prevent and monitor the effects of climate change on land and sea. The development of the Situation Plan must consider the effects of Climate Change in the planning process. In the article ‘Mutual trust between coastal stakeholders key to successful coastal climate change adaptation’, researchers examined stakeholder engagement and interaction between groups involved Improve education, awareness-raising and human and in coastal use and management in Portugal. Their survey of stakeholders and residents in coastal 13.3 institutional capacity on climate change mitigation, communities showed that there was a strong awareness of coastal threats and the possible impacts adaptation, impact reduction and early warning of climate change, and a common willingness to engage in coastal management decisions. They found that that successful coastal adaptation requires stakeholders’ willingness to engage in decision making, as well as mutual trust between the public and policymakers. [8] SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2020, sustainably manage and protect marine and LBOGEM was deemed to be decisive for the increase of the country’ sea-economy, by creating “an coastal ecosystems to avoid significant adverse effective legal framework for reconciling compatibilities between uses or competing activities, 14.2 impacts including by strengthening their resilience, and contributing towards a better and more economic use of the marine environment, allowing for the take action for their restoration in order to achieve coordination of public authorities actions and private initiative, minimizing the impacts of human healthy and productive oceans activities in the marine environment, en-route towards sustainability By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing LBOGEM was deemed to be decisive for the increase of the country’ sea-economy, by creating “an and destructive fishing practices and implement effective legal framework for reconciling compatibilities between uses or competing activities, 14.4 science-based management plans, in order to restore contributing towards a better and more economic use of the marine environment, allowing for the fish stocks in the shortest time feasible, at least to coordination of public authorities actions and private initiative, minimizing the impacts of human levels that can produce maximum sustainable yield as activities in the marine environment, en-route towards sustainability determined by their biological characteristics By 2020, conserve at least 10 per cent of coastal and marine areas, consistent with national and 14.5 The Marine Protected Areas and the biodiversity and conservation are included in Situation Plan. international law and based on the best available scientific information SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Portugal was involved in coordinating the European Commission-funded project “TPEA – Transboundary Planning in the European Atlantic”, involving UK, Ireland, Portugal and Spain. The Encourage and promote effective public, public-private TPEA Project developed a proposal for a Geoportal for data sharing between Member States 17.17 and civil society partnerships, building on the (Portugal-Spain) and further explored methodologies for cross border cooperation and coordination experience and resourcing strategies of partnerships with the adjacent coastal zone. MSP is a process of interest for several countries that seek Portugal for cooperation purposes. Recently a proposal for cross-border MSP in the Macaronesian Region was approved and will be developed for next two years (2018-2020).

Sources and references 1 Main site provided: http://www.un.org/depts/los/consultative_process/documents/16_vasco_becker 2 https://report2015.ocean-energy-systems.org/country-reports/portugal/ 3 National Ocean Strategy: http://www.dgpm.mam.gov.pt/Documents/ENM_Final_EN_V2.pdf 4 http://msp-platform.eu/countries/portugal 5 http://msp-platform.eu/sites/default/files/download/portugal_15.06.2016.pdf 6 https://cms.law/.../Artigo%20MCP%20-%20Expert%20Guide%20-%20Energy%20%2 Contributions towards maritime spatial planning (MSP) in Portugal – Conference report. Marine Policy. 59. 61-63. Available at: 7 http://ac.els-cdn.com/S0308597X15000998/1-s2.0-S0308597X15000998-main.pdf?_tid=a1046b2e-8d77-11e7-86df- 00000aab0f6b&acdnat=1504093240_d219bf501db1b7686f6dbaf2eca66862 8 Coastal zones - achieving sustainable development

Case Study 18. MARPOL Emission Control Area: MARPOL North American Emission Control Area, North Atlantic

Facts about the case study Case-specific entries Tool MARPOL Annex VI Emission Control Area (ECA) Region Pacific: North East and Atlantic: North West Proposed to the IMO Marine Environment Protection Committee (MEPC) in 2009. MEPC Resolution to amend MARPOL Annex VI to designate the North American area as an ECA adopted in 2010. Implementation status North American ECA entered into force in 2011. North American ECA in effect from 2012 for SOx and particulate matter and from 2016 for NOx. The North American Emission Control Area for sulphur oxides (SOx), particulate matter and nitrogen oxides (NOx) is designated under Annex VI of the International Convention for the Prevention of Pollution from Ships (MARPOL). Following a proposal by the Governments of Canada and the United States (France also supported the application due to the territory of Saint-Pierre-et-Miquelon within the designated waters), the IMO Marine Environment Protection Committee (MEPC) adopted Resolution MEPC.190 (60) which amended MARPOL Annex VI in order to Governance designate the North American ECA for NOx, SOx and particulate matter. The amendments entered into force in 2011 [1,3]. MARPOL Annex VI is Mechanisms implemented through national legislation and regulations in Canada and the USA for the North American ECA. Was in place for the ABMT process: Binding, legally enforceable instrument: international and national laws Put in place to support ABMT implementation: Binding, legally enforceable instrument: national regulations Voluntary agreement: Memorandum of Understanding International Convention for the Prevention of Pollution from Ships (MARPOL), Annex VI on Regulations for the Prevention of Air Pollution from Ships, Regulations 13 (NOx) and 14 (SOx) and Appendix VII IMO Resolution MEPC.190(60)

What is the legal basis Canada: Canada Shipping Act 2001 and associated Regulations for the Prevention of Pollution from Ships and for Dangerous Chemicals of the ABMT? (amended in 2013 to implement North American ECA in Canada) United States: Act to Prevent Pollution from Ships, associated regulations and a Memorandum of Understanding between the Environmental Protection Agency and the US Coast Guard France: no information was found Yes. The Governments of Canada, France and the United States jointly supported the proposal to IMO's MEPC to designate the North American Is there government ECA for SOx, particulate matter and NOx and are responsible for implementing and enforcing the emission standards set out under MARPOL support for the ABMT? ANNEX VI. In Canada, the North American ECA is implemented by Transport Canada, the Canadian Ministry of Transport, through regulations under the Canada Shipping Act 2001. The relevant regulations were amended in 2013 to implement the North American ECA in Canada. [1] What is the institutional

framework of the In the USA, the North American ECA is implemented and enforced by the Environmental Protection Agency and the US Coast Guard through ABMT? regulations under the Act to Prevent Pollution from Ships. The Environmental Protection Agency and US Coast Guard agreed a Memorandum of Understanding to enforce MARPOL Annex VI in the North American ECA through inspections, investigations and enforcement actions. [2]

No information was found about the institutional framework for the French areas in the North American ECA. What type of The lead entities in the implementation and enforcement of the North American ECA are government departments and agencies. organisation is the Lead National Government Entity? What policies are being The North American ECA implements policies to prevent the air pollution resulting from the discharge of SOx, particulate matter and NOx from implemented by the ships. ABMT? What are the primary The objective of the North American ECA is to protect human health and the marine environment. [2] goals / objectives of the Conserve or restore the health of marine ecosystem/s ABMT? The management measures associated with MARPOL Annex VI Regulation 14 (SOx and particulate matter) include a sulphur content limit for fuel oil used on board ships for inside and outside the ECA, combustion equipment and devices on board of ships. The main compliance mechanism is the use of fuel oil with reduced sulphur content. However, other means of compliance are possible, subject to approval by the relevant administration, e.g. exhaust gas cleaning systems. Ships can carry two types of fuel, providing they switch over to ECA compliant fuel What are the before entering the ECA. Further, ships must keep a record on the quantities of ECA fuel on board and date, time and location of switch over. management measures The management measures associated with MARPOL Annex VI Regulation 13 (NOx) are survey and certification requirements. Regulation 13 associated with the sets limits for NOx emissions from installed marine diesel engines of over 130kW output power. Different levels of control (Tiers) apply based ABMT? on the ship construction date. In the North American ECA, Tier III standards come into effect for ships constructed on or after 1 January 2016. Compliance is achieved through the technical design of the diesel engine. Ships operating in the North American ECA require an Engine International Air Pollution Prevention Certificate, issued by, or on behalf of, the respective flag States, and have to subsequently demonstrate in service compliance. [7] Does the ABMT involve cross sectoral No, the North American ECA is a single sector measure to control emissions from ships. cooperation? Which SDGs do the management measures 12.4, 14.c support? Yes, appendix III of MARPOL Annex VI sets forth the criteria and procedures for designation of Emission Control Areas. A proposal to designate an ECA should include an assessment that emissions from ships operating in the proposed area of application are contributing to Does the AMBT process ambient concentrations of air pollution or to adverse environmental impacts. Such assessment shall include a description of the impacts of follow an ecosystem the relevant emissions on human health and the environment, such as adverse impacts to terrestrial and aquatic ecosystems, areas of natural approach? productivity, critical habitats, water quality, human health, and areas of cultural and scientific significance, if applicable. The proposal of the North American ECA had been fully considered by MEPC based on the criteria. Does the ABMT process incorporate data and Yes, appendix III of MARPOL Annex VI sets forth the criteria and procedures for designation of Emission Control Areas (see below). evidence? • The human populations and environmental areas at risk from the impacts of ship emissions; • An assessment that emissions from ships operating in the proposed area of application are contributing to ambient concentrations of air pollution or to adverse environmental impacts. Such assessment shall include a description of the impacts of the relevant emissions on human health and the environment, such as adverse impacts to terrestrial and aquatic ecosystems, areas of natural productivity, critical habitats, water quality, human health, and areas of cultural and scientific significance, if applicable; What type of data was • Relevant information, pertaining to the meteorological conditions in the proposed area of application, to the human populations and used in the ABMT environmental areas at risk, in particular prevailing wind patterns, or to topographical, geological, oceanographic, morphological or other development process? conditions that contribute to ambient concentrations of air pollution or adverse environmental impacts; • The nature of the ship traffic in the proposed emission control area, including the patterns and density of such traffic; and • The relative costs of reducing emissions from ships when compared with land-based controls, and the economic impacts on shipping engaged in international trade. Current human activity distribution; Social information; Economic/valuation information; Emissions and air quality information In Canada, Transport Canada conducted extensive consultations with marine industry stakeholders throughout the policy development and Does the ABMT process implementation process. Stakeholders involved in the process included the cruise sector, ports and port communities, the international and include stakeholder domestic shipping sectors. [1] engagement? No information on stakeholder engagement was found for equivalent processes in the USA and Saint-Pierre-et-Miquelon (French island). Does the ABMT use Yes, an assessment that emissions from ships operating in the proposed area of application are contributing to ambient concentrations of air spatial and/or scenario pollution or to adverse environmental impacts. Such assessment shall include a description of the impacts of the relevant emissions on analysis to support human health and the environment, such as adverse impacts to terrestrial and aquatic ecosystems, areas of natural productivity, critical decisions? habitats, water quality, human health, and areas of cultural and scientific significance, if applicable What decision-support tools were used to Amendments process to designate emission control areas is in accordance with article 16(2) (a) and 16(2) (f) (iii) of the MARPOL Convention support the planning and criteria and procedures set out in appendix III of MARPOL Annex VI. process? The spatial focus of the North American ECA are the waters out to 200 nautical miles off the Pacific coasts of Canada and the USA, the waters out to 200 nautical miles off the Atlantic coasts of Canada, the USA and Saint-Pierre-et-Miquelon (France), the Gulf of Mexico coast of the USA What is the spatial and the waters off the coasts of specified Hawaiian Islands. Specific coordinates for the North American ECA are included in appendix VII of focus of the ABMT? MARPOL Annex VI. The NOx and SOx emission limits also apply to the Great Lakes, the St. Lawrence Seaway and rivers which are accessed by international shipping. [8] The North American ECA is implemented at a regional scale, across the Pacific and Atlantic coasts of North America, but enforced nationally At what scale is the by the Administrations of the respective countries within waters under their jurisdiction. The NOx and SOx emission limits apply to all flag ABMT process ships operating in the ECA. implemented? Regional (e.g. international transboundary); National (e.g. country-wide, island) What is the timeframe The North American ECA is a long term designation with no end dates. The fuel oil sulphur limit for the ECAs had been decreased on 1 January focused on for the 2012 from 1.00% to 0.10%. management The three tiers of control for NOx control requirements apply in 2000 (tier I), 2011 (tier II) and 2016 (tier III). measures? Does the ABMT include an evaluation No further information on evaluation frameworks was found. framework, and if so, what is the framework? Does the ABMT include performance No information on performance monitoring for the North American ECA was found. monitoring, and if so, what is the framework? What indicators are used in the monitoring No information on the use of indicators in the monitoring was found. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The North American ECA has a strong international and national legal The strong international and national To what extent does the legal basis, through the MARPOL convention and national legislation in the legal basis of the ECA is an enabling basis of the ABMT support the implementing countries. This legal basis facilitates implementation of the condition that facilitates the delivery of the ABMT and emission limits through compliance control, enforcement and prosecution implementation and enforcement of the associated policies? action. emission limits. An institutional framework with a clear To what extent does the The North American ECA is implemented by national government agencies institutional framework government mandate to determine with a clear government mandate to ensure compliance and take associated with the ABMT compliance and enforce the ECA is an enforcement action where necessary. This supports the implementation of support the delivery of the enabling factor for the delivery of emission limits and delivery of associated policies. ABMT and associated policies? associated policies. The strong legal and institutional No information on the effectiveness of the North American ECA was To what extent does the ABMT framework supporting the found. However, it can be assumed that if the related emission limits are support the delivery of marine implementation of the ECA is an complied with and enforced effectively, this should lead to air quality and coastal policies? enabling factor for the delivery of improvements in the region. associated policies. The North American ECA extends across national waters of three countries, Canada, France and the United States. The designation was put The shared regional problem of air in place following a concerted effort of these three countries. While no To what extent does the ABMT pollution from shipping emissions is an information was found on France, the regulations and enforcement promote transboundary enabling condition fostering processes in the USA and Canada are aligned. cooperation? transboundary cooperation in the The reason Canada, France and the United States decided to cooperate in implementation of the ECA. the designation and implementation of the ECA is that air pollution from shipping emissions is a regional problem that affects all three countries. To what extent does the ABMT The North American ECA is a single sector measure and as such does not process emphasise multi-sector emphasise multi-sector engagement. engagement? Lack of MARPOL Regulation 14 (SOx) includes a provision to review the availability provisions for of low sulphur fuel oils used by ships outside Emission Control Areas in the monitoring 2018 to establish the feasibility of the 2020 target and if necessary defer To what extent does the ABMT of the target to 2025. Moreover, emission limits are subject to step changes utilise an iterative/adaptive effectiveness over a number of years to allow technical achievability and availability of process? could be a complaint fuel oil. No other provisions to adapt the ECA requirements to barrier to an changing circumstances were found. Also, no information on monitoring adaptive the effectiveness of the ECA was found. process. Government support and government To what extent does the No information on funding was found. Since the ECA has government agency implementation are enabling funding/resources of the ABMT support and is implemented by government agencies, it can be assumed conditions ensuring relatively secure support its delivery and that funding should not be a factor preventing the implementation of funding for the implementation of the associated policies? emission limits and delivery of associated policies. ECA. Not much information on stakeholder engagement in the context of the Stakeholder engagement is a potential To what extent does North American ECA was found. In Canada, the implementing government enabling condition for increasing stakeholder engagement agency conducted extensive stakeholder consultations in the policy and industry support and encouraging support the effective delivery of implementation process for the ECA. It can be assumed that this might compliance, thus facilitating the ABMT and associated have increased industry support, thus encouraging compliance and implementation of the ECA and policies? facilitating implementation. associated policies.

To what extent did data Data and evidence played a role in informing the designation process, thus Data and evidence supported the provision support the delivery supporting the successful designation and potentially facilitating industry designation process, enabling the of the ABMT? support. successful establishment of the ECA. The second role of data is in the implementation of the ECA, through Data and evidence further support information collected in inspections and testing of compliance. efforts to determine compliance, thus enabling implementation of the emission limits.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 12: Ensure sustainable consumption and production patterns By 2020, achieve the environmentally sound "Although air pollution from ships does not have the direct cause and effect associated with, for management of chemicals and all wastes throughout example, an oil spill incident, it causes a cumulative effect that contributes to the overall air quality their life cycle, in accordance with agreed international 12.4 problems encountered by populations in many areas, [...] MARPOL Annex VI, first adopted in 1997, frameworks, and significantly reduce their release to air, limits the main air pollutants contained in ships exhaust gas, including sulphur oxides (SOx) and water and soil in order to minimize their adverse impacts nitrous oxides (NOx), and prohibits deliberate emissions of ozone depleting substances (ODS)." on human health and the environment SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development Enhance the conservation and sustainable use of oceans and their resources by implementing The North American ECA implements a MARPOL Resolution. The IMO is recognised in UNCLOS as international law as reflected in UNCLOS, which provides 'the "competent international organization" in connection with the adoption of international shipping 14.c the legal framework for the conservation and rules and standards in matters concerning maritime safety, efficiency of navigation and the sustainable use of oceans and their resources, as prevention and control of marine pollution from vessels and by dumping.' (p. 7, [9]) recalled in paragraph 158 of The Future We Want

Sources and references [1] Canadian Experience in Implementing the North American Emission Control Area (ECA) - PowerPoint by Jeffrey Smith, Policy Analyst, Transport Canada [2] https://www.epa.gov/enforcement/marpol-annex-vi [3] IMO 2010. Information on North American Emission Control Area (ECA) under MARPOL Annex VI. MEPC.1/Circ723 [4] MARPOL Convention [5] http://www.imo.org/en/OurWork/environment/pollutionprevention/airpollution/pages/air-pollution.aspx [6] http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Pages/Sulphur-oxides-(SOx)-%E2%80%93-Regulation-14.aspx [7] http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Pages/Nitrogen-oxides-(NOx)-%E2%80%93-Regulation-13.aspx [8] http://www.ombros-consulting.com/?p=957 [9] IMO 2014. Implications of the United Nations Convention on the Law of the Sea for the International Maritime Organization. Study by the Secretariat of the IMO. LEG/MISC.8. Case Study 19. MARPOL Special Area – Sewage: Baltic Sea Special Areas for Sewage

Facts about the case study Case-specific entries Tool MARPOL (International Convention for the Prevention of Pollution from Ships) Special Area - Sewage Region Baltic Sea The Baltic Sea was designated by the International Maritime Organisation (IMO) as a Special Area for Sewage from passenger ships in 2011; the designation entered into force in 2013. Implementation status Applicable enforcement dates were decided in 2016: 1 June 2021 for existing IMO registered passenger ships, 1 June 2019 for new passenger ships, and 1 June 2023 for direct passages between St. Petersburg and the North Sea. The Baltic Marine Environment Protection Commission - Helsinki Commission (HELCOM) started discussing the issue of sewage in 1975 and adopted its first recommendations targeting sewage from ships in 1980, including Recommendation 1/5, "Recommendation concerning the application by the Baltic Sea states of guidelines for type testing and approval of sewage treatment systems".

In 2007 HELCOM decided to propose amendments to the MARPOL Convention (International Convention for the Prevention of Pollution from Ships) Annex IV on sewage. In 2010, a draft proposal was made to create the legal concept of a sewage “special area” and designate the Baltic Governance Sea as such an area. Mechanisms

In 2011, the IMO amended the MARPOL Convention and designated the Baltic Sea as a Special Area for sewage, to be applied only when adequate sewage port reception facilities became available. This decision entered into force in 2013.

As of 2016, adequate facilities are in place and the special area for sewage discharges from passenger ships will go into effect by latest 2021, with an extension until 2023 for direct passages between St. Petersburg and the North Sea. What is the legal basis International Convention for the Prevention of Pollution from Ships (MARPOL) Annex IV Prevention of pollution by sewage from ships of the ABMT? The Special Area for sewage is implemented through HECLOM by its Member States. These include all nine Baltic states - Denmark, Estonia, Is there government Finland, Germany, Latvia, Lithuania, Poland, Russia and Sweden - as well as the EU. support for the ABMT? A precondition for the designation to enter into force was that each Baltic country established port facilities capable of handling sewage. The Special Area for sewage is implemented through HELCOM in cooperation between the governments of the Baltic countries, port authorities, as well as the passenger shipping sector and Non-Governmental Organisations (NGOs). For this purpose, HELCOM set up the Baltic Sea Cooperation Platform on port reception facilities for sewage, which from 2010 to 2013 involved the shipping industry, technology What is the institutional providers, ports and national authorities for discussions on the improvement of port reception facilities for sewage in the Baltic region. framework of the The Baltic Sea Cooperation Platform produced the "HELCOM Interim Guidance on technical and operational aspects of sewage delivery to port ABMT? reception facilities" which was adopted by the HELCOM 2013 Ministerial Meeting and outlines current best practices as well as outstanding issues. The Platform was later renamed into "HELCOM Cooperation Platform on Special Area According to MARPOL Annex IV". What type of HELCOM is a regional intergovernmental organisation that coordinates the protection of the Baltic Sea from all sources of pollution through organisation is the Lead intergovernmental cooperation. It is the governing body of the Convention on the Protection of the Marine Environment of the Baltic Sea Area. Entity? The Contracting Parties to the Convention, and thus member states of HELCOME, are Denmark, Estonia, Finland, Germany, Latvia, Lithuania, Poland, Russia and Sweden as well as the EU. The Convention and Commission are an independent Regional Seas programme under the Regional Seas Programme umbrella of UN Environment. What policies are being With the Special Area for sewage the Baltic states implement MARPOL Annex IV Prevention of pollution by sewage from ships. It also implemented by the contributes to the delivery of the principles and obligations set out by the HELCOM Convention to protect the Baltic Sea from all sources of ABMT? pollution. The aim of the Special Area for sewage in the Baltic Sea is to conserve or restore the health of the marine ecosystem by limiting ship sewage and related pollution. Passenger traffic by sea is an important economic factor in the region. However, this should take place in a way that What are the primary does not pose a threat to the vulnerable marine environment of the Baltic Sea. Sewage created by vessels contains nutrients, such as goals / objectives of the phosphorus and nitrogen, which can cause or worsen algal blooms and other eutrophication, a key environmental concern in the Baltic Sea. ABMT? Global rules on ship sewage typically only address sanitary aspects but not nutrient content. The objective for the Baltic Sea Special Area is a reduction of 70% for nitrogen and 80% for phosphorus. What are the Under MARPOL Annex IV regulations, sewage can only be discharged 12 nautical miles from the nearest land. Moreover, under the Special management measures Area rules, sewage waste from passenger vessels must be unloaded at port reception facilities or treated on-board with a special area-certified associated with the treatment plant before release into the sea. As of April 2017, 52 different on board sewage treatment methods have been approved to fulfil the ABMT? MARPOL Annex IV requirements for passenger ships and ferries operating in the MARPOL Annex IV Special Area for sewage in the Baltic Sea Does the ABMT involve Yes, the Special Area for sewage in the Baltic Sea is implemented in cooperation between the cruise shipping industry, sewage treatment and cross sectoral disposal companies, port authorities and the governments of the Baltic countries. cooperation? Which SDGs do the management measures 12.4, 14.1, 14.2, 14.c, 17.7 support? Does the AMBT process While the Special Area for sewage designation is not explicitly based on the ecosystem approach, it is part of a wider management framework follow an ecosystem that is based on the ecosystem approach. The ecosystem approach is a key principle of the HELCOM Baltic Sea Action Plan, which includes approach? the Special Area for sewage. Yes. An assessment of the eutrophication status of the Baltic Sea (2007-2011) indicated that most of the Baltic Sea suffered from Does the ABMT process eutrophication. An updated 2017 (available in June) assessment will inform how the status of eutrophication has changed and improved and incorporate data and will provide updated information on the status of the marine environment and pressures/impacts from human activities. Social and economic evidence? analysis will be incorporated, providing insight into the contribution of the Baltic Sea to economic activities and human well-being as well as the costs of the degradation of the marine environment. In 2014 a survey on port reception facilities (PRF) sewage use was also done. What type of data was The Special Area for sewage designation is informed by data on nutrient releases into the marine environment and on ship movements, used in the ABMT passenger capacity and port facilities in the Baltic Sea. development process? During the implementation stage for the Special Area for sewage (2010-2013), a Cooperation Platform was set up to discuss outstanding Does the ABMT process issues around the improvement of sewage port reception facilities. It involved the shipping industry, technology providers, ports and national include stakeholder authorities for discussions on improvement of sewage disposal, and later, national administrations of the Baltic Sea countries. The Platform engagement? was later renamed into HELCOM Cooperation Platform on Special Area According to MARPOL Annex IV. Does the ABMT use No information on the use of spatial and/or scenario analysis was found. spatial and/or scenario analysis to support decisions? What decision-support tools were used to No information on the use of decision support tools was found. support the planning process? What is the spatial The spatial focus of the Special Area for sewage is the Baltic Sea. focus of the ABMT? At what scale is the The Special Area for sewage is implemented at a regional scale throughout the Baltic Sea, with management measures and enforcement ABMT process authority in place at national and local scales. implemented? What is the timeframe focused on for the The Special Area for sewage is a long term designation. The management measures come into effect in stages, with full implementation management expected in 2023. measures? Does the ABMT include an evaluation No information on this was found. framework, and if so, what is the framework? Does the ABMT include performance The Baltic Sea Special Area for Sewage has entered into force, however the measures are not yet in effect. monitoring, and if so, what is the framework? What indicators are used in the monitoring Environmental indicators for pollution, nitrogen and phosphorous concentration, biodiversity, eutrophication and changes in ship traffic. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The legal basis of the Special Area for sewage in the Baltic Sea is an To what extent does the international convention (MARPOL) that is being implemented though a regional The international and regional legal basis of the legal basis of the ABMT convention (HELCOM). Decisions made under these conventions are legally Special Area for sewage is an enabling support the delivery of binding for all countries that are Contracting Parties to the conventions. This condition facilitating coherent implementation the ABMT and facilitates the implementation of an ABMT such as the Special Area for sewage at the regional Baltic Sea scale. associated policies? at a regional scale. To what extent does the Implementation through the existing The Special Area for sewage is implemented through HELCOM. This means that institutional framework institutional framework of the Regional Seas there is an existing institutional framework with well-established collaboration associated with the Convention in the Baltic Sea is an enabling ABMT support the and communication channels which facilitate the coherent and effective factor facilitating coherent and effective delivery of the ABMT implementation of the ABMT. implementation of the Special Area for Sewage and associated across the Baltic Sea. policies? To what extent does the As the restrictions and regulations that apply within the Special Area for sewage ABMT support the have not yet been fully implemented, it is too early to tell how effective the delivery of marine and designation will be. However, when fully in effect, it will reduce the pollution input coastal policies? into the Baltic Sea, thus contributing to the delivery of the HELCOM Convention. Transboundary cooperation is a key element of the Special Area for sewage as MARPOL designations such as the Special Area this is implemented at a regional scale across the Baltic Sea and requires for sewage in the Baltic Sea have the potential To what extent does the coherent rules and mechanisms to be in place across national boundaries. to provide a platform for transboundary ABMT promote However, in the case of the Baltic Sea Special Area for sewage, this communication and cooperation, through the transboundary transboundary cooperation framework was already well established before the formal joint designation process and cooperation? designation was put in place, through the HELCOM Convention. So in this case, management; although this does not apply in the ABMT profited from existing transboundary frameworks rather than the Baltic Sea where transboundary promoting them. cooperation mechanisms were already in place. While the Special Area for sewage designation and its associated rules are The involvement of all relevant stakeholder focused on a single sector, namely the passenger shipping industry, the effective To what extent does the groups through a formal mechanism from early implementation of the designation requires the involvement of a range of ABMT process on in the process was enabling condition for the different stakeholders, including technology providers, ports facilities and emphasise multi-sector effective implementation of the designation as authorities and government bodies. These different groups are all represented in engagement? it ensured that all issues were being identified the Cooperation Platform that was set up early on in the process to identify and feasible solutions were put forward. outstanding issues and solutions. To what extent does the ABMT utilise an No evidence for the application of adaptive or iterative principles to the iterative/adaptive management of the Special Area for sewage in the Baltic Sea was found. process? To what extent does the No information on funding mechanisms for the implementation of the Special funding/resources of Area for sewage was found. It can be assumed that the governments of the the ABMT support its HELCOM Contracting Parties will support the implementation of the designation delivery and associated financially, although part of the cost might also be carried by the passenger policies? shipping industry. To what extent does stakeholder engagement support (See multi-sector engagement) the effective delivery of the ABMT and associated policies? Data on environmental indicators as well as shipping activities and impacts plays an important role in the designation of the Baltic Sea as a Special Area for To what extent did data sewage under MARPOL. It provided the evidence to make the case for the provision support the necessary amendment of MARPOL and will provide evidence to monitor and delivery of the ABMT? evaluate the effectiveness of the ABMT and delivery of associated policies, although no further information on monitoring and evaluation frameworks was found.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable Lessen eutrophication and sewage impact by improving sewage treatment Strengthen efforts to protect and safeguard the world’s cultural and natural 11.4 prior to discharge; reduce sewage in the Baltic Sea by limiting in-water heritage disposal SDG 12: Ensure sustainable consumption and production patterns By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance with agreed international Reduction in sewage and N and P contribution by shipping and other marine 12.4 frameworks, and significantly reduce their release to air, water and soil in vessels through improved sewage discharge and advanced treatment methods order to minimize their adverse impacts on human health and the environment SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in Reduction in eutrophication and N and P levels in water through improved 14.1 particular from land-based activities, including marine debris and nutrient sewage treatment methods at sea and on land and through limiting in-water pollution disposal By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by strengthening their resilience, Improved water quality and ecosystems through better sewage treatment and 14.2 and take action for their restoration in order to achieve healthy and productive disposal methods at sea and on land and limiting in-water disposal oceans Enhance the conservation and sustainable use of oceans and their resources by implementing international law as reflected in UNCLOS, which provides the Law by HELCOM with IMO support to limit off-shore sewage disposal and 14.c legal framework for the conservation and sustainable use of oceans and their improve sewage treatment methods resources, as recalled in paragraph 158 of The Future We Want SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Encourage and promote effective public, public-private and civil society The Special Area for sewage in the Baltic Sea is implemented in cooperation 17.17 partnerships, building on the experience and resourcing strategies of between the cruise shipping industry, sewage treatment and disposal partnerships companies, port authorities and the governments of the Baltic countries.

Sources and references Main site: http://www.helcom.fi/action-areas/shipping/sewage-from-ships On SDG progress in the Baltic: http://www.helcom.fi/Lists/Publications/BSEP150.pdf

Summary pamphlet: http://www.helcom.fi/Lists/Publications/Ships'%20Sewage%20in%20the%20Baltic%20Sea%20-%20New%20Special%20Area%20regulations.pdf

Case Study 20. Particularly Sensitive Sea Area: Galapagos Archipelago Particularly Sensitive Sea Area, Ecuador

Facts about the case study Case-specific entries Tool Particularly Sensitive Sea Area (PSSA) Region Pacific: South East Implementation status The designation of the Galapagos Archipelago as a Particularly Sensitive Sea Area was adopted on 22 July 2005. The Galapagos Archipelago PSSA is a designation under International Maritime Organization (IMO) Resolution A.927(22 ). It was designated in Governance 2005 by the IMO Marine Environment Protection Committee (MEPC) through Resolution MEPC.135(53). The Associated Protective Measures Mechanisms adopted for this PSSA are mandatory for the vessel types that they apply to. International Maritime Organization (IMO) Resolution A.927(22) ‘Guidelines for the Designation of Special Areas under MARPOL 73/78 and Guidelines for the Identification and Designation of Particularly Sensitive Sea Areas’, updated in 2005 by IMO Resolution A.982(24), ‘Revised guidelines for the identification and designation of Particularly Sensitive Sea Areas’, and again in 2014, through resolution MEPC.267(68): Amendments to the revised guidelines for the identification and designation of particularly sensitive sea areas (Resolution A.982(24)), MEPC 68/21/Add.1. What is the legal basis

of the ABMT? IMO Marine Environment Protection Committee Resolution MEPC.135(53) Designation of the Galapagos Archipelago as a Particularly Sensitive Sea Area.

IMO Resolution MSC.229(82) Adoption of a new mandatory ship reporting system in the Galapagos Particularly Sensitive Sea Area (PSSA) (GALREP). Also an Area To Be Avoided (ATBA), with recommended tracks, mandatory as a condition to port entry. Is there government Yes, PSSA designations usually follow an application by IMO member states under IMO Resolution A.927(22), in this case Ecuador. The support for the ABMT? protective measures associated with the Galapagos PSSA were introduced through the IMO by the Ecuadorian Government. [2] What is the institutional The protective measures associated with the Galapagos PSSA are implemented by the national government of Ecuador. [2] IMO Member framework of the States are obliged to ensure that ships flying their flag comply with the associated protective measures adopted to protect the designated ABMT? PSSA. [5] What type of organisation is the Lead The Galapagos PSSA is implemented by the national government of Ecuador. Entity? What policies are being The Galapagos Archipelago and its surrounding waters are recognised worldwide for their scientific and cultural importance and have been implemented by the declared a World Heritage Site and National Park. The PSSA designation contributes towards protecting the biological and biogeographical ABMT? diversity of the Galapagos. [3] International shipping activities pose a serious threat to the ecosystems and biodiversity of the Galapagos Archipelago, the main issue being What are the primary marine pollution from ship groundings or normal shipping operations. The objectives of the PSSA designation are to enhance maritime safety goals / objectives of the and safety of navigation as well as to protect of the marine environment in the Galapagos from the detrimental impacts of international ABMT? shipping activities. The Galapagos Archipelago PSSA implements the following protective measures:

- An outer ring, a short distance beyond the limits of the PSSA, has been designated as an "Area to be Avoided". This measure has been implemented to prevent the approach of all ships carrying oil or potentially hazardous material and all ships of 500 gross tonnage and above What are the to the PSSA. [2] management measures associated with the - Two Recommended Tracks are in place to allow ships to reach the islands from the east and west. [2] These are mandatory as a condition to ABMT? port entry.

- Mandatory ship reporting through the Galapagos mandatory ship reporting system (GALREP) applies for the entire area. Reporting applies to all traffic entering or leaving the PSSA, leaving port or anchorage, or deviating from the route submitted. [2] Does the ABMT involve PSSAs are a single sector tool used to mitigate adverse impacts associated with international shipping activities (e.g. operational discharges, cross sectoral accidental or intentional pollutions, physical damage to marine habitats or organisms) in areas that are deemed sensitive to such impacts. The cooperation? Galapagos Archipelago PSSA designation therefore does not involve cross-sectoral cooperation. Which SDGs do the management measures 11.4, 14.1, 14.2, 14.5 and 14.c support? Does the AMBT process The Galapagos Archipelago PSSA does not explicitly follow an ecosystem approach. However, is designated based upon recognised follow an ecosystem ecological, scientific or socio-economic attributes that may be vulnerable to international shipping activities, specifically habitats supporting approach? important marine mammal and sea bird species, and mangrove ecosystems. [8] PSSA identification and resulting designation is dependent upon an area meeting at least one of the criteria listed in the Revised guidance for PSSAs for which supporting information must be provided by proponent governments. Resolution MEPC 135(53) designating the Galapagos Does the ABMT process PSSA includes information about ecological criteria (uniqueness, dependency, representativeness, diversity, productivity and the natural incorporate data and character of the area) and scientific and educational criteria. [3] evidence? The recognised attributes of the area should be identified as at risk from international shipping activities. This is addressed in Resolution MEPC 135(53) through information about the vulnerability of the area to marine pollution from ship groundings and normal shipping operations. [3] What type of data was Evidence used in the Galapagos PSSA designation process included ecological, biological and biogeographical data as well as information used in the ABMT about international shipping activities and marine pollution from shipping operations and groundings. development process? Does the ABMT process No evidence of stakeholder engagement was found. It can be assumed that stakeholder engagement was not part of the designation or include stakeholder implementation of the Galapagos PSSA as this process was led by the national government of Ecuador and is a single sector measure. engagement? Does the ABMT use spatial and/or scenario No evidence of the use of spatial or scenario analysis in the decision making process for the Galapagos PSSA designation was found. analysis to support decisions? What decision-support tools were used to No evidence of the use of decision support tools in the designation process for the Galapagos PSSA was found. support the planning process? What is the spatial The Galapagos Archipelago is a province of Ecuador around 600 nautical miles off the Pacific Coast of Latin America. [1] The Archipelago focus of the ABMT? includes 5 main islands surrounded by 14 smaller islands, 42 islets and 26 rocks. [3] At what scale is the ABMT process The Galapagos Archipelago PSSA is designated around the islands of the Galapagos, which are a province of Ecuador. implemented? What is the timeframe focused on for the The Galapagos PSSA is a long term designation with no end point. management measures? Resolution MEPC.135(53) designating the Galapagos PSSA does not include a specified evaluation framework. However, the protective Does the ABMT include measures associated with PSSA designations are evolutionary and can be adapted to new circumstances or evidence, provided the IMO an evaluation agrees to the changes. For this purpose, under Resolution 982, annex 1 article 8.4 the IMO provides a forum for the review and re-evaluation of framework, and if so, any protective measures adopted associated with PSSA designations. Through this mechanism, Ecuador submitted a request to the IMO what is the framework? asking for the addition of a mandatory ship reporting system and a new device for the traffic separation scheme to the protection system of the Galapagos PSSA. [4,6] Does the ABMT include The Galapagos Archipelago PSSA has implemented a mandatory ship reporting system for both the area to be avoided and the PSSA. As part performance of the system, all vessels are required to submit a full report and to notify the Santa Cruz Maritime Rescue Sub centre via the Puerto Ayora monitoring, and if so, Radio. [7] what is the framework? What indicators are used in the monitoring No evidence for the use of indicators in the monitoring of the Galapagos PSSA was found. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers IMO Resolutions A.927(22) and A.982(24) enabled the Implementation of protective measures designation of the Galapagos Archipelago as a PSSA. Resolution through a PSSA as an IMO mechanism is The designation of PSSAs is To what extent does the A.982(24) states that associated protective measures should be an enabling factor because IMO member legal basis of the ABMT not legally binding and established by appropriate legal instruments. [6] While no states are obliged to ensure that ships support the delivery of therefore member states are evidence for this was found for the Galapagos PSSA, it can be flying their flag comply with these the ABMT and not legally bound to comply assumed to be the case here. Thus, while the PSSA designation protective measures. associated policies? with the designation. in itself is not legally binding, the associated protective measures The inclusion of legally binding protective are legally binding under the enabling legal instruments from measures through national or which they are derived, e.g. the adoption of ship reporting international legal instruments in the systems under the International Convention for the Safety of Life PSSA designation enables overcoming at Sea (SOLAS) (1974). [9] the limitations of PSSAs as legally non- binding designations. To what extent does the The Galapagos PSSA is implemented by the national government Implementation by national government institutional framework of Ecuador which means that it is enforced by national through IMO mechanisms is an enabling associated with the authorities. condition for the implementation of the ABMT support the Implementation through the IMO means that IMO member states PSSA and delivery of associated policies delivery of the ABMT are obliged to ensure that ships flying their flag comply with the as it provides the necessary enforcement and associated policies? associated protective measures. authority for effective implementation. The Galapagos PSSA contributes to the protection of the marine The single sector focus of the environment in the Galapagos Archipelago as well as the PSSA and limited scope of The specific focus of the PSSA terrestrial ecosystems and species that depend on this by To what extent does the associated protective designation could be seen as an enabling reducing the risk of pollution from shipping. However, the ABMT support the measures could be barriers to condition for addressing a specific threat associated protective measures apply only to shipping activities delivery of marine and the effective delivery of to the marine and terrestrial environment and are limited in scope. Therefore, it is possible that the coastal policies? marine policies through the of the Galapagos Archipelago that arises contribution of the PSSA to the protection of the Galapagos PSSA designation in the from pollution from shipping activities. Archipelago is only small. No evidence on the effectiveness of Galapagos Archipelago. the Galapagos PSSA was found. Due to the location of the Galapagos Archipelago, there is little scope for transboundary cooperation through the Galapagos The legal basis of PSSAs is an enabling PSSA. To what extent does the factor encouraging and facilitating More generally, the IMO guidelines for PSSAs do provide for ABMT promote transboundary cooperation in PSSA transboundary cooperation, as article 3.1 notes that in instances transboundary designations where multiple countries where two or more governments have a common interest in a cooperation? have a common interest in a particular particular area, they should formulate a co-ordinated proposal area. which contains integrated measures and procedures for co- operation between jurisdictions. [6] To what extent does the ABMT process PSSAs are single-sector mechanisms dealing only with emphasise multi-sector international shipping and mitigating associated impacts. engagement? To what extent does the The IMO guidelines for identification and designation of PSSAs Any changes to associated The provision for modification, addition ABMT utilise an include a provision for the adaptation of protective measures to protective measures must be or removal of protective measures in the iterative/adaptive changing circumstances and evidence, noting that these approved by the IMO, which IMO PSSA guidance resolution enables process? associated protective measures are evolutionary and "in the could potentially delay rapid the adaptation of PSSAs to changing future, additional associated protective measures may also be responses and mitigation threats, capacity or improved introduced to address identified vulnerabilities." (p.9, [6]) efforts. information. Measures can be modified, supplemented or removed as long as the IMO agrees to the changes. In the case of the Galapagos Archipelago, Ecuador requested a revision of the PSSA protection system through the implementation of a new mandatory ship reporting system and a new traffic separation device. [4] In IMO Resolution MSC.229(82) on the adoption of a new mandatory ship reporting system for the Galapagos PSSA it is stated that when assessing applications for designation of To what extent does the PSSAs, the IMO should take into account the technical and funding/resources of financial resources available to developing member the ABMT support its governments. As such, any proposed protective measures should delivery and associated not exceed the available capacity of the proponent member policies? government. (p.13, [6]) No further information on the role of funding in the designation and implementation of the Galapagos PSSA was found. To what extent does stakeholder There was little scope or requirement for stakeholder engagement support engagement in the designation and implementation of the the effective delivery of Galapagos PSSA. the ABMT and associated policies? The provision of evidence as to how the Galapagos Archipelago The requirement for evidence as part of meets the designation criteria set out in the IMO guidelines for the application process for a PSSA To what extent did data PSSAs was a prerequisite for the designation of the Galapagos designation is an enabling factor that provision support the PSSA. ensures the provision of a baseline of delivery of the ABMT? Moreover, reporting of shipping activities in the PSSA and Area information about an area before it is To Be Avoided is one of the protective measures associated with designated. the Galapagos PSSA.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable 3.4 The Galapagos Archipelago and its surrounding waters have been declared a national and Strengthen efforts to protect and safeguard the world’s 11.4 World Heritage site, recognized worldwide for its scientific and cultural importance. (p. 4, Res cultural and natural heritage MEPC.135(53)) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution 3.5 The designation of the Galapagos Archipelago as a PSSA will enhance maritime safety, 14.1 of all kinds, in particular from land-based activities, safety of navigation and protection of the marine environment in the area concerned. (p. 4, Res including marine debris and nutrient pollution MEPC.135(53)) By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts 3.5 The designation of the Galapagos Archipelago as a PSSA will enhance maritime safety, 14.2 including by strengthening their resilience, and take action safety of navigation and protection of the marine environment in the area concerned. (p. 4, Res for their restoration in order to achieve healthy and MEPC.135(53)) productive oceans By 2020, conserve at least 10 per cent of coastal and 3.5 The designation of the Galapagos Archipelago as a PSSA will enhance maritime safety, 14.5 marine areas, consistent with national and international safety of navigation and protection of the marine environment in the area concerned. (p. 4, Res law and based on the best available scientific information MEPC.135(53)) Resolution 982(4) may work in conjunction with UNCLOS article 192 - "obligation to protect and Enhance the conservation and sustainable use of oceans preserve the marine environment" and article194 which outlines the measures that coastal and their resources by implementing international law as nations should use in order to prevent, reduce and control pollution in the marine environment. reflected in UNCLOS, which provides the legal framework 14.c [4] In addition, PSSAs are closely related to provisions set out in UNCLOS a 211, par 6(a) which for the conservation and sustainable use of oceans and states that States may adopt laws and regulations for the prevention, reduction and control of their resources, as recalled in paragraph 158 of The Future pollution from vessels in areas within the EEZ where international rules and standards are We Want deemed inadequate. [4]

Sources and references 1 http://pssa.imo.org/galapagos/maps.htm 2 http://pssa.imo.org/galapagos/law.htm 3 IMO. Resolution MEPC.135(53). 2005. DESIGNATION OF THE GALAPAGOS ARCHIPELAGO AS A PARTICULARLY SENSITIVE SEA AREA 4 Hélèn Lefebvre-Chalain. 2007. Fifteen Years Of Particularly Sensitive Sea Areas: A Concept In Development, 13 Ocean & Coastal L.J. 5 Australian Maritime Safety Authority. 2007. Particularly Sensitive Sea Area Fact Sheet.Australian Government, Canberrra ACT Australia. 6 IMO. 2005. Resolution A.982(24) Revised Guidelines for the Identification and Designations of Particularly Sensitive Sea Areas. 7 IMO. 2006. Resolution MSC.229(82) Adoption of a new mandatory ship reporting system in the Galapagos Particularly Sensitive Sea Area (PSSA) (GALREP). Hillmer-Pegram, K., and M. D. Robards. 2015. Relevance of a Particularly Sensitive Sea Area to the Bering Strait Region: a Policy 8 Analysis Using Resilience-Based Governance Principles. Ecology and Society 20(1): 26 Prylipko, A. 2014. PSSA In The Baltic Sea : Protection On Paper Or Potential Progress?. PSSA in the Baltic Sea. 1. 9 http://commons.wmu.se/wwf/1 Case Study 21. Particularly Sensitive Sea Area: Wadden Sea Particularly Sensitive Sea Area, Netherlands

Facts about the case study Case-specific entries Tool Particularly Sensitive Sea Area (PSSA) Region Atlantic: North East Implementation status Designated in 2002 The governance framework of the Wadden Sea PSSA is a non-binding designation under International Maritime Organization (IMO) Resolution A.927(22 ). In 2002, Denmark, Germany and the Netherlands submitted a proposal to designate major parts of the Wadden Sea as a Particularly Sensitive Sea Area to the IMO Marine Environment Protection Committee. This led to the designation of the Wadden Sea PSSA by Governance the IMO in the same year. Mechanisms The Wadden Sea PSSA is not in itself legally binding, as it does not include the specification of any new associated protective measures. However, the PSSA supports the implementation of legally binding measures that already exist in the area under international conventions, EU directives and national legislation. (Butt et al. 2010). International Maritime Organization (IMO) Resolution A.927(22) ‘Guidelines for the Designation of Special Areas under MARPOL 73/78 and What is the legal basis Guidelines for the Identification and Designation of Particularly Sensitive Sea Areas’, updated in 2005 by IMO Resolution A.982(24), ‘Revised of the ABMT? guidelines for the identification and designation of Particularly Sensitive Sea Areas’ Is there government The Wadden Sea PSSA was designated following a proposal by the Governments of Denmark, Germany and the Netherlands, who collaborate support for the ABMT? in the management of the Wadden Sea area through the Trilateral Wadden Sea Cooperation. What is the institutional The Wadden Sea PSSA is managed by the Common Wadden Sea Secretariat and the Task Group Shipping, which are two of the implementing framework of the bodies for the Trilateral Wadden Sea Cooperation between Denmark, Germany and the Netherlands. ABMT? What type of The lead organisation behind the Wadden Sea PSSA is the Trilateral Wadden Sea Cooperation, a regional organisation representing the organisation is the Lead national Governments of Denmark, Germany and the Netherlands. Entity? What policies are being The Wadden Sea PSSA supports the implementation of a number of international IMO, EU and national policies related to shipping safety, implemented by the access to harbours, environmental impacts of shipping and marine environmental protection in the Wadden Sea area. All relevant policies are ABMT? listed in the original PSSA application document and in the 2010 Evaluation Report of the Wadden Sea PSSA. The objective of the Wadden Sea PSSA designation is to increase awareness of the vulnerability of the area to damage by shipping, and of the risks to navigation in and close to the area, in the international shipping community. The aim behind this is to support the protection of the What are the primary tidal Wadden Sea ecosystem which is one of the busiest maritime areas in the world, as well as an area of unique nature and an area of goals / objectives of the ecological, social, cultural and economic importance. It is recognised that this area is vulnerable to shipping. ABMT? Following the review of the Wadden Sea PSSA in 2010, the Task Group Shipping launched the development of an operational action plan addressing four key themes: awareness-raising, prevention of incidents, preparedness and response to incidents, and prevention of operational pollution. What are the The designation of the Wadden Sea PSSA does not include the specification of new associated protective measures beyond national and management measures international regulations already existing within the area. The PSSA supports the implementation of existing protective measures to reduce the associated with the risks and impacts of shipping that have been put in place by other international agreements and national legislation. The PSSA designation ABMT? supports these existing measures by raising international recognition and awareness of the vulnerability and importance of the Wadden Sea area. The existing management measures that the PSSA supports include ship traffic regulations and reporting requirements, ship traffic surveillance by Vessel Traffic Services, routeing systems, pilotage requirements, oil and garbage reception facilities in ports in and adjacent to the PSSA, and aerial surveillance of pollution by oil and other harmful substances. All relevant measures are listed in the original PSSA application and in the 2010 Evaluation Report of the Wadden Sea PSSA. Does the ABMT involve cross sectoral The Wadden Sea PSSA is a single sector ABMT with focus on shipping, it does not involve cross sectoral cooperation. cooperation? Which SDGs do the management measures 11.4, 12.4, 14.1, 14.2, 17.17 support? Does the AMBT process The Wadden Sea PSSA does not explicitly refer to the ecosystem approach. However, it implicitly applies an ecosystem approach by follow an ecosystem promoting integrated management of the Wadden Sea as an ecological entity of economic, social and cultural importance. Moreover, the approach? PSSA is part of the Wadden Sea Plan which provides an ecosystem based framework for the management of the Wadden Sea area. The application for the designation of the Wadden Sea PSSA included criteria for ecological, social, cultural, economic and scientific significance as well as information about shipping activities and natural navigational characteristics (hydrographical, meteorological, Does the ABMT process oceanographic factors) of/in the area. The evaluation of the Wadden Sea PSSA in 2010 was based on environmental and ecological incorporate data and information obtained from the Trilateral Monitoring and Assessment Programme (TMAP) and shipping data provided by the Member States of evidence? the Trilateral Wadden Sea Cooperation. Gathering of data on ship traffic and incidents in the Wadden Sea is one of the main measures supported by the PSSA. What type of data was used in the ABMT See above: ecological, social, cultural, economic, navigation and shipping data development process? The Wadden Sea PSSA designation does not include a specific stakeholder engagement process as part of the PSSA management. However, stakeholders are seen as important advocates of the Wadden Sea PSSA, the main objective of the PSSA being to raise awareness of the risks and environmental impacts of shipping, and the existing protective measures, in the Wadden Sea area. Does the ABMT process The main focus is on the international shipping community; other relevant stakeholders are all groups associated with the marine environment, include stakeholder including non-profit groups and non-governmental organisations, governmental bodies and groups whose livelihoods depend on the marine engagement? environment. The 2010 Evaluation Report found the current level of communication and awareness about the PSSA and its function to be insufficient. The two workshops following up on the Evaluation Report involved representatives from maritime shipping and nature conservation authorities, maritime shipping companies, harbour authorities, nature conservation organizations and recreational boating. Does the ABMT use spatial and/or scenario The evaluation framework for the Wadden Sea PSSA includes spatial analysis using Geographical Information Systems (GIS) software. No analysis to support further information on the use of spatial analysis was found. decisions? What decision-support No information on the use of decision support tools was found. tools were used to support the planning process? The Wadden Sea PSSA extends along the North Sea coasts of the Netherlands, Germany and Denmark, and out to about three nautical miles What is the spatial from the low water line (the baseline as determined by the UN Convention on the Law of the Sea). Internal waters (such as bays and estuaries) focus of the ABMT? as well as key shipping lanes and inhabited islands within in the designated area are not included in the PSSA. The PSSA lies within the limits of the territorial sea of the three participating States. At what scale is the The ABMT is implemented at a regional (trans-national) scale. The Wadden Sea PSSA covers major parts of the Dutch, German and Danish ABMT process Wadden Sea, promoting transboundary cooperation between these three countries. implemented? What is the timeframe focused on for the The Wadden Sea PSSA does not have a specified timeframe or review period, it is a long term designation. The IMO Guidelines for PSSAs management (Resolution A.982(24)) do not include requirements to determine timeframes for PSSA designations. measures? An evaluative framework to measure the effectiveness of the PSSA was developed as part of the first review of the Wadden Sea PSSA in 2010. The evaluative framework is based on a pressure‐state‐response approach and associated key indicators: Pressure: Shipping volume (type), shipping incidents, low impact collision, high impact collision, oil spills reported, oil spills by Does the ABMT include type/volume/coverage, offshore development, dredging. an evaluation State: Tributyltin (TBT, a component of anti-fouling paint) and invasive species. framework, and if so, Response: Development of associated protective measures, communication to mariners, co‐ordination between states, oil spill response, what is the framework? stakeholder awareness. For the first review, environmental and ecological data was obtained from the Trilateral Monitoring and Assessment Programme; shipping data was provided by the participating States; information about stakeholder awareness was collected through a questionnaire. The Wadden Sea PSSA in itself does not include a monitoring programme. Does the ABMT include However, the Wadden Sea area is monitored under the Trilateral Monitoring and Assessment Programme, which is part of the wider performance management strategy of the Trilateral Wadden Sea Cooperation between the Netherlands, Germany and Denmark. This existing monitoring monitoring, and if so, programme provides data which enables monitoring and evaluation of the environmental performance of the PSSA. what is the framework? Further, the PSSA supports the implementation of ship traffic reporting and surveillance measures, which provide data on shipping in the area. What indicators are See above: shipping volume (type), shipping incidents, low impact collision, high impact collision, oil spills reported, oil spills by used in the monitoring type/volume/coverage, offshore development, dredging; tributyltin (TBT, a component of anti-fouling paint) and invasive species. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers To what extent does the IMO Resolutions A.927(22) and A.982(24) enabled the designation of the Lack of specific legally legal basis of the ABMT Wadden Sea area as a PSSA. However, the PSSA designation in itself is not binding associated support the delivery of legally binding, and no new or specific legally binding protective measures are protective measures the ABMT and associated with the Wadden Sea PSSA. Therefore, legal support of the associated with the Wadden associated policies? delivery of associated policies through the PSSA designation is limited. The Sea PSSA is a barrier that 2010 Evaluation Report identified the lack of associated protective measures limits the potential of the as a limitation of the potential of the PSSA designation in the Wadden Sea. PSSA designation to deliver associated aims and policies. The institutional framework is provided by the Trilateral Wadden Sea Cooperation, a cooperation agreement between the Netherlands, Germany and Denmark based on the 'Joint Declaration on the Protection of the Wadden Having an existing Sea' which was originally signed in 1982. The organisational structure of the institutional framework with Trilateral Cooperation includes the Common Wadden Sea Secretariat and a To what extent does the established working number of Task Groups. The Common Wadden Sea Secretariat coordinates, institutional framework relationships between relevant promotes and supports the work of the Trilateral Cooperation, functioning as associated with the government bodies in place is the main point of contact and involving the public through communication, ABMT support the an enabling condition as it awareness raising and education. The Task Groups support the Cooperation delivery of the ABMT facilitates the implementation through specific monitoring and scientific tasks. and associated of the PSSA designation and The Common Wadden Sea Secretariat and the Task Group Shipping are policies? provides an organisational responsible for managing the PSSA designation. structure for the management The Wadden Sea Cooperation, Common Wadden Sea Secretariat and Task of the PSSA. Groups provide an institutional framework with established working relationships between relevant government bodies for the implementation and management of the PSSA. Lack of protective measures The aim of the PSSA designation is to support the protection of the Wadden specifically associated with Sea area from the impacts of shipping. The 2010 Evaluation of the Wadden the PSSA means that the Sea PSSA found the marine environment in the Wadden Sea area to be in a effectiveness of the healthy state, with improvements in some areas. However, the report also designation cannot easily be highlights that since the PSSA does not have specific associated protective determined. It might also measures as part of its designation, it is not possible to determine whether or mean that a PSSA in how far the good environmental condition of the area is related to the PSSA designation without specific To what extent does the designation. associated protective ABMT support the With regard to the objective of increasing awareness of the importance and measures does not delivery of marine and vulnerability of the area, the 2010 Evaluation Report concludes that contribute much to the coastal policies? stakeholder awareness and understanding of the PSSA and its function were delivery of marine and insufficient. Therefore, the PSSA was failing to support the protection of the coastal policies. Wadden Sea area through increased awareness. Identified issues include lack

of, and inappropriate communication with mariners and other stakeholders, Ineffective communication and lack of, or inadequate marking of the PSSA on relevant charts. strategies appear to be Stakeholder engagement and communication have the potential to make the limiting the effectiveness of PSSA an effective awareness raising tool. However, at this point in time, it the PSSA in delivering its seems that this potential is not being realised. potential in supporting the protection of the Wadden Sea through increased stakeholder awareness and recognition. PSSA designations have the potential to provide a platform The Wadden Sea PSSA is part of the transboundary management framework for transboundary for the Wadden Sea area set up by the Trilateral Wadden Sea Cooperation communication and To what extent does the between the Netherlands, Germany and Denmark. More specifically, the PSSA cooperation, through the ABMT promote supports a number of international and bilateral agreements between these formal joint designation transboundary three countries which require cooperation on matters such as shipping process and management; cooperation? regulation and reporting, ship traffic monitoring and pollution surveillance. although this does not apply Transboundary cooperation is a key feature and requirement of the Wadden in the Wadden Sea where Sea PSSA. transboundary cooperation mechanisms were already in place. To what extent does the The Wadden Sea PSSA is a single sector ABMT. While the need to engage ABMT process with other marine stakeholders is recognised, the main focus is on policies emphasise multi-sector and management measures related to shipping. engagement? The development of an action plan following the review of The fact that the original The original Wadden Sea PSSA designation does not include action plans or the PSSA effectiveness To what extent does the Wadden Sea PSSA set review periods. As a result of the review of the PSSA effectiveness in suggests that the PSSA ABMT utilise an designation does not include 2010, the Task Group Shipping was tasked to develop an action plan for the framework is flexible to be iterative/adaptive action plans is a barrier to PSSA based on the recommendations in the Evaluation Report. No published adapted to changing evidence process? the facilitation of adaptive information was found on the status or outcome of this process. or circumstances, which management. would be a factor enabling adaptive management. The Common Wadden Sea Secretariat, which manages the Wadden Sea To what extent does the PSSA, is funded by the Danish Ministry of the Environment, the German funding/resources of Federal Ministry for the Environment, Nature Conservation, Building and the ABMT support its Nuclear Safety and the Dutch Ministry of Economic Affairs. No information is delivery and associated available on the budget for the PSSA and how this might affect the policies? implementation and effectiveness of the PSSA. To what extent does In theory, stakeholder engagement plays an important role in the Wadden Sea It appears that ineffective stakeholder PSSA, given that raising awareness of the importance and vulnerability of the communication strategies engagement support Wadden Sea among mariners and other marine stakeholders is a key are limiting the effectiveness the effective delivery of objective of the designation. Increased stakeholder awareness and of stakeholder engagement the ABMT and international recognition are the main ways in which the PSSA can support with, and awareness raising associated policies? the delivery of related policies and existing protective measures. In practice, of, the Wadden Sea PSSA. however, the engagement and communication strategy of the PSSA appears to be ineffective. It appears that reliance on Ecological and environmental data provided by the Trilateral Monitoring and data from the Trilateral As part of the wider Trilateral Assessment Programme, as well as shipping data provided by the Monitoring and Assessment Cooperation framework, the participating States, supported the review of the effectiveness of the Wadden To what extent did data Programme, and lack of a PSSA has access to data from Sea PSSA in 2010. The Evaluation Report concludes that the available data provision support the specific monitoring the Trilateral Monitoring and was insufficient for determining the effectiveness of the PSSA as no delivery of the ABMT? programme are limiting the Assessment Programme as monitoring data was collected that specifically linked changes in the state of monitoring and evaluation of well as shipping data provided the environment of the Wadden Sea area to the purpose and function of the the effectiveness of the by the participating States. PSSA. PSSA.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 11: Make cities and human settlements inclusive, safe, resilient and sustainable Strengthen efforts to protect and safeguard the world’s cultural and The PSSA aims to protect natural heritage although effectiveness is called into 11.4 natural heritage question. SDG 12: Ensure sustainable consumption and production patterns By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance management measures supported by the PSSA include oil and garbage reception 12.4 with agreed international frameworks, and significantly reduce their facilities in ports in and adjacent to the PSSA, and aerial surveillance of pollution by oil release to air, water and soil in order to minimize their adverse and other harmful substances impacts on human health and the environment Strengthen resilience and adaptive capacity to climate related Supports this SDG indirectly through ABMT objective to contribute to the protection of 13.1 hazards and natural disasters in all countries a vulnerable ecosystem SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all management measures supported by the PSSA include oil and garbage reception 14.1 kinds, in particular from land-based activities, including marine facilities in ports in and adjacent to the PSSA, and aerial surveillance of pollution by oil debris and nutrient pollution and other harmful substances By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by 14.2 Supports this SDG through ABMT objective but ineffective strengthening their resilience, and take action for their restoration in order to achieve healthy and productive oceans By 2020, conserve at least 10 per cent of coastal and marine areas, 14.5 consistent with national and international law and based on the Supports this SDG indirectly through support of other policies that address this SDG best available scientific information SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development The Wadden Sea PSSA is part of the transboundary management framework for the Wadden Sea area set up by the Trilateral Wadden Sea Cooperation between the Encourage and promote effective public, public-private and civil Netherlands, Germany and Denmark. 17.17 society partnerships, building on the experience and resourcing "For over 30 years, the Cooperation has united partners from politics, nature strategies of partnerships conservation, science and administration, along with local stakeholders, who together represent an enormous store of knowledge and experience." (http://www.waddensea- secretariat.org/trilateral-cooperation/about-the-cooperation)

Sources and references IMO 2002. Identification and Protection of Special Areas and Particularly Sensitive Sea Areas. Designation of the Wadden Sea as a Particularly Sensitive Sea Area Submitted by Denmark, Germany and the Netherlands. Imo Marine Environment Protection Committee, MEPC 48/7. Butt et al. 2010. Evaluation of the Wadden Sea Particularly Sensitive Sea Area (PSSA). Final report prepared for the Common Wadden Sea Secretariat of the Trilateral Wadden Sea Cooperation, by Southampton Solent University. Common Wadden Sea Secretariat, 2010. Wadden Sea Plan 2010. Eleventh Trilateral Governmental Conference on the Protection of the Wadden Sea. Common Wadden Sea Secretariat, Wilhelmshaven, Germany. Case Study 22. Ridge to Reef: Kubulau District Ridge to Reef, Fiji

Facts about the case study Case-specific entries Tool Ridge to Reef including marine protected area (MPA) network Region Pacific: South West (Fiji) Original MPA network established in 2005 Implementation status Review of MPA network in 2011 Extended MPA network endorsed in 2012 [4] The Kubulau District MPA network was established in 2005 by the local communities of Kubulau. The original MPA network included 3 district- wide no take marine reserves and 17 village-managed tabu areas. [1-4]

The Kubulau Council of Chiefs is recognised by local communities within the district to have the traditional authority to make decisions on matters affecting community life [1], including decisions regarding customary land tenure and fishing access rights which are also enshrined in Fijian national law. [2]

Governance The national Fiji Fisheries Act recognises subsistence fishing rights for traditional resource owners within their customary fishing grounds Mechanisms (qoliqoli). The boundaries of these customary fishing grounds are clearly defined and legally recognised.

The Fisheries Act includes two legal mechanisms for MPAs: 1) restricted areas (declared by the Minister for Fisheries) and 2) fishing license conditions (issued by the Fisheries Department with prior letter of consent from the village chiefs. [1] A draft management plan for the MPA network was developed and later integrated into an ecosystem based, integrated Ridge to Reef management plan (Ridge to Reef plan). The Ridge to Reef plan was developed by the Wildlife Conservation Society and endorsed by the Kubulau Council of Chiefs in 2009. [1] The plan was subsequently updated in 2012 following a series of workshops on adaptive management in Kubulau. [5] What is the legal basis The Fiji Fisheries Act [1] of the ABMT? Local customary governance systems [2] Is there government The national government of Fiji recognises traditional fishing rights, although responsibility for management of inshore fisheries remains with support for the ABMT? national government institutions. It further supports the MPA network through the issuing of fishing licences under the Fisheries Act. [2,3,4] Traditional authority for decisions regarding resource use and management in the Kubulau District lies with the Kubulau Council of Chiefs. In 2005, the Kubulau Council of Chiefs created the Kubulau Resource Management Committee (KRMC) to promote integrated management of ecosystems throughout the district. The KRMC consists of representatives from the Kubulau villages and plays a central role in the planning and implementation of the MPA network and the ecosystem-based, integrated Ridge to Reef management plan. [1,2] The Ridge to Reef plan What is the institutional was prepared for the KRMC by The Wildlife Conservation Society based on community and stakeholder consultation. [1,4] framework of the

ABMT? The KRMC has authority to make broad decisions over management and regulation of the customary fishing grounds and the 3 district marine reserves in the MPA network. Decisions by the KRMC generally need to be approved by the Council of Chiefs. Individual village chiefs retain rights to determine specific rules and regulations for the 21 village tabu areas in the MPA network. [2,4] The original Ridge to Reef plan was formally endorsed by the Council of Chiefs in 2009. It provides a detailed framework for integrated management of all types of ecosystems in the Kubulau district, including marine ecosystems. [1]

The Ridge to Reef plan integrates national law and community management rules. The community management rules were proposed by village representatives during the planning process, and have been endorsed by the KRMC and the Council of Chiefs. These community rules are not legally enforceable. Key marine related national legislation in the Ridge to Reef plan includes the Fisheries Act, which is enforceable by government, police and the courts. [1-4]

Primary responsibility for implementing the Ridge to Reef plan, including the MPA network, lies with the KRMC. The responsibilities of the KRMC include raising awareness of management rules, promoting and monitoring compliance, ensuring enforcement, and liaising with different stakeholders to ensure the completion of management activities set out by the Ridge to Reef plan. [1] The KRMC is supported by a number of sub-committees and a stakeholder consultative group. [1] The KRMC does not have legal power to implement national laws included in the Ridge to Reef plan. Responsibility for this lies with different government agencies, in particular the Department of Fisheries and the police. Community fish wardens play an important role in enforcing regulations set out by the Fisheries Act. Community fish wardens do not have legal power to enforce community rules, which instead are enforced by the local communities in accordance with national law. [1] Finally, the KRMC is supported by a number of non-governmental organisations (NGO) who mainly provide KRMC with scientific research. [3,4] What type of The lead entity of the Kubulau MPA network is a local committee of community representatives established under the local customary organisation is the Lead governance system. The Kubulau Resource Management Committee (KRMC) is appointed by the Council of Chiefs and consists of Entity? representatives from Kubulau villages. [1] The MPA network contributes to implementing the policies underlying the Ridge to Reef plan. The Ridge to Reef plan seeks to implement integrated, community-driven, sustainable and ecosystem-based management to achieve "a shared vision of 'healthy people, processes and What policies are being systems'" (p. 13, WCS 2009) and related ecosystem-based management objectives. These objectives include maintaining the natural structure implemented by the of ecosystems and their productivity, and incorporating human use and values of ecosystems in resource management. [1] ABMT? The community management rules included in the Ridge to Reef plan reflect a shared commitment of the local community to sustainably manage natural resources in Kubulau. [1] The overarching goal of the Ridge to Reef plan for Kubulau is "preservation of the functional integrity of Kubulau's ecosystems, from the ridge to the reef, through community-based management" (p. 13, WCS 2009).

What are the primary The main objectives of the MPA network are to increase the biomass and abundance of food and endangered fish, invertebrates and turtles, to goals / objectives of the maintain or improve coral reef health, productivity and resilience, and to protect spawning sites. These objectives are included in the Ridge to ABMT? Reef plan as management targets for marine ecosystems. [1, 3,4]

The MPA network was reviewed in 2011 with the aim to increase the resilience of the MPAs to climate change. [4] For each type of ecosystem in Kubulau, the Ridge to Reef plan sets out management rules (including community rules and national law), management activities that have been identified by village representatives and endorsed by the KRMC and the Council of Chiefs, and best What are the practice recommendations. Specific stakeholders responsible for implementing each activity are identified in the management activity tables management measures in the Ridge to Reef plan. [1] associated with the

ABMT? The MPA network is part of the management framework for marine ecosystems in Kubulau. The network includes 3 district-wide no-take marine reserves with 500m buffer zones and 21 village-managed tabu areas. [1,4] Fishing is prohibited in the 3 no-take marine reserves. Fishing for subsistence is allowed in the village tabu areas, whereas fishing for 'trade or business' requires a fishing license from the Department of Fisheries, granted with permission of the relevant village chief. The Ridge to Reef plan specifies further management rules for the entire Kubulau customary fishing grounds as well as for individual MPAs. These include: - restrictions on fishing methods and fishing gear, - size limits, - prohibitions for taking of protected species, - seasonal closures, - permit requirements for research, - restrictions on recreational use and mooring - other restrictions, e.g. prohibition to enter a specific tabu area.

The management activities for the MPA network are aimed at addressing a number of issues related to unsustainable fishing, including: - lack of awareness of management rules - activities: visit neighbouring districts to raise awareness, produce and distribute information materials, - lack of enforcement by police, fisheries officers and community fish wardens - activities: develop and distribute an enforcement protocol, increase number and effectiveness of patrols by securing funding for fuel, boats and radios, participate in enforcement workshop, - lack of awareness of MPA boundaries - activity: mark MPA boundaries with buoys and lines, - failure to comply with legal size limits - activity: produce and distribute size limit flyers/posters and fish rulers, - lack of alternative income - activities: development of small business proposals in the villages and youth scholarships to improve career prospects. Does the ABMT involve The Ridge to Reef plan recognises that "successful ecosystem-based management relies on cross-sectoral management" (p. 13, WCS 2009 cross sectoral [1]). Different government agencies, NGOs and private sector stakeholders are involved in the planning and management processes cooperation? implementing the Ridge to Reef plan and MPA network. [1] Which SDGs do the management measures 1.4, 1.5, 2.1, 2.2, 8.9, 12.2, 13.1, 13.3, 14.1, 14.2, 14.4, 14.5, 14.7, 14.b, 15.9, 16.7, 17.9, 17.16 support? Does the AMBT process The MPA network was designed around ecosystem-based management principles. [3] The MPA network is managed by the ecosystem-based follow an ecosystem Ridge to Reef management plan and contributes to implementing an ecosystem approach to management in the Kubulau district. [1] approach? The MPA selection process, as well as the planning process for the Ridge to Reef plan, were informed by extensive scientific evidence from Does the ABMT process ecological, biological and socio-economic surveys, resource use mapping and by local and traditional ecological knowledge. [1] incorporate data and Ecological and biological monitoring, socioeconomic household surveys, management compliance surveys and resource use mapping also evidence? provide the scientific evidence base for assessing MPA effectiveness and adaptive management. [1-4] What type of data was Data that inform planning and adaptive management processes for the MPA network and Ridge to Reef management include ecological, used in the ABMT biological and socio-economic data as well as local and traditional ecological knowledge. [1-4] development process? The review of the MPA network in 2011 was further informed by resource use mapping. [4] Does the ABMT process The KRMC is supported in the management and planning of the Kubulau MPA network by a stakeholder consultative group with which they include stakeholder meet at least four times per year. The stakeholder consultative group includes government agencies, non‐government organisations and the engagement? private sector. Community involvement in resource management activities also takes place through the KRMC sub-committees, which were created specifically for this purpose.

The Ridge to Reef plan specifies that the review process for the plan must provide opportunities for village representatives and other relevant stakeholders to comment on the plan and management process.

Lastly, the management plan also lists a number of external stakeholders, including government agencies with responsibilities regarding the use, conservation and management of natural resources in Kubulau District, non-government organisations that support scientific research, capacity‐building, strong partnerships and community engagement, and private sector, in particular dive operators who promote protection and provide funding for the reserve management through a reserve user fee system.

The roles of each sub-committee and stakeholder group are clearly defined in the Ridge to Reef plan. [1]

A recent assessment found stakeholder engagement in the implementation of Ridge to Reef management in Kubulau to meet best practice principles for engagement in integrated land-sea management processes on islands. [6] Does the ABMT use spatial and/or scenario Spatial decision support tools are used to inform planning and review processes for the MPA network. These include habitat maps, resource analysis to support use maps and prioritisation maps. These maps, in large format, were also used in stakeholder engagement processes. [4] decisions? What decision-support tools were used to Decision support tools used in planning and review processes for the MPA network include conservation planning software (Marxan), resource support the planning use, habitat and prioritisation maps, and gap analysis. [4] process? The Ridge to Reef management plan covers all terrestrial, freshwater, coastal and marine ecosystems in the Kubulau District.

The Kubulau MPA network lies within the customary fishing grounds in Kubulau District. The Kubulau customary fishing grounds cover an area of 261.6km2, extending from the high water mark to the outer edge of the fringing corals and including a number of small islands. [1] What is the spatial Within the customary fishing grounds, 19 MPAs have been declared by Kubulau communities, covering a total area of 78.7km2 (30.1% of the focus of the ABMT? area). These 19 MPAs form the original network and include 16 traditional village-managed closures (tabu areas) and 3 district no-take marine reserves. [1] The reviewed Ridge to Reef plan lists 14 MPAs, including the 3 district marine reserves and 14 village tabu areas, covering 117.5km2 (45% of the area). [5] At what scale is the ABMT process Ridge to Reef management and the Kubulau MPA network are implemented at local level in the Kubulau District. [1] implemented? What is the timeframe The Ridge to Reef plan applies an adaptive management approach. Management rules and activates are to be adapted, where necessary, to focused on for the reflect monitoring results and changes in management priorities. The Ridge to Reef plan specifies a five year review period. [1] However, if management changes in ecological conditions or management priorities call for it, the review and adaptation process can also happen sooner. The review in measures? 2011 was motivated by requirements to improve the effectiveness of existing MPAs and a new priority to improve climate change resilience. [4] Does the ABMT include The Ridge to Reef plan specifies a five year review period but does not include a specific evaluation framework. [1] Evaluation of the an evaluation effectiveness of management is based on ecological, biological and socioeconomic monitoring and decision support tools such as gap framework, and if so, analysis and mapping of priority areas. [4] what is the framework? Does the ABMT include performance The Ridge to Reef plan does not include a specific monitoring framework. Monitoring occurs through a range of ecological, biological, monitoring, and if so, socioeconomic and compliance surveys conducted mainly by the NGOs supporting the Ridge to Reef plan and MPA network. [2-4] what is the framework? What indicators are The Ridge to Reef plan does refer to indicator species for terrestrial and freshwater habitats, but no information on the use of indicators in the used in the monitoring monitoring of marine ecosystems and the MPA network was found. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers The Fisheries Act recognises subsistence fishing rights for traditional resource owners within their customary fishing grounds. However, it does not currently recognise the traditional right of resource owners to control access to their customary fishing grounds, establish and enforce restricted fishing areas through village-managed tabu areas. Reliance on customary Government recognition of The customary authority of the district Council of Chiefs to make decisions To what extent does the authority in the absence customary rights can be an regarding natural resource use and management is generally recognised by legal basis of the ABMT of legal recognition of enabling condition for resource owners in local communities, and the national government implicitly support the delivery of this authority can be a community management in but not overtly acknowledges that responsibility for managing inshore fisheries the ABMT and barrier if traditional the absence of legal lies with customary community institutions such as the KRMC, the Council of associated policies? respect for customary recognition of these Chiefs and individual village chiefs. However, lack of legal recognition of sea authority erodes. customary rights. tenure, and thus lack of legal authority for customary community institutions to manage access to their fishing grounds, was found to be one of the main reasons behind increased non-compliance with the no-take status of the marine reserves in the MPA network, as there appeared to be eroding respect for the customary authority of the Council of Chiefs [2]. The management rules set out in the Ridge to Reef plan are a combination of Customary, community led, To what extent does the community rules and national laws. The community rules were developed based management arrangements institutional framework on extensive stakeholder consultation and have been endorsed by the KRMC and based on extensive associated with the the Council of Chiefs [1]. This participatory planning process contributed to a stakeholder engagement ABMT support the sense of ownership of the Ridge to Reef plan and MPA network among local enable the implementation of delivery of the ABMT communities, which can encourage compliance [4]. The community rules reflect the MPA network. and associated a shared commitment of the communities in Kubulau to sustainably manage policies? their natural resources. However, these community rules are not legally Fishing license conditions enforceable and implementation depends on the respect of the resource owners enable legal support for the for the traditional authority of the village chiefs [1]. MPA network as they provide The key marine legislation included in the management rules is the Fisheries Act. legal protection while The Fisheries Act includes two mechanisms for legally protecting marine areas, retaining local community i.e. fishing license conditions and restricted areas. Fishing license conditions are control over the management being used in the MPA network. Licenses are issued by the Fisheries Department, of their fishing grounds. are legally enforceable and can include binding conditions. For example, they can prohibit fishing in specific areas. The fishing licenses are issued by the Fisheries Clearly defined enforcement Department, subject to a letter of consent from the village chiefs. The license responsibilities and protocols conditions for individual tabu areas are also determined by the village chiefs. are enabling conditions that Thus, fishing license conditions provide legal protection while retaining local facilitate enforcement of community control over the management of their fishing grounds. [1] The second management measures. legal option under the Fisheries Act is the designation of restricted areas. Restricted areas are declared by the Minister for Fisheries as marine reserves in which fishing is restricted to permit holders. These restricted areas are legally enforceable. However, only the Minister for Fisheries can remove or modify a restricted area, meaning that customary marine resource rights and community control of the customary fishing grounds could be lost. [1] There are currently no restricted areas in the MPA network. [5] For both community and legal rules, the Ridge to Reef plan clearly defines enforcement responsibilities and protocols. [1] Ecological and biological monitoring surveys and compliance surveys conducted between 2007 and 2009 found that some MPAs were effective in increasing fish Poor design of some of biomass and abundance, while the effectiveness of other MPAs was limited due the MPAs and non- To what extent does the to factors like scale of the protected area and non-compliance with management compliance with ABMT support the rules. [2,3] Further monitoring and resource use mapping resulted in the review management rules is a delivery of marine and process of 2011 to increase the effectiveness and climate change resilience of barrier to the effective coastal policies? the MPA network. [4] Recent monitoring studies from two of the tabu areas that delivery of the policy form part of the MPA network are not proving effective in supporting larger fish objectives behind the populations and diversity, compared to adjacent fished areas. [7,8] There has not MPA network. been any more comprehensive monitoring of the entire MPA network. The MPA network in itself promotes transboundary cooperation only insofar as To what extent does the the Ridge to Reef plan proposes to raise awareness of the MPAs and associated An ecosystem-based ABMT promote management measures in neighbouring districts. [1] management approach is an transboundary On a smaller scale, the Ridge to Reef plan which manages the MPA network enabling factor for cross- cooperation? provides a framework for transboundary cooperation between the different ecosystem management. ecosystems in the Kubulau district. The Ridge to Reef plan recognises that ecosystem-based management requires cooperation between upland and lowland communities in the management of natural resources. [1] Complementary ecosystem based management plans have also been endorsed in neighbouring districts. [9] The Ridge to Reef plan states that "successful ecosystem‐based management relies on cross‐sectoral management. The effectiveness of government To what extent does the An ecosystem-based interventions in natural resource management issues is often undermined by ABMT process management approach is an fragmentation of responsibilities and jurisdiction between government agencies. emphasise multi-sector enabling factor for cross- Ecosystem‐based management seeks to integrate management activities across engagement? sector engagement. sectoral boundaries and promote synergies between agencies, partner organisations and communities." (p. 13, WCS 2009) A clear amendment protocol The management framework for the MPA network is based on the principle of and scientific evidence from adaptive management. MPA boundaries and management measures have been, monitoring surveys are and are periodically, adapted to scientific monitoring results and community enabling factors for adaptive feedback. The Ridge to Reef plan specifies the process for amending the To what extent does the community-based management rules and activities in the plan. [1] The adaptive management is ABMT utilise an management. supported by scientific research, mainly conducted by NGOs, that provides iterative/adaptive evidence for the review of MPA and management efficiency. process? The support of NGOs who The review process in 2011 and consequent amendment of MPA boundaries conduct scientific monitoring shows that customary, community led management can be adaptive in response in the area enables the to new evidence. In fact, customary governance enables flexible modification of adaptive management of the management measures to changing conditions minimal bureaucracy. [4] MPA network. Having a user fee system and Dependence on funding funding from external partners "To date, KRMC’s primary sources of income have been user fees for Namena from external partners is an enabling factor for the Marine Reserve and external funding from partner organisations and donors. could become a barrier to community managed MPA To what extent does the Partner organisations and community members also make significant in‐kind the effective network. funding/resources of contributions, including equipment, time and labour. In the long‐term, KRMC implementation of the the ABMT support its aims to make its management activities self‐sustaining, with little or no reliance MPA network in Having a business plan to delivery and associated on external funding sources. In order to achieve this aim, KRMC and the Coral situations where external achieve self-sustained funding policies? Reef Alliance (CORAL) have developed the Namena Marine Reserve Business partners may drop out of is an enabling factor that can Plan [...]." (p. 100, WCS 2009, [1]) the process or withdraw mitigate the risks associated their funding. with relying on external partners for funding. To what extent does Stakeholder engagement plays a key role in the Ridge to Reef plan that manages Having a stakeholder stakeholder the MPA network. The Ridge to Reef plan specifies the different stakeholders and engagement framework which engagement support their roles in supporting the planning and management processes. The clearly defines the roles of, the effective delivery of stakeholder consultative group supports the KRMC in the sustainable resource and identifies the support the ABMT and management through scientific and socioeconomic research, scientific and provided by, different associated policies? technical advice, training and capacity building, fundraising support, monitoring stakeholders is an enabling and reporting of compliance, raising awareness and liaising with government. factor for stakeholder Through provision of scientific and socioeconomic information and monitoring engagement in the surveys, NGOs significantly support the monitoring and evaluation of MPAs in community-based, adaptive the network and adaptive management processes. management of the MPA The Department of Fisheries is a key external stakeholder that supports the MPA network. network through their statutory responsibility for implementing and enforcing the Fisheries Act, including fishing licenses and addressing illegal fishing. Local dive operators are the main private sector stakeholder. They support the MPA network by generating funding through a reserve user fee system. Besides supporting monitoring, enforcement and funding, another important objective of the stakeholder processes in the MPA network is to ensure community involvement in the resource management activities. Community and stakeholder consultation played a key role in the planning and adaptive management processes. Overall, the Ridge to Reef management process in Kubulau was found to rank highly in the implementation of best practice principles regarding stakeholder engagement. [6] Having NGOs that support the Data from ecological and biological monitoring, socioeconomic surveys, MPA network through To what extent did data compliance surveys, gap analysis and priority area mapping, as well as local and research and monitoring is a provision support the traditional knowledge fundamentally supported the planning of the MPA network factor that enables adaptive delivery of the ABMT? and the monitoring and evaluation of network and management effectiveness. community led management in Kubulau.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere By 2030, ensure that all men and women, in particular "The Fisheries Act recognises and maintains subsistence fishing rights for traditional resource owners the poor and the vulnerable, have equal rights to within their customary fishing ground (qoliqoli). [...] Resource owners in Kubulau recognise the economic resources, as well as access to basic customary authority of the district Hierarchy Council (Bose Vanua) to make decisions about use and 1.4 services, ownership and control over land and other management of marine resources at the qoliqoli level, including the establishment of district marine forms of property, inheritance, natural resources, reserves. appropriate new technology and financial services, Decisions about additional management measures for village fishing grounds (i kanakana) have been including microfinance made at the village level, including the establishment of village tabu areas." (WCS 2009) By 2030, build the resilience of the poor and those in vulnerable situations and reduce their exposure and The MPA network was reviewed and amended in 2011 to increase resilience to climate change. (Weeks 1.5 vulnerability to climate-related extreme events and and Jupiter 2013) other economic, social and environmental shocks and disasters SDG 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture • Improving land use and fishing practices helps protect natural resources. Unsustainable resource use undermines the resilience and productivity of ecosystems, with consequences for the availability of natural resources. By modifying resource exploitation practices, communities can enhance resource security and resilience for the future. • Public health and livelihoods depend on environmental health. By 2030, end hunger and ensure access by all people, Ecosystem‐based management enhances the long‐term productivity of local ecosystems, providing a in particular the poor and people in vulnerable 2.1 strong foundation for local livelihoods, food security and nutrition. Managing environmental threats situations, including infants, to safe, nutritious and (such as contamination of fresh water) promotes positive public health outcomes, including prevention sufficient food all year round of communicable disease. (WCS 2009)

This management plan aims to support long‐term sustainable development in Kubulau by maintaining the health and productivity of the district’s ecosystems – in particular, the coastal fisheries that most village households rely on as a source of food and income. (WCS 2009) • Improving land use and fishing practices helps protect natural resources. Unsustainable resource use undermines the resilience and productivity of ecosystems, with consequences for the availability of natural resources. By modifying resource exploitation practices, By 2030, end all forms of malnutrition, including communities can enhance resource security and resilience for the future. 2.2 achieving, by 2025, the internationally agreed targets • Public health and livelihoods depend on environmental health. on stunting and wasting in children under 5 years of Ecosystem‐based management enhances the long‐term productivity of local ecosystems, providing a age, and address the nutritional needs of adolescent strong foundation for local livelihoods, food security and nutrition. Managing environmental threats girls, pregnant and lactating women and older (such as contamination of fresh water) promotes positive public health outcomes, including prevention persons of communicable disease. (WCS 2009) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all By 2030, devise and implement policies to promote "The ecosystem management measures described in this plan, including continuing protection for 8.9 sustainable tourism that creates jobs and promotes Namena Marine Reserve, present opportunities for KRMC and local communities to generate cash local culture and products income, primarily through sustainable tourism." (WCS 2009) SDG 12: Ensure sustainable consumption and production patterns By 2030, achieve the sustainable management and "This management plan seeks to provide for the sustainable management of terrestrial, freshwater, 12.2 efficient use of natural resources estuarine, coastal and marine ecosystems in Kubulau District and adjacent coastal waters." (WCS 2009) SDG 13: Take urgent action to combat climate change and its impacts Strengthen resilience and adaptive capacity to The MPA network was reviewed and amended in 2011 to increase resilience to climate change. (Weeks 13.1 climate related hazards and natural disasters in all and Jupiter 2013) countries The functions of the KRMC include "to raise awareness of the management rules and activities set out Improve education, awareness-raising and human in this management plan" (WCS 2009) and institutional capacity on climate change 13.3 mitigation, adaptation, impact reduction and early The 2011 review process, including gap analysis and priority area mapping for climate change resilience warning factors, contributed to institutional capacity of the KRMC and Council of Chiefs to mitigate climate change impacts through increased resilience. (Weeks and Jupiter 2013) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, in particular from land-based The MPA network is managed by an integrated ecosystem based management plan that also covers 14.1 activities, including marine debris and nutrient catchment areas and addresses water pollution pollution "This management plan seeks to provide for the sustainable management of terrestrial, freshwater, estuarine, coastal and marine ecosystems in Kubulau District and adjacent coastal waters." (WCS 2009)

The overarching goal of the EBM plan for Kubulau is "preservation of the functional integrity of By 2020, sustainably manage and protect marine and Kubulau's ecosystems, from the ridge to the reef, through community-based management" (p. 13, WCS coastal ecosystems to avoid significant adverse 2009). 14.2 impacts including by strengthening their resilience, "During the Ecosystem‐Based Management Planning Workshop (February 2009), the following and take action for their restoration in order to management targets were identified for marine ecosystems in Kubulau: achieve healthy and productive oceans 1. Increase fish abundance and biomass, including food fish and endangered species. 2. Increase invertebrate abundance and biomass, including clams and beche‐de‐mer. 3. Maintain or improve coral reef health, productivity and resilience. 4. Maintain turtle abundance, including green, hawksbill, loggerhead and leatherback turtles. 5. Maintain spawning aggregations by protecting spawning sites, including reef channels." (WCS 2009) "During the Ecosystem‐Based Management Planning Workshop (February 2009), the following management targets were identified for marine ecosystems in Kubulau: 1. Increase fish abundance and biomass, including food fish and endangered species. Participants in the Ecosystem‐Based Management Planning Workshop (February 2009) identified the By 2020, effectively regulate harvesting and end following key threats to the health and productivity of marine ecosystems in Kubulau: overfishing, illegal, unreported and unregulated • over‐fishing fishing and destructive fishing practices and • destructive fishing practices implement science-based management plans, in 14.4 • harvesting tabu areas too frequently." (WCS 2009) order to restore fish stocks in the shortest time

feasible, at least to levels that can produce maximum "RECOMMENDATION sustainable yield as determined by their biological Do not take fish or invertebrates that are gravid (e.g.. large stomach fish, berried crustaceans). characteristics Protecting gravid fish and crustaceans increases the productivity of the fishery. Do not take fish in migratory ‘bottlenecks’ during peak migration seasons. Targeting migrating fish in reef channels or estuaries reduces the productivity of the fishery. Consider relocating giant clams to marine protected areas or tabu areas. Protecting clams until they reach reproductive size will help local clam populations to recover. Do not take fish smaller than the recommended size limits listed in Table 11.1 below. Catching fish that have not yet reproduced reduces the productivity of the fishery." (WCS 2009)

"Any person wishing to fish for ‘trade or business’ must obtain a fishing licence from the Department of Fisheries. Licences are only granted with the written permission of the relevant chief, and may be granted subject to conditions, including conditions prohibiting fishing in tabu areas." (WCS 2009) "Communities in Kubulau have declared nineteen community declared marine protected areas, including three district marine reserves, established by the Bose Vanua, and 16 village tabu areas, established by By 2020, conserve at least 10 per cent of coastal and the ten villages of the district (Figure 3.7). The total area covered by these marine reserves and tabu marine areas, consistent with national and areas is 78.7 square kilometres, or 30.1% of the total qoliqoli area (Table 3.1). 14.5 international law and based on the best available These marine protected areas were selected by resource owners based on information obtained from scientific information scientific research, socio‐economic survey data and local and traditional ecological knowledge. The boundaries and management measures for these marine protected areas have been refined over time in response to biological monitoring data and community feedback." (WCS 2009) "In the long‐term, KRMC aims to make its management activities self‐sustaining, with little or no By 2030, increase the economic benefits to Small reliance on external funding sources. In order to achieve this aim, KRMC and the Coral Reef Alliance Island developing States and least developed (CORAL) have developed the Namena Marine Reserve Business Plan, a five year plan to: 14.7 countries from the sustainable use of marine 1. sustainably grow the Namena Marine Reserve into a renowned tourist destination; resources, including through sustainable 2. contribute to the long‐term sustainable development of Kubulau District; and management of fisheries, aquaculture and tourism 3. derive economic benefits and develop alternative livelihoods for the people of Kubulau." (WCS 2009) "The Fisheries Act recognises and maintains subsistence fishing rights for traditional resource owners within their customary fishing ground (qoliqoli)." [...] Any person wishing to fish for ‘trade or business’ Provide access for small-scale artisanal fishers to 14.b must obtain a fishing licence from the Department of Fisheries. Licences are only granted with the marine resources and markets written permission of the relevant chief, and may be granted subject to conditions, including prohibiting fishing in tabu areas. (WCS 2009) SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values 15.9 into national and local planning, development Both forest management and MPAs are included in this example processes, poverty reduction strategies and accounts SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Traditional authority for decisions regarding resource use and management in the Kubulau District lies with the Kubulau Council of Chiefs. In 2005, the Kubulau Council of Chiefs created the Kubulau Ensure responsive, inclusive, participatory and Resource Management Committee (KRMC) to promote integrated management of ecosystems 16.7 representative decision-making at all levels throughout the district. The KRMC consists of representatives from the Kubulau villages and plays a central role in the planning and implementation of the MPA network and the ecosystem-based, integrated ridge-to-reef management plan (EBM plan). [1,2] The EBM plan was prepared for the KRMC by The Wildlife Conservation Society based on community and stakeholder consultation. [1,4]

The KRMC has authority to make broad decisions over management and regulation of the customary fishing grounds and the 3 district marine reserves in the MPA network. Decisions by the KRMC generally need to be approved by the Council of Chiefs. Individual village chiefs retain rights to determine specific rules and regulations for the 21 village tabu areas in the MPA network. [2,4] SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Capacity-Building: Enhance international support for implementing effective and targeted capacity-building in developing countries to support national plans to Capacity development is undertaken by the NGO (WCS) for various activities under the auspices of the 17.9 implement all the sustainable development goals, MPA project. including through North-South, South-South and triangular cooperation The KRMC is supported in the management and planning of the Kubulau MPA network by a stakeholder consultative group with which they meet at least four times per year. The stakeholder consultative group includes government agencies, non‐government organisations and the private sector. Multi-stakeholder partnerships: Enhance the global Community involvement in resource management activities also takes place through the KRMC sub- partnership for sustainable development, committees, which were created specifically for this purpose. complemented by multi-stakeholder partnerships that The EBM plan specifies that the review process for the plan must provide opportunities for village 17.1 mobilize and share knowledge, expertise, technology representatives and other relevant stakeholders to comment on the plan and management process. 6 and financial resources, to support the achievement Lastly, the management plan also lists a number of external stakeholders, including government of the sustainable development goals in all countries, agencies with responsibilities regarding the use, conservation and management of natural resources in in particular developing countries Kubulau District, non-government organisations that support scientific research, capacity‐building, strong partnerships and community engagement, and private sector, in particular dive operators who promote protection and provide funding for the reserve management through a reserve user fee system. The roles of each sub-committee and stakeholder group are clearly defined in the EBM plan. [1]

Sources and references [1] WCS (2009) Ecosystem‐Based Management Plan: Kubulau District, Vanua Levu, Fiji, Wildlife Conservation Society, Suva, Fiji. [2] Clarke and Jupiter 2010. Law, custom and community-based natural resource management in Kubulau District (Fiji). Environmental Conservation 37(1): 98-106. Jupiter and Egli 2011. Ecosystem-based management in Fiji: successes and challenges after five years of implementation. Journal of Marine Biology 2011. [4] Weeks and Jupiter 2013. Adaptive comanagement of a Marine Protected Area network in Fiji. Conservation Biology 27(6): 1234-1244. [5] WCS (2012) Ecosystem-Based Management Plan: Kubulau District, Vanua Levu, Fiji, Wildlife Conservation Society, Suva, Fiji. [6] Jupiter SD, Wenger A, Klein CJ, Albert S, Mangubhai S, Nelson J, Teneva L, Tulloch VJ, White AT, Watson JEM (2017) Opportunities and constraints for implementing integrated land-sea management on islands. Environmental Conservation:doi:10.1017/S0376892917000091 [7] Jupiter SD, Epstein G, Ban NC, Mangubhai S, Fox M, Cox M (2017) A social-ecological systems approach to assessing conservation and fisheries outcomes in Fijian locally managed marine areas. Society and Natural Resources 30:1096-1111 [8] Goetze J, Langlois T, Claudet J, Januchowski-Hartley F, Jupiter SD (2016) Periodically harvested closures require full protection of vulnerable species and longer closure periods. Biological Conservation 203:67-74 [9] Jupiter S, McClennen C, Matthews E (2012) Vatu-i-Ra Seascape, Fiji. In: Hilty JA, Chester CC, Cross MS (eds) Climate and Conservation: Landscape and Seascape Science, Planning and Action, Island Press, Washington DC, pp 148-161 Case Study 23. Ridge to Reef: Grenada Ridge to Reef Programme

Facts about the case study Case-specific entries Tool Ridge to Reef Region Wider Caribbean Implementation status The Ridge to Reef GEF project was approved for implementation in 2014 and initiated in 2015. [1] The Ridge to Reef Project is implemented by the Government of Grenada in Partnership with UNDP/GEF to address environmental Governance management issues within the country. The project was designed to enable Grenada to respond more effectively to international conventions Mechanisms such as the UNFCCC, the UNCBD and the UNCCD, whilst also supporting local and national regulations and policies. [4] Put in place to support ABMT implementation: Voluntary agreement/a (Memorandum of Understanding, custom) The Ridge to Reef project is consistent with the goals of various national policies in Grenada, including the: - National Strategic Development Plan (2007) - Tourism Master Plan (1997) - National Environmental Policy and Management Strategy (2005).

Other national policies that list objectives directly linked to the management and conservation of biodiversity and ecosystem services include: - Grenada's National Biodiversity Strategy and Action Plan (NBSAP) (2000) - National Action Plan (NAP) (2006) to support the UN Convention to Combat Desertification (UNCCD) - National Climate Change Policy (which identifies the need to address linkages between climate change and biodiversity) - Grenada's National Forest Policy (emphasises the role of forests in maintaining biological diversity) - Grenada Forest Rehabilitation Project (undertaking re-vegetation of forested areas following Hurricane Ivan) What is the legal basis - Strategy to implement the Grenada Protected Area System Plan (2011) [4] of the ABMT? * A more detailed list of specific legislation supporting environmental management in Grenada can be found on p. 17 [4].

The project is also in line with the Grenada Declaration to effectively conserve at least 25% of its near shore marine areas and at least 25% of its terrestrial area by 2020 as a means to contribute to the sustainable livelihoods for its people and to contribute to the world's biodiversity (CBD COP8, 2006). Grenada also has commitments under the Caribbean Challenge (2008) which includes a pledge to legally protect 20% of near shore areas by 2020 via expansion and improved management effectiveness of its marine protected area system. [4]

Protected Areas within Grenada are supported by the following legislation: - National Heritage Protection Act (1990) - The National Parks and Protected Areas Act (1991) - The Fisheries Act (1986) and its accompanying Fisheries (Marine Protected Areas) Regulations (2001) Specific financial budgets will be creatively administered in collaboration with relevant Government Competent Authorities and thus present a powerful instrument for catalysing collaboration between and among agencies. [3]

Is there government There is a Government commitment to formally establish national-level committees to oversee terrestrial and marine protected areas and for support for the ABMT? the development of community co-management structures for individual protected areas sites. [4] Organisations/working groups are tasked with ABMT with governmental mandate. Financial resources have been allocated to all stages of ABMT by government. Clearly defined responsibilities have been given to authorities for ABMT planning and implementation. The project is executed by the Ministry of Agriculture, Lands, Forests, Fisheries and the Environment (MALFFE), following UNDP's programme and Operations Policies and Procedures. Implementation of the project is carried out under the guidance of a Project Steering Committee (PSC) (co-chaired by UNDP and MALFFE), which meets biannually to review project progress. The PSC is also responsible for, inter alia, monitoring compliance with project objectives, the identification of solutions to problems facing project partners, the review and approval of annual work plans, and the communication with and encouragement of stakeholder participation. [4] The day-to-day implementation of the What is the institutional project is the responsibility of the Project Coordination Unit (PCU), comprised of a Project Coordinator and an Administrative Assistant. The framework of the Project Coordinator is responsible for the general management actions of the project, e.g. preparation of annual work plans and technical and ABMT? financial reports, with the aim of ensuring progress in relation to the goals of the project. [4]

An inter-sectoral committee for co-management of the Beausejour watershed, comprised of representatives from relevant government departments (MALFFE, the Ministry of Finance/Planning, Ministry of Tourism and community-based organisations is to be established (expected in 2018) to provide input on local issues, progress and feedback. [4]

What type of The Ridge to Reef Program is implemented by the Ministry of Agriculture, Lands, Forestry, Fisheries and Environment, Grenada, with funding organisation is the Lead support from the GEF. [2] Entity? National Government The Grenada Ridge to Reef project embodies a holistic approach to terrestrial and marine management (inclusive of biodiversity, land degradation and sustainable forest management) to support Grenada's commitments to a number of international Environmental Management and Conservation Strategies. [4] The project supports the implementation of policies relating to climate change, sustainable land What policies are being management, sustainable resource management, protected area management, habitat degradation and environmental protection. implemented by the

ABMT? In addition, the project aims to support the Grenada Declaration (COP8) to effectively conserve at least 25% of its marine and territorial ecosystems by the year 2020, and the Caribbean Challenge to legally protect 20% of near shore areas by 2020 via expansion and improved management effectiveness of its marine protected area system. [4] The overall objective of the project is "to ensure that biodiversity and ecosystem functions within and around marine and terrestrial protected areas What are the primary in Grenada are better protected from threats through the adoption of an integrated “ridge to reef” approach that increases protected area management goals / objectives of the effectiveness and applies targeted sustainable land (and coastal sea) management practices, while ensuring ecosystems resilience to climate ABMT? change." [4] The main outcomes of the project are expected to include: 1. Establishment and effective management of new and existing Protected Areas 1.1 An Institutional Framework for Protected Area System Management 1.2 A Legal and Regulatory Framework for Management of Protected Areas 1.3 Expanded Protected Areas System 1.4 Management of Protected Area Units Institutionalized 1.5 Conservation and Sustainable Use of Natural Resources as a Means for Community Involvement in PA co-management 2. Climate resilient SLM practices applied in the Beausejour watershed to reduce threats adjacent to and upstream of PAs 2.1 Strengthened planning and management framework, capacities and awareness for participatory sustainable resource management. 2.2 Improved SLM and SFM practices in 6 communities resulting in reduced deforestation and land and forest degradation in the landscapes surrounding PAs. The Ridge to Reef project has designed a number of terrestrial interventions to facilitate sustainable reef management in the area, including: - Enhanced agriculture production and marketing (soil conservation and productivity practices, product value-added); - Sustainable rangeland management (training in fencing techniques, material support, a diverse impact reduction schemes, What are the community-based rule-making initiatives); management measures - Sustainable forest management that seeks to involve farmers land owners in forest rehabilitation using agro-forest species; and with associated with the deliberate sensitivity to the adjacent TPA and MPA [3] ABMT? In addition, previous engagement with local farmers and landowners in the Beausejour Annandale watershed to promote the conduct of sustainable farming practices under the Reef Guardianship Programme has provided valuable insight and aided the efforts of the Ridge to Reef project. [3] Does the ABMT involve The development of co-management structure for individual protected area sites means that private sector partners and community members cross sectoral are actively involved in the development of tourism services and attractions within a protected area. [4] cooperation? Which SDGs do the management measures 1.4, 12.2, 12.4, 13.1, 13.3, 13.b, 14.1, 14.2, 14.5, 15.9 & 16.7 support? Does the AMBT process There is no specific mention of an ecosystem approach in the project documents. However, the project provides both terrestrial and marine follow an ecosystem interventions in order to implement holistic management that addresses land-sea impacts. approach? Does the ABMT process The project has been designed around available baseline information regarding legal, regulatory and institutional frameworks, environmental incorporate data and information (which can often be unavailable, incomplete or out-dated) and capacity and technological information. [4] evidence? What type of data was The project aims to implement ecological baseline studies and conservation programs for protected areas and marine protected areas by both used in the ABMT the Forestry Department and the Fisheries Division. [4] development process? Biological/ecological information; Current human activity distribution; Cumulative human impacts/pressures; Governance information During the project preparation phase, various exercises to identify a project framework were conducted and involved the participation of key Government departments, non-governmental organisations, community-based organisations and volunteer consultants. Additionally, an outreach initiative was implemented to generate stakeholder awareness of the project. [4] An inception workshop, involving representatives from the Ministry of Finance and Planning, UNDP/GEF, the Forestry Department, the Fisheries Division and contract consultants, was held in July 2013 with the aim of helping the project team and other stakeholders understand and take ownership of the project goals and objectives. [4] An all stakeholder workshop was also held in which the results framework was analysed. [3]

Stakeholder engagement and participation during the implementation phase will be ensured through three phases: - Project planning which includes meetings with key protected area stakeholders to set goals and to specify activities requiring funding. - Project implementation will take place under the steering committee-approved annual plans that will be developed by the Ministry of Does the ABMT process Agriculture Lands, forestry, Fisheries and Environment, Ministry of Tourism and UNDP. Inter-sectoral committees for the co-management of include stakeholder the Beausejour watershed will be established and will meet regularly to discuss progress and communicate local concerns. engagement? - Project evaluation will occur annually with the participation of key stakeholders Participation of local stakeholders will be ensured through a series of workshops, consultations and other local participation forums, carried out in close coordination with PA directors and relevant Competent Authorities. [3]

The sustainability of the project has been enhanced via the involvement and direct participation of local area stakeholders who support the co- management approach. [4] The project has therefore prioritised engagement of the local community and has implemented a number of education initiatives with school children and community groups. For example, educational tours have been held, whereby school children were taken to view the Beausejour watershed, a nearby farm belonging to a Reef Guardian farmer and to the Moliniere-Beausejour MPA to view and understand how upland activities affect coral reefs. Additionally, annual summer camps have been held for school children by the Forestry and National Parks Department and Fisheries Division. [1] *A detailed list of stakeholders and their expected roles in the project can be found on p. 12 & 13 of the GEF Project document. [3] Does the ABMT use spatial and/or scenario GIS, tracking tools and field assessments are to be used to determine progress against a number of targets, e.g. expansion of protected areas analysis to support system, and ultimately support management decisions. [4] decisions? What decision-support tools were used to There is no mention of the use of decision-support tools in the project documents. support the planning process? What is the spatial The Grenada Ridge to Reef Project is a holistic approach, incorporating both the terrestrial and marine realms to address biodiversity and land focus of the ABMT? degradation issues on a national level. The project area includes the whole island territory of Grenada (344km2 of land). At what scale is the ABMT process National (e.g. country-wide, island) implemented? What is the timeframe focused on for the The Grenada Ridge to Reef project is to be implemented for a five year period, beginning in 2014 and ending in 2019. Some of the activities management implemented under the project, including climate change adaptation principles and practices, are expected to be long-term actions. [4] measures? Project evaluation will occur annually at the end of each year and before the development of the annual plan for the following year. Mid-term and final evaluations are also to be carried out as part of the project cycle. [4] The evaluations will focus on the effectiveness, efficiency and Does the ABMT include timeliness of project implementation, will identify issues for discussion and will present initial lessons learned regarding project design, an evaluation implementation and management. [4] The project replication strategy is to be designed based upon lessons learned and best practices, in framework, and if so, particular those learned from the Beausejour Watershed pilot area. [4] A final project evaluation will provide recommendations for follow-up what is the framework? activities and requires a management response. [4] *A detailed breakdown of the monitoring and evaluation plan can be found on pages 91-92 [4]. A specific co-management “Tracking Tool” (TT) will be developed and applied throughout the project lifetime for recording and evaluating the co-management process, as well as identify best management practices for replication. This TT will be community-based and tailor-made to be applied on a short term basis, and will complement the longer-term GEF Focal Area Tracking Tools [3]. Project progress is to be monitored in the UNDP Enhanced Results Based Management Platform and Project Progress Reports can be generated. [4]

Does the ABMT include Periodic monitoring of project sites occurs via site visits and the production of field visit reports. [4] performance monitoring, and if so, The project document also sets out a number of targets for each outcome, some of which are time bound. For example: what is the framework? - The establishment and implementation of a coral reef resilience program (protocol) within 5 years of project initiation. - Fisheries division application of integrated natural resource management principles and practices using enhances law and/or regulations within 2 years. - A water quality/quantity protocol set in place within year 2 of the project, e.g. a "Monitoring, Measurement, Evaluation and Response" Protocol (p.56, [4]) The project document identifies a number of indicators of progress against the 2 primary outcomes of the project and notes the baseline conditions for each. Example indicators include: - Institutional framework for management effectiveness in and around PAs What indicators are - Regulatory and legal framework for management effectiveness in and around PAs used in the monitoring - PA network infrastructure and services of the ABMT? - Community involvement in PA management through conservation and sustainable use of natural resources - Benefits/profitability from conservation/ sustainable-use resource-based livelihood opportunities - Community participation in Sustainable Forest Management - Direct carbon benefits through avoided deforestation; forest enrichment; and planting in the Beausejour watershed. - Pesticide and fertilizer levels at two MPAs downstream of Beausejour. Environmental indicators (e.g. water quality, habitat/species distribution); Social indicators (e.g. employment levels, conflict resolution);

Case study assessment Assessment Responses Barriers Enablers questions The Ridge to Reef project and environmental management in Grenada are underpinned by a number of development policies including the National Strategic Development Plan (2007), the Tourism Master Plan (1997) and the National Environmental Policy and Management Strategy (2005). In addition, Grenada has various commitments under Grenada's National Biodiversity Strategy and Action Plan (NBSAP, 2000), National Action Plan (NAP, 2006) to support the UN Convention to Combat Desertification (UNCCD), The Legal and regulatory gaps Grenada Declaration and the Caribbean Challenge. Various voluntary To what extent hinder the effectiveness commitments to biodiversity does the legal of legislation to meet basis of the A barrier analysis conducted by UNDP/GEF identified deficient environmental planning conservation have been management ABMT support and weakness in policy formulation and implementation as a barrier to effective made by Grenada and as requirements and the delivery of the environmental management. The project document notes the need to more explicitly such, provide an incentive therefore cannot provide ABMT and reflect management and conservation of biodiversity and ecosystem functions in for the Government to sufficient legal backing associated enhanced law and regulations, but also annual work plans and government strategies. [4] implement ABMTs to for certain management policies? It is noted that the current legal and regulatory framework for Protected Areas has meeting such pledges. measures. several gaps, including the need for more adaptive legislation to accommodate more effective biodiversity conservation measures, including the inclusion of climate change adaptation principles. [4] The project document notes that the existing legal and regulatory framework for MPAs is more complete than that for terrestrial protected areas, which will eventually require review to ensure compatibility and consistency with management requirements. [4]

To what extent The executing agency of project is the Ministry of Agriculture, Lands, Forests, Fisheries The establishment of a does the and the Environment (MALFFE), which implements project actions through the Project dedicated body for project institutional Coordination Unit, with guidance from the Project Steering Committee. An inter-sectoral implementation framework committee for the co-management of the Beausejour watershed will provide input on demonstrates government associated with local issues, progress and feedback so as to ensure local community voices are heard. commitment to supporting the ABMT the project. support the delivery of the The UNDP project document notes that an issue for management of Grenada's protected ABMT and areas is the lack of effective structures to coordinate the activities of separate agencies A dedicated body may also associated involved in protected area management e.g. the Fisheries Division, the department of have dedicated resources to policies? Forestry and National Parks and the Ministry of Tourism. [4] The Ridge to Reef Project implement the project, complements rather than substitutes ongoing baseline programs for the conservation helping to promote progress. and management of biodiversity and ecosystems functions under the Government of Grenada. As such, the project provides opportunities for institutional strengthening that The inclusion of local views is relevant to long-term biodiversity management and conservation to ensure that in the planning and implementing agencies are capable of continuing activities beyond the project's lifetime. implementation process, [4] through a dedicated inter- sectoral committee, helps to ensure community needs are addressed and promote community and local support. The project works towards the delivery of effective environmental management of both terrestrial and marine habitats in a holistic and inclusive manner. The existing policy Existing policy To what extent framework for environmental management in Grenada is limited in its ability to address frameworks are limited in The project addresses both does the ABMT all concerns surrounding management of the terrestrial and marine environment. their capacity to address terrestrial and marine issues, support the Therefore a listed output of the project is to strengthen the protected area policy environmental promoting a holistic delivery of marine framework via the establishment of bodies to oversee terrestrial and marine protected management issues ecosystem-ecosystem and coastal areas and to develop strategic plans for such bodies. The project also aims to support which hinders effective approach. policies? the finalisation of draft laws and regulations to allow for the effective management and management. enforcement of regulations and penalties to be applied at all protected area sites. [4]

To what extent The project is implemented on a national scale, with several pilot areas, including the does the ABMT Moljiere-Beausejour MPA. The project encourages cooperation between land and marine promote activities within the area. The project scope is limited to the coastal waters of the area transboundary within Grenada's territorial waters and as such, there is no transboundary cooperation cooperation? required.

To what extent Specific co-management does the ABMT structures facilitate multi- Cross-sectoral coordination occurs through various engagement mechanisms and the process sector cooperation for development of co-management structures for individual protected areas ensures multi- emphasise multi- management of individual sector planning and management. [4] sector protected areas under the engagement? project. It is unclear as to if and how the project might adapt to address changing circumstances. Therefore it is difficult to assess how adaptability has affected the ABMT To what extent process. However, in relation to the co-management of protected areas which involved does the ABMT community management, an evaluation conducted by ICRI identified a number of utilise an important considerations for effective implementation of community-based iterative/adaptive management. One such is the need to review activities based on the latest information process? and status when implementing activities in cooperation with local communities. This allows for activities to be adapted as necessary in accordance with the findings of the review. (p.23, [7]) In an analysis of barriers to sustainable resource use and biodiversity conservation, The development of co- insufficient funding of sustainable land management and sustainable forest financing approaches management was noted. This limited field activities to outreach programs and the demonstrates government controlling of illegal activities and consequently, conservation of ecosystem services and commitment to supporting research and monitoring were constrained, which ultimately affected the collection of project implementation into baseline data. [4] the future. There is a strong reliance The project was designed to seek and to accommodate co-financing or co-programming on donor funding, which The provision of non- for planned activities from concurrent projects at the local or regional level. For example, may limit the future financial support for external implementation is to be carried out in line with: implementation of the agencies is beneficial in To what extent - Implementing Integrated Land, Water & Wastewater Management in Caribbean SIDS project beyond the end improving capacity and does the project (2012-2016) date of donor support. awareness in stakeholders funding/resource - Sustainable Financing & Management of Eastern Caribbean Marine Ecosystem Project and community groups and s of the ABMT - Caribbean Aqua-Terrestrial Solutions (CATS) regional development cooperation Financial limitations can helps to encourage support its program [4] hinder the participation and support. delivery and implementation of associated policies? Financial capability is noted as one of the key limiting factors for implementing monitoring programmes The creation of regulations sustainable management practices. As such, the Caribbean Aqua-Terrestrial Solutions and data collection which for fee collection systems, (CATS) program has provided funding for the implementation of sustainable practices, affects the selection of contributes financial as well as technical equipment, policy and legal advice, training and skills, and capacity appropriate management capacity, and the to help run workshops and meetings. [7] An example of training includes National REEF measures. establishment of a dedicated Check training and Certification Courses for the underwater monitoring of coral reefs in trust fund ensures that MPAs. [8] money generated by protected areas is Financing is a key issue for protected area management in Grenada, with the government channelled back into the of Grenada spending approximately US$1.8million/year on management - an amount management of protected that is deemed insufficient to enable the expansion of the national protected area areas. system. [4] In addition, there is a lack of a business plan to prioritise the use of financial resources and visitor fees are not retained by the MPA or management agencies, rather they are deposited into the government's consolidated fund. However, the Ridge to Reef Project aims to develop a visitor fee system for protected areas and to develop a business plan to guide long term revenue and spending. The project also aims to aid the finalisation of draft regulations to allow for effective management and enforcement regulations within protected area sites, to ensure that fees enter into a National Protected Area Trust Fund. [4] *A detailed account of project budget, donors and predicted expenditure for 2017 can be found on pages xii-xviii. [6] Stakeholder engagement is a key component of the project cycle, with stakeholder participation proposed during the 3 stages of the project: planning, implementation and evaluation. The establishment of an inter-sectoral management committee comprised of a number Prioritisation of dialogues of stakeholders as well as representatives from government departments and and education enables community-based organisations helped to ensure that local concerns and feedback community ownership and could be voiced throughout the project cycle. This is especially important in ensuring address generational community ownership of the project and its goals and measures. interests in sustainable

management. A number of different engagement mechanism have been utilised in the Grenada Ridge

To what extent to Reef project including workshops, education and training programmes and public Involvement of stakeholders does stakeholder meetings. Examples include: engagement at all stages of project, - June - July 2016: Workshop and one-to-one mentoring on Business planning and support the enables community buy-in development effective delivery and support, which - Coral Restoration Programme: A community-based initiative focusing on growing corals of the ABMT and ultimately influences in a controlled environment, with the ultimate aim of using these corals to restore associated effective implementation. degraded reefs throughout Grenada. This programme involved PADI dive training for policies? programme coordinators and for community volunteers. Recognition of stakeholders - Ridge to Reef Summer Camps: Both the Forestry and National Parks Department and implementing good Fisheries Division held summer camps for school children in 2016 to educate on the practices helps to foster importance of terrestrial and marine ecosystem and how they can be managed community buy-in and appropriately. support the implementation - educational initiatives/tours: Education programmes have been prioritised under the of management measures. Ridge to Reef programme to engage children and community groups to inform them of the ridge to reef management approach. In addition, the reef guardian programme has helped local land owners and farmers to implement agricultural good practices and the stewardship projects have provided recognition for those demonstrating sustainable management practices. This recognition has helped to promote sustainable practices within local communities and has fostered community buy-in to the programme and consequently contribute to the Ridge to Reef Project through more sustainable land and watershed management. Lack of an agreed upon or centralised data repository and dissemination strategy impedes the sharing of It is noted in the project document that the management of protected areas in Grenada is data between agencies constrained by a lack of information on the status and trends of local ecosystems, and ultimately the including information on the composition of ecosystems and their functions, changes in To what extent implementation of did data provision species abundance and distribution and changes in ecosystem coverage, as well as appropriate management support the inadequate baseline data for a number of terrestrial and marine issues. [4] It is also measures. delivery of the noted that there are a number of agencies that generate and utilise spatial information,

ABMT? however systems for data collection, storage and dissemination are "poorly co-ordinated A lack of baseline data and largely incompatible", thus hindering the effective utilisation of data in area hinders the assessment management. (p.25, [4]). of project progress towards targets, which influences the ability of measures to adapt in a timely fashion.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 1: End poverty in all its forms everywhere

By 2030, ensure that all men and women, in particular the poor and The project has included specific indicators and opportunities to promote women's the vulnerable, have equal rights to economic resources, as well as participation in an intersectoral committee/ advisory council, farm capacity enhancing 1.4 access to basic services, ownership and control over land and other initiatives, and various value-added activities that process local biodiversity-based forms of property, inheritance, natural resources, appropriate new products. (p.9 Annex A.2, [3]) technology and financial services, including microfinance SDG 12: Ensure sustainable consumption and production patterns "Sustainable agricultural production practices, including: Soil conservation practices, By 2030, achieve the sustainable management and efficient use of 12.2 water management practices, sustainable soil enrichment practices and apiculture." natural resources (p.51, [4]) By 2020, achieve the environmentally sound management of chemicals and all wastes throughout their life cycle, in accordance "Sustainable soil enrichment practices (increased use of organic fertilizer from 12.4 with agreed international frameworks, and significantly reduce their livestock pens; reduced use of inorganic fertilizers)" (p.51, [4]) release to air, water and soil in order to minimize their adverse impacts on human health and the environment SDG 13: Take urgent action to combat climate change and its impacts Strengthen resilience and adaptive capacity to climate related "Introduction of climate resilient technologies to 6 local area communities within the 13.1 hazards and natural disasters in all countries 1547ha Beausejour watershed pilot region, together with the adjacent MPA.” (p.58, [4]) "Introduction of climate resilient technologies to 6 local area communities within the Improve education, awareness-raising and human and institutional 1547ha Beausejour watershed pilot region, together with the adjacent MPA.” (p.58, [4]) 13.3 capacity on climate change mitigation, adaptation, impact reduction

and early warning Public awareness campaign developed and implemented (p.66, [4]) Promote mechanisms for raising capacity for effective climate change related planning and management in least developed "6 villages trained in alternative livelihoods related to biodiversity, sustainable forest 13.b countries and small island developing States, including focusing on management, sustainable land management and climate change issues" (p. 66. [4]) women, youth and local and marginalized communities SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development By 2025, prevent and significantly reduce marine pollution of all kinds, "15% reduction in the sediment and fertilizer and pesticide levels at the 1TPA and the 1 14.1 in particular from land-based activities, including marine debris and MPA; and with reduced soil erosion on steep landscapes." (p.58, [4]) nutrient pollution By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts including by Climate resilient sustainable land management practices applied in the Beausejour 14.2 strengthening their resilience, and take action for their restoration in Watershed to reduce threats adjacent to and upstream of Protected Areas. (p.42, [4]) order to achieve healthy and productive oceans Caribbean Challenge (2008) which includes a pledge to legally protect 20% of near shore areas by 2020 via expansion and improved management effectiveness of its By 2020, conserve at least 10 per cent of coastal and marine areas, marine protected area system 14.5 consistent with national and international law and based on the best

available scientific information Grenada Declaration to effectively conserve at least 25% of its near shore marine areas and at least 25% of its terrestrial area by 2020 as a means to contribute to the sustainable livelihoods for its people and to contribute to the world's biodiversity (CBD COP8, 2006) SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values into national "Terrestrial Protected Area and Marine Protected Area planning & management 15.9 and local planning, development processes, poverty reduction instruments and guidelines formally incorporated into the Government’s strategies and accounts Administration" (p.60, [4])

Sources and references 1 Ridge to Reef Project. 2016. The R2R Newsletter. Issue One. 11/10/2016. Available from: http://www.bb.undp.org/content/dam/barbados/docs/Publications/undp_bb_R2R_Newsletter_1st_Issue.pdf?download 2 UNDP. 2016. Implementing a “Ridge to Reef” Approach to Protecting Biodiversity and Ecosystems. [Online]. Available at: http://www.bb.undp.org/content/barbados/en/home/operations/projects/environment_and_energy/RidgetoReef.html 3 GEF. 2014. Project Document. https://www.thegef.org/sites/default/files/project_documents/Grenada_GEFID_5069_0.pdf 4 UNDP. 2014. Implementing a “Ridge to Reef” Approach to Protecting Biodiversity and Ecosystem functions within and around Protected Areas in Grenada Project Document. 5 UNDP. 2014. Project Appraisal Committee (PAC) Meeting Minutes for the "Implementing a ridge to Reef" Approach to Protecting Biodiversity and Ecosystem functions within and around Protected Areas in Grenada. UNDP (Barbados and the OECS), UN House, Christ Church Barbados, 1st Oct 2014. Available at: https://info.undp.org/docs/pdc/Documents/GRD/PAC%20Minutes%20Ridge%20to%20Reef%20Oct%202014.pdf 6 Ministry of Finance and Energy 2017. Estimates of Revenue and Expenditure for the year 2017. Government of Grenada. Available at: http://www.gov.gd/egov/docs/budget_speech/Est-revenue-expenditure-2017.pdf 7 ICRI Secretariat. 2015. Case Studies: From Ridge to Reef. Implementing coral reef conservation and management through a community-based approach emphasizing land-sea connectivity. Tokyo, Japan 8 CATS. 2014. Congratulation – 35 Reef Check Certifications in Underwater Monitoring Achieved in the CATS2 MMAs. CATS2 February-April 2014. [Online]. Available at: http://caribbeancats.org/index.php/congratulation-35-reef-check-certifications-in-underwater-monitoring-achieved-in-the-cats2-mmas/

Case Study 24. Ridge to Reef through community based management: Nansei Shoto Ecoregion Ridge to Reef, Japan

Facts about the case study Case-specific entries Tool Ridge to Reef (through Community Based Management (CBM), Biodiversity Priority Area (BPA)-based conservation system) Region Pacific: North West The project has three target local community in the Nansei Islands, Shiraho, Kumejima and Yanbaru During 2011- 2016. The project: - promoted planting a "Greenbelt" to prevent red soil run-off, and launched local sustainable business to produce local brand products using Green Belt plant (Shiraho) - A local NPO was launched for capacity building of the local community to conduct conservation activities autonomously (Shiraho) Implementation status - The NPO signed an agreement with a nation-wide travel agency, to start a study tour (Shiraho) - A local NPO and local government started a fund with the local fishery sector to work on soil run-off issue (Kumejima) - A local stakeholder analysis was conducted in order to plan and focus an effective local network (Yanbaru) - A Local high school included monitoring of soil sediment into its curriculum (Yanbaru) The project is organized and lead by WWF Japan, and governed by municipal government (Okinawa Prefecture) and local governments (villages) and local citizens. This project "Nansei Shoto Ecoregion and eco-friendly village at Shiraho Community" is launched to implement the parts of targets of the national plan "The Action Plan to Conserve Coral Reef Ecosystem in Japan", with regional focus on the Nansei Islands.

Was in place for the ABMT process: Non-binding, and Voluntary agreement Governance Prior to the project, WWF Japan launched "WWF Coral Reef Conservation and Research Centre" in Shiraho Village to establish autonomous Mechanisms conservation by local residents in 2000, and had been conducting a Biodiversity Priority Area (BPA)-based conservation system model in two local areas. Put in place to support ABMT implementation: Binding, Non-binding, Voluntary National umbrella plan of this project "The Action Plan to Conserve Coral Reef Ecosystem in Japan" was established in 2010. Participants (WWF, prefectural and local governments, Ministries) of this projects must report the accomplishment to the Ministry of the Environment. At the local community level, collaborations are made through the Non-binding instruments and/or voluntary agreement. Regional level: Okinawa Prefecture regulation on prevention of red soil run-off This regulation mandates local governments (village base), communities and commercial sectors efforts to prevent red soil run-off in their governance and commercial activities. It also mandates citizens to follow the policy that is made by local government to prevent red soil run- What is the legal basis off. of the ABMT? National level: Action plans of coral reef ecosystem conservation in the Nansei Islands and its umbrella plan "The Action Plan to Conserve Coral Reef Ecosystem in Japan" are established pursuant to the following national legislation. Law for the Promotion of Nature Restoration http://law.e-gov.go.jp/cgi-bin/idxselect.cgi (in Japanese) Basic Act on Ocean Policy http://law.e-gov.go.jp/htmldata/H19/H19HO033.html (in Japanese) Basic Act on Biodiversity http://www.biodic.go.jp/biodiversity/initiatives/docs/biodiversity.pdf (in Japanese) Yes. Local governments (village) support activities of the local community including funding, e.g. the Kumejima island project, where a local NPO established an agreement with the local government to work cooperatively on the issue of red soil run-off. Prefectural government Is there government collaborates the project particularly on prevention of red soil run-off according to the law "Okinawa Prefecture regulation on prevention of red support for the ABMT? soil run-off". National government (Lead is Ministry of the Environment) govern and supervise the overarching coral reef ecosystem conservation. The projects were not supported or funded by government, but public sector such as insurance and trading companies’ contract with WWF to grant each projects. At local level, WWF Japan is the main organizer and leader of the project. WWF Japan facilitates activities and collaboration of local governments, public sectors, local NPOs, social and national scientific institutes, fisheries and agriculture community, private sectors, educational bodies, and citizens to implement the locally specific CBM measures. The WWF Coral Reef Conservation and Research Centre serves to provide CBM training opportunities to local people involved in conservation as well as external researchers. A local conservation and management NPO were launched from WWF in Shiraho during the projects to carry out conservation activities such as promotion of eco- tourism, connection of local commercial goods production and prevention measure of red soil run-off. What is the institutional framework of the At prefectural level, Okinawa prefecture organizes "Okinawa Coral Reef Conservation Consortium". The consortium is implementing coral reef ABMT? conservation measures, including the prevention of red soil run-off and the promotion of eco-tourism, over Okinawa prefecture. WWF exchanges information and collaborates with other conservation bodies/projects in the prefecture to promote this community-based management project through the network of the consortium.

At national level, "The Action Plan to Conserve Coral Reef Ecosystem in Japan" by the Ministry of the Environment overarches domestic coral reef conservation programs including this project and Okinawa Coral Reef Conservation Consortium. What type of organisation is the Lead The lead entity of the project is International NGO (WWF Japan) Entity? The project implement the following three policy targets of "The Action Plan to Conserve Coral Reef Ecosystem in Japan" What policies are being - prevention of red soil run-off implemented by the - promotion of sustainable tourism in coral reef ecosystem ABMT? - establish the connection between life of local communities and coral reef ecosystem. What are the primary The project aims to establish a system run by local residents through which they can empower their own communities and simultaneously goals / objectives of the contribute to the long-term conservation and sustainable use of the coral reef ecosystems. ABMT? What are the Build "Green Belt" with local plant to prevent red soil run-off. management measures Promote eco-tourism associated with the Incorporate coral reef conservation into school's curriculum ABMT? Capacity building of local community for coral reel conservation and monitoring Local plan also used in products that can be sold. Does the ABMT involve Yes. Local governments, public sectors, local NPOs, social and national scientific institutes, fisheries and agriculture community, private cross sectoral sectors, educational bodies are involved in the project. cooperation? Which SDGs do the management measures 8.3, 8.9, 12.2, 14.1, 14.2, 15.9, 16.7, 17.9, 17.16 and 17.17 support? Does the AMBT process Yes, this project aims to conserve the coral reef "ecosystem". WWF Coral Reef Conservation and Research Centre and collaborator scientists follow an ecosystem provide the project scientific knowledge needed for better ecosystem based management. approach? Does the ABMT process incorporate data and Yes, data was incorporated into the process. evidence? What type of data was Natural and social science data are used in the management of this project. Natural science data consists of data on coral reef ecology and used in the ABMT biology, biodiversity, local oceanography, ocean and land biogeochemistry, red soil run-off model, land use analysis etc. Social science data development process? include behavioural phycology, economics, population, stakeholder analysis etc. Does the ABMT process Yes. The project implementation involves multiple stakeholders e.g. local stakeholder analysis was conducted in order to plan and focus an include stakeholder effective local network in Yanbaru case. engagement? Does the ABMT use spatial and/or scenario No information on this was found. analysis to support decisions? What decision-support tools were used to In addition to local stakeholder analysis, SWOT analysis was conducted to determine priority sites and target selection during the first phase support the planning of the Yanbaru project. process? What is the spatial Land - coastal interaction in local of three islands of the Nansei Islands. Particularly from land sources of red soil run-off to coral reefs. focus of the ABMT? At what scale is the The process is implemented at the Local level in the Nansei Islands. However, the project aims to promote establishment of CBM of whole the ABMT process Nansei Islands area. implemented? What is the timeframe The project was in implementation from 2011-2016 as part of a 5 year WWF conservation plan period. The first phase was the plan, "The Action focused on for the Plan to Conserve Coral Reef Ecosystem in Japan", led by the national government from 2010-2015. Various type of community-based management management measures are implemented by WWF Officers in three target regions, and as such timeframes of those independent measures measures? vary. All projects of three regions were closed in the term of WWF 5 years conservation plan (2011-2016). The current iteration of the action plan is for the period 2016-2020. Yes. Evaluation of the project accomplishments is made in accordance with the 5 year plan "The Action Plan to Conserve Coral Reef Does the ABMT include Ecosystem in Japan". In addition to the final evaluation at 5th year, mid-term evaluation is made in the 3rd year. To evaluate implementation an evaluation status against the three policy targets (see the list): framework, and if so, - prevention of red soil run-off what is the framework? - promotion of sustainable tourism in coral reef ecosystem - establish the connection between life of local communities and coral reef ecosystem. Does the ABMT include performance Yes, follow up survey to monitor performance of the project periodically carried out in accordance with the 5 year plan "The Action Plan to monitoring, and if so, Conserve Coral Reef Ecosystem in Japan". what is the framework? What indicators are used in the monitoring The development of indicators based on aquatic samples was planned for the project, however this was not feasible. of the ABMT?

Case study assessment Assessment questions Responses Barriers Enablers National legislations (Law for the Promotion of Nature The major source of red soil is local Clarification of relevance of the local Restoration, Basic Act on Ocean Policy, Basic Act on farms, but measurement to prevent coral reef conservation activities to Biodiversity) provide the legal base of "The Action Plan to red soil run-off are not fully adapted International and intergovernmental Conserve Coral Reef Ecosystem in Japan" which are non- by local farmers due to lack of human ocean conservation and management binding schemes. At the local base, the Okinawa Prefecture power, infrastructure, capacity gaps initiatives including SDGs 2030 could regulation on prevention of red soil run-off supports and lack of suitable legislation to drive motivate national government to establishment of the system, by mandating active action. mandate coordination among To what extent does the involvement of local government and commercial sectors ministries to setting proper (and legal basis of the ABMT but the legislation does not specify details and extent of the While the Ministry of Environment is mandate) legislation to prevent red support the delivery of actions to take and not take. the leading governmental organization soil run-off from local farms. the ABMT and of the Action Plan, the Ministry of associated policies? In September 2017, northern Yanbaru region was specified Agriculture, Forestry and Fisheries is Designation as a National Park, and as a Japanese National Park (National PA). Furthermore, in charge of agriculture, and the World Heritage (if successful), could they are considering applying for World Heritage status (it is Ministry of Land, Infrastructure, not only motivate local community to thought that this application could be a result of the Transport and Tourism is in charge of continue present conservation and success of the community based management projects, land use. Agreement of those management efforts, but also however this is not explicitly stated in the project report). ministries are needed to set a strong encourage national governments to The application for this is unique in that they hope to legislation on prevention of red soil support their activities and lead register the area as World Heritage designated not only for run-off from farms, but it is not an coordination of ministries to tackle its exceptional nature and wildlife, but also natures' role in easy process. red-soil run-off programs. culture, tradition and lives of the local community. Increased visitor numbers as a consequence of National Park status (and if successful, World Heritage) which could have adverse impacts on local wildlife and ecosystems Careful management of increasing visitor trends and associated threats will be needed. This project is part of a National Top- down project and there is always a Clarification of relevance of the local risk of cuts in government funding. coral reef conservation activities to The WWF project ended in 2016 and International and intergovernmental the time frame for the current action ocean conservation and management Current institutional frameworks efficiently work to deliver plan is 2016-2020. However, activities initiatives including SDGs 2030 can the ABMT and targets policy. The lead organization WWF To what extent does the of this program should be continued motivate national government to coordinates collaboration of multi-sectorial institutional framework after 2020 to conserve coral reef pursue top-down support to the Action associated with the organizations/stakeholders. At the upper level, "The Action ecosystems into the future. Plan long term. ABMT support the Plan to Conserve Coral Reef Ecosystem in Japan" supports delivery of the ABMT the collaboration and engagements of those organizations Although WWF functions well in In addition to facilitating function of and associated and stakeholders. The project implementation are facilitating collaboration of multi- WWF, comprehensive project policies? supported, followed up and evaluated in accordance with sectoral organizations/stakeholders, management plan overarching sub- The Action Plan. there still are sectorial boundaries projects will help effective use of among local communities, which are budgetary and human resources. likely to result in inefficiency of project Setting project focal points can be a implementation, e.g. redundancy of solution. human and resource allocation. The project supports the delivery of coral reef ecosystem The inclusion of an economic conservation policy. The project successfully established a mechanism for the local communities To what extent does the sustainable business plan by local communities and to earn revenue through eco-tourism ABMT support the connected it to the prevention of red soil run-off, delivering and local brand development help to delivery of marine and policy targets 1 and 3 (as noted below). The project engage them and promote the project. coastal policies? promoted the eco-tourism in the coral reef ecosystem, The link between the benefits of these delivering policy target 2, and school curriculum on coral local businesses and the impacts of reef ecosystem conservation, delivering policy target 3. land degradation were made visible to The three policy targets are: the local communities who were then 1. prevention of red soil run-off motivated to help stop this impact. 2. promotion of sustainable tourism in coral reef ecosystem 3. establish the connection between life, culture and industries of local communities and coral reef ecosystem. Frequent and/or periodical The project focuses on impacts of red soil run-off on coral workshops/dialogues among local reef ecosystem of sub-national regions which consist of communities can help them 1) learn small islands. Because causes and socio-economical and WWF facilitated the area-based To what extent does the successful approaches of others, ecosystem impacts of red soil run off is locally specific, management process, however the ABMT promote which may be applicable to their own each of which conducts its own CBM system and other project ended in 2016, meaning that transboundary communities, and 2) become aware of conservation measures. WWF Japan, the major project WWF no longer facilities activities in cooperation? connectivity of local activities of the organiser, works as facilitator to networks municipal line with the management approach. participant communities in various governments, NPOs, and local citizens of different islands, aspects for conservation of coral reef who engage in prevention of red soil run-off. conservation in this study region. Due to the nature of the CBM, the project implementation The currently established Frequent and/or periodical depends on collaboration of multiple sectors , such as collaboration scheme will not work, if workshops/dialogues among local To what extent does the Municipal and local governments, public sectors, fisheries, economical and societal demands of communities, as well as regular ABMT process agricultural and other land use industries, local NPOs, each sector and relationships among assessment/evaluation of sub- emphasise multi-sector natural and social scientific institutes, and local citizens. sectors may be changed depending projects can help participants revise engagement? Thus, the project put a great emphasis on multi-sector on the local situation or project the action plan to fit the economical engagement. transition. and societal demands of the time. Regular consultancy by experts on the The business models of eco-tourism business performance can help local The project goal is to establish the systems through which and local brand development communities review and revise the local citizen can empower their own communities. The established or under development in business plans to secure enough project already enabled local community to form business this project will fail if the local revenues to feedback to coral reef To what extent does the and education models to implement the long-term communities cannot constantly earn ABMT utilise an conservation activities long-term. conservation and sustainable use of the coral reef revenue from those businesses. iterative/adaptive ecosystems. Some of them are already on operation, and process? Monitoring and assessment of the some are in preparation. Once these systems are Local community will lose their state of coral reef ecosystem, which established and fully adapted, the conservation measure will motivation for conservation if they show the positive relationship work automatically. cannot clearly see the relationship between business revenues and coral between their business revenue and reef state, can help motivate the local better condition of local coral reef community to continue to make ecosystems. conservation efforts. Continuous subsidy from regional and national government provides business advice for communities in securing long term coral reef related revenues. This subsidy provides helpful motivation to the local communities to keep going. This project is funded by WWF Japan. Original funding

supports including subsidy from major companies such as The business models of eco-tourism Continuous subsidy from regional and To what extent does the Sumitomo Seimei insurance company and Mitsui Bussan and local brand development funding/resources of national government provides revenue trading company in Japan. Because the project goal is to established or under development in the ABMT support its for scientific research to monitor local establish business and educational models for local this project will fail if the local delivery and associated coral reef ecosystem. Community community to implement sustainable use of coral reef communities cannot constantly earn policies? motivation comes from this subsidy. ecosystems, the system shall work autonomously once it revenue from those businesses.

becomes successful. Designation as the National Park, and World Heritage (if successful), may help attract funding for effective conservation and management activities and improved infrastructure which would ultimately improve their brand. Periodic stakeholder analysis can As the objective of this project is to establish sustainable update information on their interest business by local community, successful implementation of priority and help to adjust the To what extent does this project relies on establishment of multi-sectorial and Stakeholders engaged in the current stakeholder implementation plan to adapt to multi-stakeholder engagement. The project conducted projects may lose their motivation if engagement support stakeholder demands at the time. stakeholder analysis to promote stakeholder engagement. their priorities and relationships with the effective delivery of Stakeholder engagement was also facilitated through the local residents change in response to the ABMT and Promotion of citizen science to promotion of citizen science, whereby local community local situations or project transitions. associated policies? involve local community members members were involved in monitoring and the collection of enables effective management by environmental data. building community trust and buy-in. To what extent did data Successful implementation of this project relies on the Scientific results are sometimes Better science communication with provision support the scientific knowledge obtained through biological, ecological difficult for local communities and non-scientists can increase delivery of the ABMT? data of the coral reef ecosystem, land use, population and stakeholders to understand, awareness of coral reef ecosystem socio-economic data. When a project is initiated by an particularly on the relevance of its conservation among the public and ‘outsider,’ the sharing of project goals that are based on value to their daily activities and local stakeholders. scientific measurement, and measurable goals or specific economies. The project made efforts priority area of conservation work, is especially effective in to explain scientific data and terms Scientific facts which clearly show the gaining approval from local residents. As part of the project, using colour graphs, maps and charts relationship between its coral reef communication and management tools for mobile devices to facilitate improved understanding conservation efforts and local were developed, including interactive maps, data reporting and increase local interest. business revenue and economic systems which helped to engage local communities in growth can motivate people for monitoring and the collection of data. conservation activities.

Kumejima project has been helped by citizen involvement in monitoring activities: the promotion of citizen science helps build local capacity within the community for coral reef conservation, improves knowledge and awareness, and improves the communication of issues.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all Promotion of sustainable tourism in coral reel ecosystem Promote development-oriented policies that support Support establishing local rules and resource management schemes regarding tourism through productive activities, decent job creation, participation from various groups, in order to use local resources in a sustainable way while entrepreneurship, creativity and innovation, and 8.3 balancing local development and environmental educational activities encourage the formalization and growth of micro-, Promote cooperation among various local conservation groups and responsible organizations in small- and medium-sized enterprises, including through different areas, and establish networks so as to share information on their efforts and common access to financial services challenges. (The Action Plan to Conserve Coral Reef Ecosystem in Japan, 2016)

By 2030, devise and implement policies to promote Promotion of sustainable tourism in coral reel ecosystem 8.9 sustainable tourism that creates jobs and promotes Support establishing local rules and resource management schemes regarding tourism through local culture and products participation from various groups, in order to use local resources in a sustainable way while balancing local development and environmental educational activities (The Action Plan to Conserve Coral Reef Ecosystem in Japan, 2016)

SDG 12: Ensure sustainable consumption and production patterns Appropriate management and use of biological resources Promote balanced approach in performing appropriate resource management and conservation activities, in order to conserve coral reef ecosystem and at the same time use the fishery resources By 2030, achieve the sustainable management and 12.2 efficient use of natural resources in a sustainable way. Raising awareness about the role and value of coral reef ecosystem as well as the significance of fisheries in the local economy and culture is important in fulfilling this goal (The Action Plan to Conserve Coral Reef Ecosystem in Japan, 2016).

SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development Integrated watershed management connecting land and sea Pursue conservation efforts by tackling point- and nonpoint source pollution from the land (i.e., By 2025, prevent and significantly reduce marine 14.1 pollution of all kinds, in particular from land-based sediment and polluted water), one of the factors negatively affecting coral reef ecosystem; and activities, including marine debris and nutrient pollution further coordinate integrated watershed management approach that considers the connection between land and sea (The Action Plan to Conserve Coral Reef Ecosystem in Japan, 2016).

Integrated watershed management connecting land and sea By 2020, sustainably manage and protect marine and Pursue conservation efforts by tackling point- and nonpoint source pollution from the land (i.e., coastal ecosystems to avoid significant adverse 14.2 impacts including by strengthening their resilience, and sediment and polluted water), one of the factors negatively affecting coral reef ecosystem; and take action for their restoration in order to achieve further coordinate integrated watershed management approach that considers the connection healthy and productive oceans between land and sea (The Action Plan to Conserve Coral Reef Ecosystem in Japan, 2016).

SDG 15: Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss By 2020, integrate ecosystem and biodiversity values Ridge to reef project - planning 3 local areas in a green belt to help reduce run-off which impacts the 15.9 into national and local planning, development terrestrial and marine ecosystem. processes, poverty reduction strategies and accounts SDG 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all Ensure responsive, inclusive, participatory and 16.7 Local level action to prevent soil run off complements national policy to protect coral reefs. representative decision-making at all levels SDG 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development Encourage and promote effective public, public-private 17.17 and civil society partnerships, building on the the NPO signed an agreement with A nation-wide travel agency, to start A study tour (Shiraho) experience and resourcing strategies of partnerships Capacity-Building: Enhance international support for implementing effective and targeted capacity-building A local NPO was launched for capacity building of the local community to conduct conservation in developing countries to support national plans to 17.9 implement all the sustainable development goals, activities autonomously (Shiraho) including through North-South, South-South and triangular cooperation Multi-stakeholder partnerships: Enhance the global The project focuses on impacts of red soil run-off on coral reef ecosystem of sub-national regions partnership for sustainable development, which consist of small islands. Because causes and socio-economical and ecosystem impacts of complemented by multi-stakeholder partnerships that red soil run off is locally specific, each of which conducts its own CBM system and other 17.16 mobilize and share knowledge, expertise, technology conservation measures. WWF Japan, the major project organiser, works as facilitator to networks and financial resources, to support the achievement of municipal governments, NPOs and local citizens of different islands, who engage in prevention of red the sustainable development goals in all countries, in soil run-off. particular developing countries

Sources and references 1 The Action Plan to Conserve Coral Reef Ecosystem in Japan, Ministry of the Environment 2016 (in Japanese) (http://www.env.go.jp/press/files/jp/102644.pdf) The Action Plan to Conserve Coral Reef Ecosystem in Japan, Ministry of the Environment (https://www.env.go.jp/nature/biodic/coralreefs/pamph/pamph_full- 2 en.pdf) 3 Case Studies: From Ridge to Reef (https://www.env.go.jp/nature/biodic/coralreefs/pamph/C-community_EN.pdf) 4 Activities for prevention of red-soil runoff in the Yanbaru region: collaboration of scientific research and local communities. WWF Report, June 2017 (In Japanese)

Case Study 25. Vulnerable Marine Ecosystem: Mid Atlantic Vulnerable Marine Ecosystem, North-East Atlantic

Facts about the case study Case-specific entries

Tool Vulnerable Marine Ecosystem (VME) closures

Region Atlantic: North East

Implementation status Areas closed in July 2009. Closures extended in 2014 until December 2017. Review of closures in 2017 [1, 2]

The concept of vulnerable marine ecosystems was introduced by UN General Assembly Resolution (61/105) in 2006. Following this, the Food and Agriculture Organization of the United Nations (FAO) developed the International Guidelines for the Management of Deep-sea Fisheries in the High Seas which provide details on the VME concept for fisheries management. The FAO Guidelines, which were adopted in 2008, are a voluntary tool to support States and Regional Fisheries Management Organizations in the sustainable management of deep sea fisheries in areas beyond national jurisdiction. The Mid-Atlantic VME area closures were first put in place in 2009 by a Recommendation of the North East Atlantic Fisheries Commission (NEAFC) on VME closures and bottom fishing. This Recommendation was repealed and replaced in 2014 by the NEAFC Recommendation Governance Mechanisms on the protection of vulnerable marine ecosystems in the NEAFC Regulatory Area (NEAFC Rec 19:2014, amended by Rec 09:2015), as proposed by the Permanent Committee on Management and Science (PECMAS). NEAFC Recommendations, and the associated conservation and management measures for fisheries, are legally binding for all Contracting Parties that agree to the measures (measures are not binding on Contracting Parties that object) [3,4].

Was in place for the ABMT process: Non-binding instrument: guidelines document Put in place to support ABMT implementation: Binding, legally enforceable instrument: NEAFC Recommendation

UN General Assembly Resolution (61/105) on Sustainable fisheries, through the 1995 Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks and related instruments. What is the legal basis of the 1980 Convention on Future Multilateral Cooperation in North-East Atlantic Fisheries (North East Atlantic Fisheries Commission ABMT? Convention). NEAFC Recommendation (19:2014) on the protection of vulnerable marine ecosystems in the NEAFC Regulatory Area (as amended by Recommendation 09:2015).

National Governments are the Contracting Parties to the North East Atlantic Fisheries Convention. The Contracting Parties support the work of the North East Atlantic Fisheries Commission (NEAFC) through representation in the Committees and Working Groups. Further, Is there government support control and enforcement of NEAFC regulations is the responsibility of the flag-states which license the vessels that operate in the NEAFC for the ABMT? Regulatory Area. [3] Organisations/working groups are tasked with ABMT with governmental mandate The Mid-Atlantic VME is managed by the North East Atlantic Fisheries Commission (NEAFC), the Regional Fisheries Management Organisation for the North East Atlantic. The Contracting Parties to the NEAFC Convention are Denmark (in respect of the Faroes Islands and Greenland), The European Union, Iceland, Norway and Russia. In the management of the Mid-Atlantic VME, NEAFC takes into account the guidance provided by the UN Food and Agriculture What is the institutional Organisation (FAO) in the Code of Conduct for Responsible Fisheries, as well as other relevant international standards. framework of the ABMT? The NEAFC management framework for the Mid-Atlantic VME encompasses current management measures and the NEAFC Scheme of Control and Enforcement, which describes procedures for Monitoring, Control and Surveillance of fishing activities within the NEAFC Regulatory Area. Ensuring compliance with NEAFC regulations is the responsibility of the flag-states licencing the fishing vessels that operate within the NEAFC area. [3]

The lead entity for the Mid Atlantic VME is the Regional Fisheries Management Organisation for the North East Atlantic region, the North What type of organisation is East Atlantic Fisheries Commission (NEAFC). the Lead Entity? Regional Organisation

With the Mid-Atlantic VME, NEAFC implements an UN General Assembly Resolution on the protection of vulnerable marine ecosystems, as well as policies to ensure the long-term sustainability of deep sea fish stocks and non-target species, to rebuild depleted stocks, and to implement the precautionary approach where scientific information is uncertain, unreliable, or inadequate. [2] This NEAFC policy reflects the objective set out in the FAO Guidelines for the Management of Deep-sea Fisheries in the High Seas "to What policies are being promote responsible fisheries that provide economic opportunities while ensuring the conservation of marine living resources and the implemented by the ABMT? protection of marine biodiversity" (p. 2, FAO 2009). The VME closures further contribute to achieving the overarching objective of the North East Atlantic Fisheries Commission, which is to ensure the long-term conservation and optimum utilisation of fishery resources in the NEAFC Convention area in order to provide sustainable economic, environmental and social benefits.

The primary goal of the Mid-Atlantic VME is to prevent significant adverse impacts of bottom fishing activities on vulnerable marine ecosystems in the NEAFC Regulatory Area. Area closures and other fisheries management measures to protect vulnerable marine What are the primary goals / ecosystems also contribute to ensuring the long-term sustainability of deep sea fish stocks and non-target species, and rebuilding objectives of the ABMT? depleted stocks. [2] Conserve or restore the health of marine ecosystem/s

The management of the Mid-Atlantic VME encompasses 1) area closures in which bottom fishing activities are prohibited, and 2) existing What are the management fishing areas in which conservation and management requirements or restrictions are in place that prevent significant adverse impacts on measures associated with VMEs, including: the ABMT? 1) allowing, prohibiting or restricting bottom fishing activities, 2) requiring specific mitigation measures for bottom fishing activities, 3) allowing, prohibiting or restricting the use of certain gear types, gear designs and/or deployment methods for bottom fishing, 4) any other relevant requirements or restrictions. [2]

The Mid-Atlantic VME is a single sector measure to manage fisheries, and in particular bottom fishing activities, in the NEAFC Regulatory Area. It does not involve cross sectoral cooperation. However, NEAFC also cooperates with the OSPAR Commission for the Protection of Does the ABMT involve the Marine Environment of the North East Atlantic, which has designated High Seas Marine Protected Areas in the North East Atlantic. cross sectoral cooperation? Measures within these MPAs are under the competence of OSPAR, which does not include fisheries. This cooperation is in particular through the collective arrangement between competent international organisations on cooperation and coordination regarding selected areas in areas beyond national jurisdiction in the North‐East Atlantic [9][10].

Which SDGs do the management measures 8.4, 12.2, 14.2, 14.4, & 14.c support?

Does the AMBT process The FAO Guidelines for the Management of Deep-sea Fisheries in the High Seas state that fisheries management measures adopted to follow an ecosystem implement responsible and sustainable fisheries should be in accordance with the ecosystem approach to fisheries. [5] approach?

Management measures for the NEAFC Regulatory Area, including VME closures, are based on independent scientific advice provided by Does the ABMT process the International Council for the Exploration of the Sea (ICES). [3] incorporate data and Under Recommendation 19:2014, Contracting Parties are further required to collect relevant data to facilitate the assessment of evidence? exploratory bottom fishing (i.e. bottom fishing activities outside area closures or existing bottom fishing areas, or changes to current bottom fishing activities in existing bottom fishing areas). [2]

Data used for management of the Mid-Atlantic VME includes spatial data (i.e. geographical location and extent of VMEs), seabed mapping data, as well as biological and ecological data on species and habitats, and fisheries data (including vessel name, gear type, date, position, What type of data was used depth, species code). in the ABMT development VME indicators are used to identify areas of vulnerable marine ecosystems, e.g. 30 kg of live coral in a trawl tow. All VME indicators process? relevant to the NEAFC Regulatory Area are listed in NEAFC Recommendation 19:2014. [2] Biological/ecological information; Current human activity distribution;

Does the ABMT process include stakeholder No formal stakeholder engagement process could be identified. engagement?

Does the ABMT use spatial Seabed mapping and position (latitude/longitude) data are used to define closed areas and bottom fishing areas in the management of and/or scenario analysis to the Mid-Atlantic VME. support decisions? What decision-support tools were used to support the The assessment of exploratory fishing activities involves VME mapping, impact and risk assessments. planning process?

The NEAFC Regulatory Area encompasses four areas in waters beyond national jurisdiction that fall within the larger NEAFC Convention Area. Beyond the Regulatory Area, most of the Convention Area, which extends approximately from Greenland in the west to the Barents What is the spatial focus of Sea in the east and Portugal in the south, lies within the national waters of the Contracting Parties. the ABMT? Within the NEAFC Regulatory Area, 13 areas are currently closed to bottom fishing for the protection of VMEs. The coordinates of these area closures are defined in NEAFC Recommendation 19:2014. [2]

The Mid-Atlantic VME is implemented at regional scale. It is located in the area beyond national jurisdiction in the North East Atlantic that At what scale is the ABMT falls under the responsibility of the North East Atlantic Fisheries Commission (a Regional Fisheries Management Organisation). process implemented? Regional (e.g. international transboundary)

What is the timeframe The timeframe for management measures to protect VMEs is medium term. The effectiveness of NEAFC Recommendation 19:2014 and focused on for the the associated management measures in protecting VMEs from significant adverse impacts of bottom fishing is reviewed by NEAFC management measures? every five years. A review is scheduled for 2017.

NEAFC Recommendation 19:2014 includes a framework for the assessment of proposed exploratory bottom fishing activities. This assessment should be based on the precautionary approach where scientific information is uncertain, unreliable, or inadequate. Annex 4 of the Recommendation lists 7 points that should be considered in the assessment, including type of fishing; best available scientific and Does the ABMT include an technical information on the state of the fishery and the ecosystems in the fishing area; identification, description and mapping of known evaluation framework, and if or likely VMEs in the area and of likely impacts on these VMEs; a risk assessment of likely fishing impacts on VMES; and mitigation and so, what is the framework? management measures. No information on an evaluation framework for the effectiveness of the overall NEAFC Recommendation on the protection of VMEs was found.

Does the ABMT include NEAFC Recommendation 19:2014 includes monitoring requirements for proposals to undertake exploratory bottom fishing, including a performance monitoring, catch monitoring plan and plans for monitoring of bottom fishing activities using gear monitoring technology and seabed mapping data. and if so, what is the No information on overall performance monitoring for the management of the Mid-Atlantic VME was found. framework?

What indicators are used in NEAFC Recommendation 19:2014 lists all VME indicator species of relevance to the NEAFC Regulatory Area. the monitoring of the ABMT? Environmental indicators: presence of indicator species

Case study assessment Assessment questions Responses Barriers Enablers Contracting Parties to the North The UN General Assembly Resolution and Regional East Atlantic Fisheries Convention Fisheries Management Convention provide a legal can decide not to agree to specific The existence of a UN Resolution and a framework for the implementation of VME closures and NEAFC Recommendations, in which Regional Fisheries Management To what extent does the related management measures in areas beyond national case they are not legally bound to legal basis of the ABMT Convention as legal framework are jurisdiction. Regulations set out by NEAFC these Recommendations. Moreover, support the delivery of enabling factors for the implementation Recommendations are legally binding for all Contracting there is no overarching independent the ABMT and associated of VMEs in areas beyond national Parties that agree to the Recommendations. However, enforcement authority. These are policies? jurisdiction. enforcement lies within the responsibility of the barriers to the legal support for

Contracting Parties, and States who do not agree with implementing VMEs in areas beyond the recommendations are not legally bound by them. national jurisdiction in the North East Atlantic.

To what extent does the The existence of a Regional Fisheries Management institutional framework The existence of a Regional Fisheries Organisation facilitates the management of VMEs in associated with the Management Organisation is an enabling areas beyond national jurisdiction in the North East ABMT support the condition of the implementation of VMEs Atlantic. delivery of the ABMT and in areas beyond national jurisdiction. associated policies? A barrier to the evaluation of the The Mid-Atlantic VME closures implement policies on the effectiveness of VMEs in the NEAFC To what extent does the protection of vulnerable ecosystems and sustainable Regulatory Area appears to be lack ABMT support the management of deep sea fish stocks. However, no of a monitoring framework for delivery of marine and information on the effectiveness of the Mid-Atlantic VME existing fishing areas and area coastal policies? in the NEAFC Regulatory Area in delivering these policies closures [7]. Monitoring was found. requirements are only in place for exploratory fishing areas. VME closures are intended specifically for areas in the high seas that lie beyond national jurisdiction. North East Atlantic Fisheries in areas beyond national jurisdiction The existence of a Regional Fisheries To what extent does the are managed jointly by Contracting Parties to the North Management Organisation as lead entity ABMT promote East Atlantic Fisheries Convention, through the NEAF for the management of the Mid-Atlantic transboundary Commission. The Mid-Atlantic VME lies within this VME enables transboundary cooperation cooperation? NEAFC Regulatory Area. Thus, the Mid-Atlantic VME in the management of these VMEs. promotes transboundary cooperation through involvement of the Contracting Parties in the NEAFC. The Mid-Atlantic VME does not involve multi-stakeholder engagement as the VME area closures and associated management measures apply only to bottom fisheries To what extent does the activities. ABMT process VMEs are a fisheries management tool, as outlined in the emphasise multi-sector FAO Guidelines for the Management of Deep-sea engagement? Fisheries in the High Seas, and, in the case of the Mid- Atlantic VME, implemented by a Regional Fisheries Management Organisation. VME area closures and associated management To what extent does the measures in the NEAFC Regulatory Area are reviewed A regular medium term review period and ABMT utilise an and adapted to new findings every five years. Further, provisions for identification of new VMEs iterative/adaptive requirements for fishing vessels operating in the area to are enabling factors for adaptive process? record and report evidence of potential new VMEs are in management of the Mid-Atlantic VME. place. To what extent does the funding/resources of the No information on funding was found. ABMT support its delivery and associated policies? The lack of a formal stakeholder engagement process is a potential To what extent does barrier to the support of the fisheries stakeholder engagement sector for the effective delivery of No formal stakeholder engagement process could be support the effective VME closures and associated identified. delivery of the ABMT and policies, for example through associated policies? compliance and self-enforcement, although no evidence for this was found for the Mid-Atlantic VME. Ecological, biological, oceanographic and fisheries data Access to scientific advice from ICES is play a key role in identifying and managing VMEs in the Data limitations could be a potential an enabling factor for supporting the To what extent did data NEAFC Regulatory Area. The data is mainly provided by barrier to the delivery of VMEs. delivery of VMEs in the NEAFC provision support the the International Council for the Exploration of the Sea However, no evidence was found Regulatory Area through data, as the delivery of the ABMT? (ICES), Contracting Parties and the fishing vessels that this is the case for the Mid- scientific advice provided by ICES is seen operating in the area. ICES in particular is seen as the Atlantic VME. as independent and enables a regular source of independent scientific advice. review process. No information on issues regarding the availability of A clear commitment to apply the data was found. NEAFC Recommendation 19:2014 precautionary approach can be a states that management measures to protect VMEs potential enabling factor as it can help should be based on scientific evidence and where prevent stalling of VME processes due to scientific information is uncertain, unreliable, or data limitations. inadequate, the precautionary approach should be adopted.

SDG policy analysis Management Measure / policy Ocean-related Sustainable Development Goals and Targets (Please cite policy/measure e.g. PartXI, p.3, UNCLOS) SDG 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all "the implementation by NEAFC of effective measures to prevent significant adverse impacts of bottom fishing activities on vulnerable marine ecosystems known to occur or likely to occur in the NEAFC Regulatory Area" (NEAFC Rec 19:2014)

Improve progressively, through 2030, global resource "This Recommendation takes into account NEAFC’s responsibility as a regional fisheries efficiency in consumption and production and management organisation to adopt measures in the Regulatory Area in regard to bottom fishing endeavour to decouple economic growth from activities, in order to contribute to the key objectives of the UN General Assembly Resolutions on the 8.4 environmental degradation, in accordance with the protection of vulnerable marine ecosystems and to ensure the long-term sustainability of deep sea 10-year framework of programmes on sustainable fish stocks and non-target species; the rebuilding of depleted stocks and, where scientific information consumption and production, with developed is uncertain, unreliable, or inadequate, conservation and management measures established countries taking the lead consistent with the precautionary approach." (NEAFC Rec 19:2014)

NEAFC’s objective is to ensure the long-term conservation and optimum utilisation of the fishery resources in the Convention Area, providing sustainable economic, environmental and social benefits. (NEAFC website) SDG 12: Ensure sustainable consumption and production patterns "This Recommendation takes into account NEAFC’s responsibility as a regional fisheries management organisation to adopt measures in the Regulatory Area in regard to bottom fishing activities, in order to contribute to the key objectives of the UN General Assembly Resolutions on the By 2030, achieve the sustainable management and 12.2 protection of vulnerable marine ecosystems and to ensure the long-term sustainability of deep sea efficient use of natural resources fish stocks and non-target species; the rebuilding of depleted stocks and, where scientific information is uncertain, unreliable, or inadequate, conservation and management measures established consistent with the precautionary approach." (NEAFC Rec 19:2014)

NEAFC’s objective is to ensure the long-term conservation and optimum utilisation of the fishery resources in the Convention Area, providing sustainable economic, environmental and social benefits. (NEAFC website) SDG 14: Conserve and sustainably use the oceans, seas and marine resources for sustainable development "the implementation by NEAFC of effective measures to prevent significant adverse impacts of bottom fishing activities on vulnerable marine ecosystems known to occur or likely to occur in the NEAFC Regulatory Area" (NEAFC Rec 19:2014)

"This Recommendation takes into account NEAFC’s responsibility as a regional fisheries By 2020, sustainably manage and protect marine and management organisation to adopt measures in the Regulatory Area in regard to bottom fishing coastal ecosystems to avoid significant adverse activities, in order to contribute to the key objectives of the UN General Assembly Resolutions on the 14.2 impacts including by strengthening their resilience, protection of vulnerable marine ecosystems and to ensure the long-term sustainability of deep sea and take action for their restoration in order to fish stocks and non-target species; the rebuilding of depleted stocks and, where scientific information achieve healthy and productive oceans is uncertain, unreliable, or inadequate, conservation and management measures established consistent with the precautionary approach." (NEAFC Rec 19:2014)

NEAFC’s objective is to ensure the long-term conservation and optimum utilisation of the fishery resources in the Convention Area, providing sustainable economic, environmental and social benefits. (NEAFC website) "the implementation by NEAFC of effective measures to prevent significant adverse impacts of bottom fishing activities on vulnerable marine ecosystems known to occur or likely to occur in the By 2020, effectively regulate harvesting and end NEAFC Regulatory Area" (NEAFC Rec 19:2014) overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and NEAFC participates in a scheme to maintain and share lists of vessels that have been found to carry 14.4 implement science-based management plans, in order out or support IUU Fishing within their own or adjacent convention areas. Vessels operating within to restore fish stocks in the shortest time feasible, at the NEAFC regulatory area are observed and inspected by NEAFC investigators in line with the NEAFC least to levels that can produce maximum sustainable yield as determined by their biological characteristics Scheme of Control and Enforcement. [8] The system consists of an A list, which places certain restrictions on vessels and a B list which places more severe restrictions on the activities of the vessel within the regulatory area and possibly beyond it. [8] Enhance the conservation and sustainable use of "These Guidelines are to be interpreted and applied in conformity with oceans and their resources by implementing the relevant rules of international law, as reflected in the United Nations Convention on the Law of the international law as reflected in UNCLOS, which Sea of 10 December 1982 (1982 UN Convention)." (p. 2, FAO 2009 Guidelines) 14.c provides the legal framework for the conservation and "Recognising the relevant provisions of the United Nations Convention on the Law of the Sea of 10 sustainable use of oceans and their resources, as December 1982; the Agreement for the Implementation of the Provisions of the United Nations recalled in paragraph 158 of The Future We Want Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, 1995, the Agreement to Promote Compliance with International Conservation and Management Measures by Fishing Vessels on the High Seas, 1993 and taking into account the Code of Conduct for Responsible Fisheries adopted by the 28th Session of the Conference of the Food and Agriculture Organisation of the United Nations in October 1995." (p. 1, NEAFC Convention 1980)

Sources and references [1] FAO 2015. Mid-Atlantic VME. Website: www.fao.org/fishery/vme/24354/169532/en [accessed on 12/06/2017] [2] NEAFC 2014. Recommendation 19:2014: Protection of VMEs in NEAFC Regulatory Areas, as Amended by Recommendation 09:2015. [3] NEAFC 2011. Website: https://www.neafc.org/ [accessed on 12/06/2017] [4] NEAFC and OSPAR (2015) The Process of Forming a Cooperative Mechanism Between NEAFC and OSPAR FAO 2009. International Guidelines for the Management of Deep-sea Fisheries in the High Seas. Directives internationales sur la gestion de la pêche profonde en [5] haute mer. Directrices Internacionales para la Ordenación de las Pesquerías de Aguas Profundas en Alta Mar. Rome/Roma, FAO. 2009. 73p. [6] NEAFC 1980. Convention on future multilateral cooperation in North-East Atlantic Fisheries. North East Atlantic Fisheries Commission. Gianni, M. 2012. Review of global and regional initiatives to protect cold-water corals from the impact of deep-sea fishing. Presentation given at the 5th [7] International Symposium on Deep Sea Corals, 1-6 April 2012. [8] IMO. 2017. NEAFC A and B Lists [online] Available at: https://www.neafc.org/mcs/iuu [9] https://www.ospar.org/documents?v=35111 [10] https://www.neafc.org/system/files/Collective_Arrangement.pdf