EVALUATING

GOVERNANCE
A HANDBOOK
TO ACCOMPANY
A PARTICIPATORY PROCESS
FOR A PROTECTED AREA
by Peter Abrams, Grazia Borrini-Feyerabend,
!"ia Gardner and Pi##a $ey"in%s
PARKS CANADA and TILCEPATheme on Indigenous and
Loa! Communi"ies# E$ui"% and P&o"e"ed A&eas o'
I(CN CEESP )*CPA
DRAFT FOR FIELD TESTIN+ ,u!% -../

CONTENT&
AC'NO(LE)G*ENT&++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++,
INTRO)UCTION++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++,
*HY THIS HANDBOOK0111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111112
Why is it important to evaluate the governance of a protected area?....................................................5
Why a participatory evaluation?............................................................................................................6
Can the people responsible for the governance of an area assess their effectiveness objectively?.......7
What will the handbook provide and not provide?.................................................................................
*HO IS THIS HANDBOOK FOR01111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111113
STR(CT(RE OF THE HANDBOOK111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111114.
PROTECTE) AREA GOVERNANCE-------------------------+,,
*HAT IS +O5ERNANCE01111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111144
CONTE6T IS CR(CIAL11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111144
*HAT IS THE ROLE OF +O5ERNANCE IN A PROTECTED AREA 0111111111111111111111111111111111111111111111111111111111111111114-
*HAT +O5ERNIN+ INSTR(MENTS AND PO*ERS ARE (SED01111111111111111111111111111111111111111111111111111111111111111111114/
FO(R 7TYPES8 OF PROTECTED AREA +O5ERNANCE1111111111111111111111111111111111111111111111111111111111111111111111111111111111149
THE ROLE OF LAND TEN(RE111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111143
*HAT IS :+OOD +O5ERNANCE;0111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111143
!ive principles of good governance....................................................................................................."#
$riorities differ by social conte%t.........................................................................................................&&
'n (ndigenous $eoples) perspective.....................................................................................................&&
T$E PARTICIPATOR. EVALUATION+++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++/0
A /<PHASE PARTICIPATORY E5AL(ATION=====================->
PHASE I? PLANNIN+ THE E5AL(ATION111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111-@
Identify who should be involved in the
evaluation.27
*stablish a Core $articipatory *valuation +eam.......................................................................,-
'gree upon why you are conducting a participatory evaluation. the objectives and operating
principles of the governance evaluation...............................................................................................,&
'gree on what you want to evaluate. what /good governance0 means and which criteria and
indicators can best describe it in the specific $' conte%t.....................................................................,1
Ag&ee on hoA %ou a&e going "o unde&"aBe "he eCa!ua"ion? "he s"&u"u&e and me"hods o' "he
Da&"iiDa"o&% eCa!ua"ion=============================2.
2ake sure that the Core +eam is fully prepared for the tasks ahead..........................................11
3evelop the $articipatory *valuation $lan................................................................................15
PHASE II? CARRYIN+ O(T THE E5AL(ATION11111111111111111111111111111111111111111111111111111111111111111111111111111111112@
*ngage the relevant actors in the evaluation..............................................................................5-
4enerate information in a participatory way.............................................................................5"
Carry out the participatory situation analysis5 goal and action analysis...................................56
PHASE III? TAKIN+ ACTION AND LEARNIN+ BY DOIN+1111111111111111111111111111111111111111111111111111111111111111194
(mplement the initiatives to improve governance.............................................................6"
2onitor progress through time and learn by doing666666666666666...6"
REFERENCE&----------------------------------10
ANNE2 ,3 &UGGE&TE) IN)ICATOR& FOR EVALUATING PA GOVERNANCE+++++++++++++++++++++++++14
(ndicators related to the principle of 7egitimacy and 8oice.................................................................6
(ndicators related to the principle of 'ccountability............................................................................7,
(ndicators related to the principle of $erformance..............................................................................75
(ndicators related to the principle of !airness.....................................................................................7
(ndicators related to the principle of 3irection....................................................................................-
ANNE2 /3 ON 5UALITATIVE *ET$O)& AN) TOOL&++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++46
DOC(MENT ANALYSIS11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E/
FIELD 5ISITS11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E/
INTER5IE*S111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E/
BRAINSTORMIN+ AND STR(CT(RED BRAINSTORMIN+1111111111111111111111111111111111111111111111111111111111111111111111111111111E2
5IS(AL TECHNIF(ES1111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E>
MAPPIN+1111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E>
RANKIN+ AND SCORIN+ E6ERCISES11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111E9
SAMPLIN+? STATISTICAL# P(RPOSEF(L AND SELF<SELECTED111111111111111111111111111111111111111111111111111111111111111111111E9
ANALYSIN+ STREN+THS# *EAKNESSES# OPPORT(NITIES AND THREATS)LIMITATIONS1111111111111111111111111111111E@
COMPARIN+ ALTERNATI5E OPTIONS11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111EE
ANNE2 63 ON 5UANTITATIVE *ET$O)& AN) TOOL&+++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++47
CENS(S AND STATISTICAL SAMPLIN+ TECHNIF(ES11111111111111111111111111111111111111111111111111111111111111111111111111111111111E3
HANDLIN+ AND STORIN+ INFORMATION111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111134
INFORMATION +ENERATION FORMATS111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111113/
ANNE2 0+ I)EA& FOR I*PROVING .OUR GOVERNANCE3 FIVE CA&E &TU)IE&++++++++++++++++++78
+ALAPA+OS MARINE RESER5E1111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111113>
9ackground...........................................................................................................................................#5
:teps taken to improve governance......................................................................................................#
CLAYOF(OT SO(ND CENTRAL RE+ION BOARD111111111111111111111111111111111111111111111111111111111111111111111111111111111111114..
9ackground........................................................................................................................................."--
:teps taken to improve governance...................................................................................................."-,
SO(FRIERE MARINE MANA+EMENT AREA11111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111114.@
9ackground........................................................................................................................................."-7
:teps taken to improve governance...................................................................................................."-#
+*AII HAANAS PROTECTED AREA1111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111111144-
9ackground.........................................................................................................................................""&
:teps taken to improve governance....................................................................................................."",
M(SK*A<KECHIKA MANA+EMENT AREA AND AD5ISORY BOARD111111111111111111111111111111111111111111111111111111111442
9ackground.........................................................................................................................................""1
:teps taken to improve governance.....................................................................................................""6
DRAFT ECa!ua"ing +oCe&nane HandGooB ,une -../ ii
ACKNOWLEDGMENTS
The au"ho&s o&&esDonded G% emai! Ai"h seCe&a! indiCidua!s in "he ou&se o' A&i"ing "his
Co!ume and "hese DeoD!e haCe no" Geen i"ed in "he "eH" sine "hei& ideas Ae&e me&ged o&
s%n"hesiIed Ai"h "hose o' man% o"he&s1 These in!uded B&ue Amos# +o&don Ing&am# Bi!!
,aBson# ,im ,ohns"on# ,im Mo&&ison# BoG Pea&"# YCes Rena&d and Con&ad S"eenBamD1
Thei& adCie Aas used "o on'i&m "he imDo&"ane o' e&"ain issues o& he!D guide "he
oCe&a!! emDhasis o' "he handGooB1 A 'eA DuG!ished doumen"s haCe Geen Da&"iu!a&!%
use'u! "h&oughou" "he deCe!oDmen" o' "he GooB1 The% in!ude Ba&"on e" a!1 J433@K#
Bo&&ini<Fe%e&aGend J433@K# Bo&&ini<Fe%e&aGend e" a!1 J-...K# +&aham e" a!1 J-../K#
Ma&go!uis and Sa!a'sB% J433EK and Ins"i"u"e on +oCe&nane J-..-K1
The au"ho&s a&e Ce&% g&a"e'u! "o "he DeoD!e and o&ganisa"ions Ai!!ing "o "es" "he D&oess
ou"!ined in "his handGooB and "hus on"&iGu"e "oAa&ds a Ge""e& and mo&e use'u! 'ina!
Ce&sion1
INTRODUCTION
Cong&a"u!a"ionsL
B% oDening "his handGooB# %ou demons"&a"e in"e&es" in an eCa!ua"ion D&oess "ha" Ai!!
he!D %ou imD&oCe "he goCe&nane o' a D&o"e"ed a&ea o' %ou& one&n1 *e Aou!d !iBe "o
enou&age %ou a!ong "his Da"h# as suh a D&oess ma% Ge high!% &eAa&ding in "e&ms o'
enhaning Go"h "he enCi&onmen" and &esou&es a" s"aBe and "he soie"% a''e"ing and
Geing a''e"ed G% "he D&o"e"ed a&ea 1 You ma% a"ua!!% onside& "ha" "he eCa!ua"ion
D&oess Gegan "he Ce&% momen" in Ahih %ou s"a&"ed "hinBing aGou" :goCe&nane;#
:De&'o&mane; and :e''e"iCeness; in &e!a"ion "o a D&o"e"ed a&ea1 This handGooB is
designed "o he!D %ou deCe!oD a Ge""e& unde&s"anding o' "hese oneD"s and issues# and
imD&oCe "hem 'o& eCe&%one;s Gene'i"1
9E:a"!ation; and 9assessment;
Th&oughou" "he handGooB Ae use "he Ao&ds :eCa!ua"ion; and :assessmen";
in"e&hangeaG!%1 P!ease use AhiheCe& %ou D&e'e&1 ,us" &ememGe&# "he Da&"iiDa"o&%
D&oess %ou a&e engaging in is no" a one<"ime eCen" and needs "o Ge "hough" o' as a !ong<
"e&m ommi"men" "o imD&oCing "he goCe&nane and managemen" e''e"iCeness o' "he
D&o"e"ed a&ea o' %ou& one&n1 Fo& maHimum Gene'i"# %ou Ai!! need "o do 'u&"he&
moni"o&ing and assessmen"s "h&ough "ime a'"e& "he 'i&s" eCa!ua"ion eHe&ise1
T<e =<a""en%e o> %o:ernan=e
Du&ing "he !as" 4. %ea&s# goCe&nane has Geome a :ho" "oDi;1 As "he !imi"a"ions o'
na"iona! goCe&nmen"s haCe Geome mo&e aDDa&en"# add&essing issues o' DuG!i one&n
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4
has Geome mo&e omD!eH1
4
*hi!e goCe&nmen"s eHe&" an imDo&"an" in'!uene on man%
DuG!i ma""e&s# "he% a&e on!% one among man% DoAe&'u! a"o&s1 O"he&s in!ude
indigenous DeoD!es; o&ganiIa"ions# non<goCe&nmen"a! o&ganisa"ions Ai"h enCi&onmen" and
deCe!oDmen" goa!s# "&ans<na"iona! o&Do&a"ions# Godies o' in"e&na"iona! and na"iona! !aA#
sien"i'i and !oa! eHDe&" g&ouDs and D&o'essiona! assoia"ions1 In "his d%nami se""ing#
onCen"iona! goCe&nane s"&u"u&es and &o!es M Gased on a en"&a!iIed# hie&a&hia!
au"ho&i"% M a&e no !onge& ade$ua"e1 Soie"% is "es"ing neA and mo&e '!eHiG!e 'o&ms o'
goCe&nane "o mo&e e''e"iCe!% &eD&esen" and &esDond "o DuG!i one&ns1 These
innoCa"iCe ins"i"u"iona! a&&angemen"s# Go"h Ai"hin na"iona! goCe&nmen"s and Ge"Aeen
goCe&nmen"s and soie"%# a&e moCing "oAa&d mo&e '!eHiG!e# mu!"i<Da&"% a&&angemen"s
ha&a"e&iIed G% in"e&deDendene among "he a"o&s and sha&ed au"ho&i"%1 5a&ious 'o&ms
o' o!!aGo&a"ion among ommuni"ies# goCe&nmen"# Gusiness and o"he& a"o&s J:DuG!i
in"e&es" Da&"ne&shiDs;K haCe Geen g&oAing in man% oun"&ies1
TAo Be% 'a"o&s eHD!ain Ah% neA mode!s o' goCe&nane a&e eme&ging?
+oCe&nmen"s a&e seeBing "o imD!emen" "hei& Do!iies and D&og&ams in a mo&e
os"<e''e"iCe# &esDonsiCe and e$ui"aG!e manne& and "o in&ease oCe&a!! soia!
Gene'i"s1
Ci"iIens a&e demanding mo&e in'!uene on deisions a''e"ing "hei& !iCes and# as
aDD&oD&ia"e# "he &ed&essing o' Das" inNus"ies1
EHDe&iene india"es "ha" neA s%s"ems o' goCe&nane an D!a% a &i"ia! &o!e in imD&oCing
soia! Ae!!<Geing1 Fo& eHamD!e# &een" &esea&h on Indian Rese&Ca"ions in "he (ni"ed
S"a"es Doin"s "o "he imDo&"ane o' eHe&ising DoAe& "h&ough e''e"iCe and Ae!!
oo&dina"ed ins"i"u"ions1 This aDDea&s "o Ge a Be% 'a"o& dis"inguishing "he Indian "&iGes
"ha" deCe!oDed suess'u!!% in omDa&ison "o o"he&s1
-
In man% oun"&ies# noCe! Aa%s o'
s"&eng"hening i"iIen Da&"iiDa"ion in Do!i%<maBing D&oesses a&e Geing deCe!oDed1
/
This
is done in o&de& "o imD&oCe goCe&nane as Go"h an end in i"se!' J&ea"ing 'ai& and
e$ui"aG!e D&oessesK and a means "o an end JD&oduing desi&ed &esu!"sK1
In "he &ea!m o' D&o"e"ed a&eas# D&a"i"ione&s &eogniIe "ha" adaD"aG!e ins"i"u"iona!
a&&angemen"s a&e neessa&% "o manage na"u&a! &esou&e s%s"ems "ha" haCe omD!eH soia!#
Do!i"ia!# u!"u&a! and eo!ogia! dimensions1 *e need "o hange "he Aa% Ae "hinB aGou"
goCe&ning D&o"e"ed a&eas due "o?
in&easing &eogni"ion o' "he !imi"a"ions o' :eHDe&"; siene and o' "he need "o
in"eg&a"e i" Ai"h indigenous and !oa! eo!ogia! BnoA!edgeO
"he eCo!u"ion o' neA# eos%s"em<Gased# adaD"iCe managemen" aDD&oahesO
"he need "o aommoda"e hanging soia! Ca!ues and &aDid!% shi'"ing Do!i"ia! and
eonomi 'o&esO
g&oAing demands 'o& mo&e e''e"iCe &eD&esen"a"ion o' i"iIens; in"e&es"s in Do!i%
and deision<maBingO
4
Ins"i"u"e on +oCe&nane# -..-1
-
Co&ne!! and Ka!"# 433-
/
PimGe&" and *aBe'o&d# -..41
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -
in&easing &eogni"ion o' "he !ega! Gasis 'o& "he &igh"s o' indigenous) aGo&igina!
DeoD!esO
goCe&nmen" D&essu&e "o &edue managemen" os"s# e1g1 'o& moni"o&ing a"iCi"ies#
en'o&ing &u!es# main"aining in'&as"&u"u&es# e"1
As a &esu!" o' a!! o' "he aGoCe# Ae haCe Geen Ai"nessing a gene&a! moCe G% D&o"e"ed a&ea
au"ho&i"ies "o deen"&a!iIe# and in some ases de!ega"e o& deCo!Ce some o' "hei& au"ho&i"%
and &esDonsiGi!i"% "o mu!"i<Da&"% g&ouDs a" "he &egiona! and !oa! !eCe!
2
1
Bo? ,3 )e=entra"isation, de"e%ation and de:o"!tion
JadaD"ed '&om RiGo"# -..- and A!o&n et al.# -../K
The "e&m 7deen"&a!isa"ion8 des&iGes an a" G% Ahih a en"&a! goCe&nmen" 'o&ma!!% edes DoAe& "o a"o&s
and ins"i"u"ions a" !oAe& !eCe!s in a Do!i"ia!<adminis"&a"iCe and "e&&i"o&ia! hie&a&h%1 I' "hose a&e !oa!
G&anhes o' "he en"&a! s"a"e Je1g1 D&e'e"s# o& !oa! adminis"&a"ion and "ehnia! minis"&iesK "he D&oess is
&e'e&&ed "o as 7administrative decentrali;ation8 o& 7de<concentration81 I' "hose a&e D&iCa"e Godies suh as
indiCidua!s# o&Do&a"ions o& N+Os# "he D&oess is a!!ed 7privati;ation8 o& 7delegation81 I' "hose a&e !oa!
au"ho&i"ies doAnAa&d!% aoun"aG!e "o !oa! DeoD!e# "he D&oess is a!!ed 7democratic decentrali;ation8 o&
7devolution81 The DoAe&s "ha" an Ge "&ans'e&&ed a&e? !egis!a"iCe Je!aGo&a"ion o' &u!esK# eHeu"iCe
JimD!emen"ing and en'o&ing deisionsK and Nudiia!1 These DoAe&s and "he 'inania! &esou&es "o
imD!emen" a"ions a&e &a&e!% "&ans'e&&ed "oge"he& in in"eg&a"ed DaBages o& Aa%s "ha" &ea"e Dosi"iCe
s%ne&gies# a 'a" "ha" omD!ia"es "he D&oess and o'"en &ea"es on'!i"s1
The "&end "oAa&d deen"&a!iIa"ion and)o& deCo!u"ion o' au"ho&i"% has Du" some deision<
maBing DoAe& in "he hands o' !oa! ommuni"ies# non<goCe&nmen"a! o&ganiIa"ions
JN+OsK and D&iCa"e Gusinesses1 In some ases# i" has a!so D&omD"ed "he &eogni"ion o' "he
onse&Ca"ion Ca!ue o' ommuni"%<onse&Ced a&eas "ha" eHis" ou"side o' "he o''iia!
D&o"e"ed a&ea s%s"em1
The neA o& neA!% &eogniIed o&ganiIa"ions# &e!a"ionshiDs and 'o&ms o' di&e" i"iIen
Da&"iiDa"ion &aise seCe&a! Binds o' goCe&nane $ues"ions?
*ho is en"i"!ed "o sha&e au"ho&i"% in PA managemen"0
In Aha" 'o&m an au"ho&i"% Ges" Ge sha&ed JGasia!!%? G% Co"e o& G% onsensusK0
*ho shou!d Ge &esDonsiG!e 'o& Aha"0
*ho shou!d Ge aoun"aG!e "o Ahom0
*ha" is haDDening "o D&o"e"ed a&eas; managemen" oGNe"iCes Ai"h "he
in"&odu"ion o' "he D&iCa"e se"o&;s and ommuni"ies; Ca!ues# in"e&es"s and in"o
deision<maBing0
*ha" a&e "he neA os"s and Gene'i"s inCo!Ced in D!u&a!is" onse&Ca"ion
a&&angemen"s0
*ho shou!d sha&e in suh os"s and Gene'i"s0 Th&ough Aha" a&&angemen"s0
2
Add he&e a &e'e&ene he&e "o "he su&Ce% D&omo"ed G% Pa&Bs Canada
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /
HoA an ommuni"% onse&Ca"ion ini"ia"iCes Ge in"eg&a"ed in"o !a&ge&
onse&Ca"ion s%s"ems Jna"iona!# &egiona! and in"e&na"iona!K0
DesDi"e "he moun"ing in"e&es" in goCe&nane# "he unde&s"anding o' "he oneD" and i"s
aDD!ia"ion in a D&o"e"ed a&ea se""ing is s"i!! Aan"ing1 So "oo a&e me"hods "o assess
goCe&nane a&&angemen"s '&om Go"h a D&oess De&sDe"iCe J&esDonsiCeness# e$ui"%# os"<
e''e"iCenessK# and an ou"ome De&sDe"iCe Je''e"iCeness# &eahing "he desi&ed goa!sK1
Why this handbook?
The Du&Dose o' "his handGooB is "o assis" in a s%s"ema"i D&oess o' designing# ondu"ing
and 'o!!oAing uD a Da&"iiDa"o&% assessmen" o' D&o"e"ed a&ea goCe&nane1
*e use "he "e&m goCe&nane "o des&iGe "he D&oesses# oDe&a"ions and &e!a"ionshiDs "ha"
s"&u"u&e "he a!!oa"ion and use o' deision<maBing DoAe&s
>
1
This guide is 'o& %ou# Ahe"he& %ou a&e a memGe& o' a PA goCe&ning God%# a PA s"a''# a
memGe& o' a ommuni"% "&adi"iona! o&ganisa"ion goCe&ning a ommuni"% onse&Ced a&ea#
a Ci!!age !eade&# a &eD&esen"a"iCe o' a &esou&e use& g&ouD# o& a onse&Ca"ion o&
deCe!oDmen" adCoa"e1 I" is ou& hoDe "ha" "he guide Ai!! assis" %ou in assessing and
imD&oCing# i' neessa&%# "he goCe&nane o' "he D&o"e"ed a&ea o' %ou& one&n1
B% ondu"ing a Da&"iiDa"o&% eCa!ua"ion using a G&oad &ange o' De&sDe"iCes# Ae hoDe
"his handGooB Ai!! !a&i'% %ou& unde&s"anding o'?
The oneD" o' :goCe&nane;O
ConCen"iona! and non<onCen"iona! aDD&oahes 'o& "he goCe&nane o' D&o"e"ed
a&easO
HoA "he s"&u"u&es and D&oesses o' goCe&nane in'!uene da%<"o<da% PA
managemen" oDe&a"ionsO
The omD!eH and o'"en on"&adi"o&% na"u&e o' goCe&nane Je1g1 "he gaD Ge"Aeen
goCe&nane deisions and a"ions# Ge"Aeen Aha" is haDDening in on&e"e D&a"ie
and Aha" di''e&en" s"aBeho!de&s De&eiCe "o Ge haDDening# e"KO
The &i"ia! &o!e o' goCe&nane as a means "o ahieCing D&o"e"ed a&ea goa!s and
oGNe"iCes1
This handGooB is a!so in"ended "o ge" DeoD!e "hinBing aGou" :good goCe&nane#; and "o
D&oCide ideas "o imD&oCe %ou& goCe&nane si"ua"ion1
*e &ea!iIe "ha" eCe&% si"e has uni$ue ondi"ions and i" is J'o&"una"e!%LK imDossiG!e "o
deCe!oD a :one siIe 'i"s a!!; managemen" o& assessmen" "oo!1 I" is hoAeCe& DossiG!e "o
o''e& %ou some guidane and ideas 'o& a Da&"iiDa"o&% D&oess "ha" an he!D %ou de"e&mine
Aha" %ou& needs a&e# and hoA Ges" %ou an mee" "hem1 This handGooB Ai!! assis" %ou in
deCe!oDing# imD!emen"ing and main"aining a Da&"iiDa"o&% assessmen" D&oess "ha" is
uni$ue# &esDonsiCe and e''e"iCe 'o& %ou# aCoiding a &ou"ine# "oD<doAn o& 'unding<d&iCen
D&og&amme1 (!"ima"e!%# Ae hoDe "ha" "his handGooB Ai!! !ead "o sounde& goCe&nane o'
D&o"e"ed a&eas1
>
A 'u!!e& de'ini"ion o' goCe&nane an Ge 'ound !a"e& in "his Co!ume# in "he se"ion en"i"!ed What is
governance?
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2
(<y is it im#ortant to e:a"!ate t<e %o:ernan=e o> a #rote=ted
area@
- to >ind so"!tions to mana%ement =<a""en%es
P&o"e"ed a&eas 'ae man% "%Des o' "h&ea"s "o "hei& eo!ogia! in"eg&i"% and soia! and
u!"u&a! signi'iane1 Ha&m'u! D&a"ie o&igina"es '&om "he 'ai!u&e o' Do!iies# !aAs and
deision<maBing D&oesses "o D&oCide e''e"iCe guidane and onse&Ca"ion inen"iCes "o
manage&s and o"he&s inCo!Ced1
1
ResDonsiCe# oo&dina"ed and e''iien" goCe&nane
D&oesses an es"aG!ish Do!iies and D&oCide inen"iCes Je1g1# soia! &eogni"ion# 'inania!
suDDo&"# onsis"en% in agen% manda"esK "ha" ensu&e a Ca&ie"% o' s"aBeho!de&
9

De&sDe"iCes# in!uding :eHDe&"; oDinions# a&e G&ough" "o "he "aG!e "o disuss and
u!"ima"e!% so!Ce omD!eH soio<eo!ogia! di!emmas1
- to ens!re a==o!ntabi"ity and =onser:e >inan=ia" and materia" reso!r=es
+oCe&nmen"s# 'unding agenies# &egu!a"o&% Godies and s"aBeho!de&s in gene&a! a&e
in&easing in"e&es"ed in aoun"aGi!i"%? "he% Aan" "o BnoA hoA Ae!! a goCe&nane s%s"em
suDDo&"s "he ahieCemen" o' es"aG!ished goa!s and oGNe"iCes1 The% a!so Aan" "o see hoA
"he &esu!"s gene&a"ed omDa&e Ai"h "he e''o&" eHDended and "he &esou&es ommi""ed1
OCe& "ime# a goCe&nane assessmen" ou!d imD&oCe "he os"<e''e"iCeness and e''iien%
o' onse&Ca"ion D&oesses and D&og&ammes1
- to determine A<et<er a =<an%e in %o:ernan=e str!=t!re and #ro=ess is d!e
AdaD"iCe managemen" and enhaned s"aBeho!de& Da&"iiDa"ion in managemen" a&e on "he
in&ease in man% D&o"e"ed a&eas1 This is due "o seCe&a! 'a"o&s# in!uding an in&eased
aDD&eia"ion o' "he eo!ogia! &o!e o' humans and "hei& &e!a"ionshiD Ai"h !andsaDesO a
desi&e "o imD&oCe &isB managemen" G% ino&Do&a"ing a G&oade&<Gased &eD&esen"a"ion and
assessmen" o' "he issues a" s"aBeO DuG!i demands 'o& mo&e di&e" &eD&esen"a"ion o' "hei&
in"e&es"s in deision<maBing# and a g&oAing &eogni"ion o' aGo&igina! &igh"s1 In eah
si"ua"ion#a omGina"ion o' Do!i"ia!# ins"i"u"iona! and eonomi 'a"o&s ma% signa! "ha" "he
"ime is &iDe 'o& mo&e Jo& !essK o!!aGo&a"iCe aDD&oahes "o managemen"1
- to identi>y t<e most a##ro#riate %o:ernan=e system in t<e >a=e o> %"oba" =<an%e
+!oGa! Gio<Dh%sia!# soio<eonomi and ins"i"u"iona! hange is sAeeDing "he Ao&!d and
D&o'ound!% a''e"ing D&o"e"ed a&eas1 In "he 'ae o' suh DoAe&'u! ha!!enges "he
adCan"ages and disadCan"ages o' di''e&en" goCe&nane s%s"ems need "o Ge eCa!ua"ed in
"e&ms o' "hei& aDai"% "o oDe1 A numGe& o' asDe"s an Ge eHamined# in!uding?
*ha" goCe&nane a&&angemen"s Aou!d Ge "he mos" '!eHiG!e# and aDaG!e "o
&esDond "o "he hanging needs# oDDo&"uni"ies and "h&ea"s &e!a"ed "o "he D&o"e"ed
a&ea0
*ha" goCe&nane a&&angemen"s Aou!d D&omo"e 'u!!e& use o' "he diCe&si"% o'
&esou&es eah s"aBeho!de& an o''e&0
*ha" goCe&nane a&&angemen"s Aou!d D&omo"e an e$ui"aG!e dis"&iGu"ion o' "he
os"s and Gene'i"s o' onse&Ca"ion0
9
He&e and in "he 'o!!oAing# Ahen Ae sa% 7s"aBeho!de&s8 o& 7&e!eCan" soia! a"o&s8# Ae mean "hose
indiCidua!s# g&ouDs and o&ganisa"ions Gea&ing maNo& and dis"in" in"e&es"s and one&ns aGou" "he D&o"e"ed
a&eas a" s"aBe1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >
*ha" goCe&nane a&&angemen"s Aou!d suDDo&" "he eo!ogia!# soia! and
eonomi ou"omes o' g&ea"es" one&n "o "he Be% s"aBeho!de&s0
*ha" a&e "he Be% goCe&nane D&oG!ems and oDDo&"uni"ies 'o& enhaning "he
onse&Ca"ion o' onne"ed "e&&es"&ia! and ma&ine D&o"e"ed a&eas0
*ha" a&e "he Be% goCe&nane oDDo&"uni"ies 'o& deCe!oDing g&ea"e& s%ne&g% among
onse&Ca"ion ini"ia"iCes a" "he !oa!# &egiona! and in"e&na"iona! !eCe!s0
A&e "he&e :nes"ed ins"i"u"ions; aDaG!e o' &esDonding "o !oa! in"e&es"s and
one&ns and assu&ing onse&Ca"ion ou"omes0
*ha" a&e "he Be% goCe&nane oDDo&"uni"ies and ha!!enges 'o& s"&eng"hening
onse&Ca"ion among goCe&nane s"&u"u&es o' !oa! onse&Ca"ion ini"ia"iCes M
es"aG!ished G% g&ouDs o' !oa! s"aBeho!de&s# indigenous DeoD!e# !oa!
goCe&nmen"s# "he D&iCa"e se"o&# and N+Os M and in &e!a"ion "o "he goCe&nane
s"&u"u&e o' o''iia! onse&Ca"ion au"ho&i"ies0
(<y a participatory e:a"!ation@
A Da&"iiDa"o&% eCa!ua"ion aBnoA!edges "he De&sDe"iCes# in"e&es"s# one&ns and Ca!ues
o' a Ca&ie"% o' s"aBeho!de&s a''e"ing and a''e"ed G% "he D&o"e"ed a&ea1 Th&ough "he
Da&"iiDa"o&% eCa!ua"ion D&oess suh s"aBeho!de&s engage in ana!%Iing "he oGNe"iCes#
D&iniD!es and De&'o&mane o' "he goCe&nane s%s"em and in iden"i'%ing "he neessa&%
hanges and o&&e"iCe a"ion1 This G&ings man% De&sDe"iCes and sBi!!s "o Gea& on "he
D&o"e"ed a&ea goCe&nane and D&omo"es a soia! onsensus on i"s eHis"ene and Ca!ue1
A Do"en" 'o&e d&iCing "he eCo!u"ion o' goCe&nane mode!s is "he g&oAing &eogni"ion o'#
and Ca!ue D!aed on "he &igh"s# &esDonsiGi!i"ies and in"e&es"s o' s"aBeho!de&s# in Da&"iu!a&
indigenous and !oa! ommuni"ies one&ned aGou" sDei'i D&o"e"ed a&eas1 A ommon
goa! is "o moCe Ge%ond "&adi"iona! 'o&ms o' onsu!"a"ion and &eD&esen"a"ion "o giCe "he
his"o&ia!!% eH!uded and unde&&eD&esen"ed an e''e"iCe Coie1 *hen diCe&se De&sDe"iCes
a&e G&ough" "o Gea& on omD!eH Do!i% issues# &isB assessmen"s and suGse$uen" deisions
an Ge imD&oCed1
@
Fu&"he&mo&e# "he on"&iGu"ions o' di''e&en" s"aBeho!de&s D&oCide
omD!emen"a&% &esou&es 'o& onse&Ca"ion1
Th&ee D&iniD!es a&e eme&ging as en"&a! "o neA goCe&nane designs 'o& D&o"e"ed a&eas?
In&ease "he s"aBeho!de&s; inCo!Cemen" in "he onse&Ca"ion Do!i%# D!anning#
imD!emen"a"ion and eCa!ua"ion D&oessesO
Fos"e& a Da&"iiDa"o&% and ooDe&a"iCe u!"u&e among D&o"e"ed a&ea s"a'' and
"ehnia! onsu!"an"s "h&ough "&aining and suDDo&"iCe Do!iies# D&oedu&es and
D&o'essiona! a""i"udesO
Bui!d "he o&ganiIa"iona! aDai"% o' Ca&ious s"aBeho!de&s Jin Da&"iu!a&# D&ima&%
and mos" di&e"!% a''e"ed s"aBeho!de&s as "he indigenous and !oa! ommuni"ies
!iCing Ai"hin o& in "he su&&oundings o' "he D&o"e"ed a&easK1
Ou& handGooB uDho!ds "hese D&iniD!es G% suDDo&"ing Da&"iiDa"o&% eCa!ua"ion 'o&
goCe&ning Godies and s"aBeho!de&s a" !a&ge1 *e hoDe "o D&omo"e a onne"ion among a
miH o' soia! a"o&s# so "ha" "oge"he& "he% an design# a&&% ou" and d&aA !essons '&om an
@
S"i&!ing# -..41
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9
assessmen" D&oess "ha" mee"s "hei& needs and in"e&es"s1 The D&oess shou!d a!so &emain
&e!eCan" and &ea"iCe &a"he& "han Geoming &ou"ine# "oD<doAn o& 'unding<d&iCen1 Suh a
aDai"% 'o& Da&"iiDa"o&% eCa!ua"ion is &i"ia! Geause o' "he D&io&i"% D!aed "oda% on
Da&"ne&shiDs and se!'<&e!iane in managing D&o"e"ed a&eas1
,us" as Da&"iiDa"o&% goCe&nane Gui!ds on "he BnoA!edge and omDa&a"iCe adCan"ages
JsBi!!s# &esou&es# &e!a"ionshiDs# ommunia"ion ne"Ao&BsK o' a!! a"o&s inCo!Ced# so does
"he Da&"iiDa"o&% assessmen" D&oess1 *i"h Da&"iiDa"ion omes a sense o' oAne&shiD and
&esDonsiGi!i"% 'o& "he De&'o&mane o' "he goCe&nane a&&angemen"s# Ahih is essen"ia! 'o&
&ea! hange "o Ge e''e"ed Ahen neessa&%1
I" is a!so BnoAn '&om eHDe&iene "ha" "he mo&e DeoD!e a&e di&e"!% inCo!Ced in eCa!ua"ion#
"he mo&e !iBe!% "he% a&e "o Ca!ida"e and 7oAn8 "he &esu!"s# and "o use "hem "o imD&oCe
"hei& 'u"u&e De&'o&mane1
E
I" is a!! mo&e !iBe!% "ha" a"ion is "aBen a'"e& assessmen" Ahen
a Ca&ie"% o' Da&"iiDan"s 7a&e Aa"hing8 and moni"o& "he 'o!!oA uD "o "he measu&es
ag&eed1
Can t<e #eo#"e res#onsib"e >or t<e %o:ernan=e o> an area assess
t<eir e>>e=ti:eness obBe=ti:e"y@
ECe&%one G&ings a Doin" o' CieA "o "hei& Ao&B# eH"e&na! and in"e&na! eCa!ua"o&s a!iBe1 The
Be% $ues"ion# hoAeCe&# is 'o& "he eCa!ua"ion "o Ge done Ai"h omDe"ene# in"eg&i"% and
"&ansDa&en%# "o Ge doumen"ed !ea&!% and "o Ge sha&ed Aide!%1 In "his sense# "he
inCo!Cemen" o' a Ca&ie"% o' Jsoia! a"o&sK# in!uding "he memGe&s o' "he D&o"e"ed a&ea
goCe&ning Godies# G&ings an added gua&an"ee1
*e Ge!ieCe# on "he o"he& hand# "ha" eH"e&na! D&o'essiona!s ma% maBe a Da&"iiDa"o&%
assessmen" Ce&% e''e"iCe1 EH"e&na! eCa!ua"o&s an he!D 'ai!i"a"e "he Da&"iiDa"o&%
assessmen" D&oess and G&ing '&esh insigh"s# G&oade& De&sDe"iCes and Ca!uaG!e eHDe&"ise1
I' i" is "he 'i&s" "ime %ou a&e ondu"ing a Da&"iiDa"o&% assessmen"# eH"e&na! eCa!ua"o&s
an he!D &ea"e "he aDai"% "o do soa aDai"% "ha" an Ge used !a"e& 'o& ongoing
moni"o&ing and assessmen"s1 EH"e&na! eCa!ua"o&s an a!so add &ediGi!i"% "o 7in"e&na!8
'indings and &esu!"s1 *e enou&age %ou "o eHD!o&e di''e&en" a&&angemen"s# and onside&
Da&"iiDa"o&% assessmen"s as a neessa&% omD!emen" "o De&iodi eH"e&na! eCa!ua"ions o&
audi"s1
A signi'ian" adCan"age o' a Ae!! ondu"ed Da&"iiDa"o&% assessmen" is "he engagemen"#
"&us" and suDDo&" i" an he!D %ou Gui!d among "he D&o"e"ed a&ea s"aBeho!de&s1 These
indiCidua!s and o&ganiIa"ions Ai!! gain g&ea"e& insigh" in"o "he "%Des o' issues# deisions
and s"aBes inCo!Ced in goCe&ning a D&o"e"ed a&ea1 The% Ai!! Geome mo&e aAa&e o' "he
&igh"s and &esDonsiGi!i"ies o' eah o' "he a"o&s inCo!Ced1 The% Ai!! a!so Gene'i" '&om
mo&e au&a"e in'o&ma"ion on &e!eCan" a"iCi"ies and De&'o&mane1
E
ChamGe&s# 433-O ,aBson and Ing!es# 433EO Ma&go!uis and Sa!a'sB%# 433EO Os"&om# 433.O S"einme"I#
-...1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @
(<at Ai"" t<e <andbooC #ro:ide and not #ro:ide@
Not a ri%id met<od
*e D&oDose a '&ameAo&B 'o& assessing "he goCe&nane o' a D&o"e"ed a&ea# Gu" no" a &igid
me"hod1 You Ai!!# as a ma""e& o' 'a"# design Aha" %ou need and Aha" %ou an a''o&d
Gased on %ou& oAn si"ua"ion11 The&e a&e Cas" di''e&enes Ge"Aeen D&o"e"ed a&eas in "e&ms
o' eos%s"ems# u!"u&es# Do!i"ia! and soia! se""ings# his"o&%# D&e'e&&ed Aa%s o'
ommunia"ing # aess "o in'o&ma"ion and aCai!aG!e &esou&es1 Assessing goCe&nane in
a d&% !and D&o"e"ed a&ea inhaGi"ed G% moGi!e DeoD!es in Nige& is Cas"!% di''e&en" '&om
eCa!ua"ing goCe&nane in a u!"u&a! !andsaDe in "he (ni"ed Kingdom# an a&"i
enCi&onmen" in Russia# o& a sa&ed ommuni"% onse&Ced 'o&es" in India1 And %e"# "he
guide!ines D&oDosed he&e ma% o''e& insigh"s 'o& a!! "hese enCi&onmen"s# and eCen enaG!e
omDa&isons and sha&ing o' !essons Ai"h o"he&s using "his same handGooB1
(orCin% de>initions
Th&oughou" "he handGooB# Ae o''e& de'ini"ions 'o& a Ca&ie"% o' oneD"s and "e&ms1 These
a&e :Ao&Bing de'ini"ions;# and Ae enou&age %ou "o &eCise "hem# as %ou see 'i"1
De'ini"ions need# mos" o' a!!# "o maBe sense in %ou& oAn on"eH"1
$e"# to e:a"!ate #ro=ess rat<er t<an res!"ts
The eCa!ua"ion o' goCe&nane an inCo!Ce an assessmen" o' Go"h D&oess JhoA i" is
'un"ioningK and ou"omes JimDa"s on "he g&oundK1 This handGooB mos"!% he!Ds %ou
eCa!ua"e hoA %ou& goCe&nane s%s"em 'un"ions < i"s s"&u"u&e# omDosi"ion# D&oesses
and a"iCi"ies < and hoA i" De&'o&ms agains" Ca&ious D&iniD!es and goa!s1 I" does no" dea!
Ai"h hoA goCe&nane ends uD a''e"ing ondi"ions Pon "he g&oundP# i1e1 i"s in"ended and
unin"ended# enCi&onmen"a! and soio<eonomi imDa"
#
. And %e"# G% unde&s"anding and
imD&oCing "he 'un"ioning o' %ou& goCe&nane s%s"em# "he De&'o&mane o' "he D&o"e"ed
a&ea Je1g1# i"s D&o"e"ion o' GiodiCe&si"%# i"s on"&iGu"ion "o "he !oa! eonom%K is !iBe!%
a!so "o imD&oCe1 This ma% no" haDDen as $uiB!% as desi&ed# sine D&oess hanges "aBe
"ime "o D&odue Dosi"iCe imDa"s and seCe&a! 'a"o&s ma% Ge ou" o' %ou& on"&o! Je1g1#
!ima"e hange# eonomi &eessionsK1 NeCe&"he!ess# "h&ough "ime# imD&oCed PA
goCe&nane an su&e!% he!D %ou "o ahieCe mo&e e''e"iCe# e$ui"aG!e and sus"ainaG!e
onse&Ca"ion ou"omes1
A >rameAorC to !nderstand and im#ro:e a PA %o:ernan=e system
The handGooB D&oCides a '&ameAo&B "o he!D in&ease %ou& unde&s"anding o' "he
goCe&nane s%s"em 'o& "he D&o"e"ed a&ea o' %ou& one&n1 I" Ai!! assis" %ou in a&&%ing
ou" a &i"ia! and s%s"ema"i eHamina"ion o' "he 'o!!oAing goCe&nane asDe"s?
The eHis"ing PA goCe&nane si"ua"ion J*ho is inCo!Ced0 *ho ho!ds "he deision<
maBing au"ho&i"% and &esDonsiGi!i"%0 *ho is aoun"aG!e "o Ahom0 *ha"
s"&u"u&es# ins"i"u"ions and &e!a"ionshiDs a&e one&ned0 HoA do "he% 'un"ion0K
3
Ou"ome is "he &esu!" o' a Ca&ie"% o' Ca&iaG!es and ondi"ions# o' Ahih "he goCe&nane s%s"em is on!%
one1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E
The PA goCe&nane goa!s J*ha" a&e "he Ca!ues# D&iniD!es# aDD&oahes and goa!s
unde&!%ing "he s%s"em0 Can "hose Ge Ge""e& se&Ced G% an imD&oCed goCe&nane
s%s"em0 K
The desi&aG!e hanges in PA goCe&nane J*ha" needs "o Ge modi'ied 'o& "he PA
goCe&nane s%s"em "o 'un"ion mo&e e''e"iCe!% and e''iien"!%0 *ho an "aBe
a"ion0 HoA0 *i"h Ahose he!D0 *i"h Aha" &esou&es0K
HoDe'u!!%# "he eCa!ua"ion D&oess Ai!!?
D&omo"e g&ea"e& aAa&eness and Da&"iiDa"ion o' !oa! ommuni"ies and o"he&
s"aBeho!de&s in D&o"e"ed a&ea goCe&nane and managemen"O
gene&a"e suDDo&" 'o& o!!aGo&a"iCe D&oG!em so!CingO
imD&oCe "he PA D!anning and imD!emen"a"ion D&oessO
D&omo"e and imD&oCe aoun"aGi!i"%O
deCe!oD a Da&"iiDa"o&% assessmen" aDai"% 'o& simi!a& eHe&ises in "he 'u"u&eO
deCe!oD a D!an "o imD&oCe "he goCe&nane o' "he D&o"e"ed a&ea# Ahe&e addi"iona!
&esou&es Ai!! Ge s"&ong!% Nus"i'ied on "he Gasis o' eCa!ua"ion &esu!"s O
omD!emen" and on"&iGu"e "o o"he& eCa!ua"ion D&oesses ondu"ed in "he
D&o"e"ed a&ea1
Who is this handbook for?
The DeoD!e mos" $ua!i'ied "o a&&% ou" "his Da&"iiDa"o&% eCa!ua"ion a&e "he DeoD!e di&e"!%
inCo!Ced in# o& imDa"ing uDon and imDa"ed G% "he goCe&nane s%s"em1 The% in!ude a
diCe&se &ange o' g&ouDs# o&ganiIa"ions and indiCidua!s 'ami!ia& Ai"h "he 'ie!d ondi"ions
&e!eCan" "o a sDei'i D&o"e"ed a&ea o& a&eas1 This guide is A&i""en 'o& "hem# &a"he& "han
on!% 'o& :eHDe&"s; and :D&o'essiona!s1;
IndiCidua!s an use "he handGooB# Gu" %ou Ai!! ge" "he maHimum Gene'i" G% using i" as
Da&" o' a omD&ehensiCe "eam o' s"aBeho!de&s one&ned aGou" "he same D&o"e"ed a&ea1
Idea!!%# %ou& "eam shou!d in!ude one o& mo&e memGe&s o' "he PA goCe&ning Godies# PA
s"a''# and &eD&esen"a"iCes o' a!! one&ned soia! a"o&s1
I' %ou a&e a Goa&d oCe&seeing a managemen" God%# o& a managemen" God% Ai"h goCe&ning
&esDonsiGi!i"ies and DoAe&s# "his Co!ume an he!D %ou eCa!ua"e %ou& oAn goCe&nane
s%s"em Ai"h "he meaning'u! Da&"iiDa"ion o' s"aBeho!de&s1 This ma% in!ude an ana!%sis
o' goCe&ning Godies a" a highe& o& !oAe& !eCe! o' au"ho&i"%1I' %ou a&e a D&iCa"e oAne& o&
manage& o' a D&o"e"ed a&ea# "his handGooB an he!D imD&oCe %ou& unde&s"anding o' "he
goCe&nane s%s"em in Ahih %ou oDe&a"e# and assis" in onCening a Da&"iiDa"o&%
eCa!ua"ion "ha" ma% s"&eng"hen %ou& s"a"us1 I' %ou a&e ommuni"% memGe&s Aishing "o
imD&oCe "he !oa! goCe&nane o' a D&o"e"ed a&ea# "e&&i"o&% o& &esou&e# "he handGooB ma%
he!D %ou design mee"ings and D&oNe"s Ahe&e "he Aho!e ommuni"% and Be% DeoD!e '&om
ou"side i" an Ge inCo!Ced1
The &esu!"s o' %ou& Da&"iiDa"o&% eCa!ua"ion ma% he!D s"aBeho!de&s a" !a&ge unde&s"and
D&o"e"ed a&ea deisions and a!! ins"i"u"ions aoun"aG!e1 Resu!"s shou!d a!so he!D
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3
manage&s and deision<maBing Godies "o Ge""e& unde&s"and "hei& oAn aDD&oahes and "he
sDei'i ons"&ain"s o& oDDo&"uni"ies "he% 'ae1
O"he& DeoD!e Aho migh" 'ind "his guide use'u! in!ude !oa! au"ho&i"ies# goCe&nmen"
o''iia!s# Do!i% and deision maBe&s# N+Os# dono&s# &esea&he&s# and s"uden"s1
Structure of the handbook
The handGooB an Ge DiBed uD and used a" an% Da&"1 HoAeCe&# Ae &eommend "ha" "he
"eam memGe&s Aho Ai!! a&&% ou" "he eCa!ua"ion 'i&s" Geome 'ami!ia& Ai"h i"s on"en"s1
This Ai!! D&oCide a Ca!uaG!e oCe&CieA o' Aha" "he handGooB has "o o''e&1
The handGooB is diCided uD in"o seCen se"ions1 This 'i&s" se"ion %ou a&e &eading
D&oCides an in"&odu"ion "o a Da&"iiDa"o&% eCa!ua"ion D&oess1 He&e Ae haCe eHD!o&ed "he
Du&Dose o' "he handGooB# "he &easons 'o& and imDo&"ane o' a&&%ing ou" a Da&"iiDa"o&%
eCa!ua"ion o' "he goCe&nane s%s"em o' a D&o"e"ed a&ea# and Aha" "he handGooB Ai!! and
Ai!! no" D&oCide1
In "he seond se"ion# Ae he!D %ou es"aG!ish a BnoA!edge Gase 'o& %ou& assessmen"1 Fi&s"
Ae o''e& a Ao&Bing de'ini"ion o' "he "e&m :goCe&nane; and eHamine i"s &o!e# DoAe&s and
ins"&umen"s in a D&o"e"ed a&ea se""ing1 *e "hen D&esen" 'ou& G&oad mode!s o' D&o"e"ed
a&ea goCe&nane Gased on "he dis"&iGu"ion o' au"ho&i"%# &esDonsiGi!i"ies and
aoun"aGi!i"ies among goCe&nmen" agenies and iCi! soie"% o&ganiIa"ions1 This is
'o!!oAed G% a disussion on :good goCe&nane; Ai"h a D&esen"a"ion o' D&iniD!es o' good
goCe&nane '&om a (ni"ed Na"ions and an Indigenous PeoD!es; De&sDe"iCe1
The "hi&d se"ion on"ains "he :hands<on; Da&" o' "he handGooB1 He&e %ou Ai!! 'ind a
D&a"ia! and s%s"ema"i aDD&oah 'o& "he Da&"iiDa"o&% eCa!ua"ion1 *e D&esen" a se&ies o'
s"eDs diCided in"o "h&ee Dhases?
Phase I? P!anning "he eCa!ua"ion
Phase II Ca&&%ing ou" "he eCa!ua"ion# and
Phase III? TaBing a"ion and !ea&ning G% doing
Eah Dhase on"ains a Ca&ie"% o' ideas# me"hods and "oo!s "o he!D %ou design an aDD&oah
Ges" sui"ed "o %ou& si"ua"ion1 Mo&e sDei'i ma"e&ia!# suh as eHamD!es o' india"o&s 'o&
seCe&a! goCe&nane &i"e&ia# o& &eCieAs o' $ua!i"a"iCe and $uan"i"a"iCe me"hods# is D!aed
in AnneH 4# - and /1 Mo&e in'o&ma"ion an Ge 'ound in sDeia!ised !i"e&a"u&e Ahih is
!is"ed in "he Re'e&enes se"ion1
To ge" "he maHimum Gene'i" '&om %ou& Da&"iiDa"o&% eCa!ua"ion# %ou shou!d a" on "he
Gasis o' i"s &esu!"s1 AnneH 2 'ouses on ideas 'o& imD&oCing %ou& goCe&nane# &esDonding
"o "he s"&eng"hs and AeaBnesses iden"i'ied in %ou& eCa!ua"ion1 FiCe ase s"udies des&iGe
PA goCe&ning Godies "ha" haCe "aBen sDei'i a"ions "o imD&oCe "hei& goCe&nane
si"ua"ion1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.
PROTECTED AREA GOVERNANCE
What is o!ernance?
Fo& "he Das" deade# "he "e&m :goCe&nane; has g&oAn in imDo&"ane# des&iGing "he
s"&u"u&es and D&oesses used G% a Ca&ie"% o' soia! a"o&s "o in'!uene and maBe
deisions on ma""e&s o' DuG!i one&n1 Essen"ia!!%# goCe&nane deDi"s "he Aa% DeoD!e
in"e&a" and &ea"e Do!iies and &u!es "o guide "hei& GehaCiou&1 +oCe&nane is no" a
s%non%m o' :goCe&nmen";O i" is mo&e "han a se" o' o''iia! Godies# o& DeoD!e Ao&Bing as
goCe&nmen" s"a''1 In "his handGooB Ae use a de'ini"ion o' goCe&nane '&om a &een"
s"ud% ommissioned G% "he Canadian +oCe&nmen";s na"iona! Da&Bs agen%# Pa&Bs
Canada?
4.

4overnance is the interactions among institutions5 processes and traditions that
determine how power is e%ercised5 how decisions are taken on issues of public and often
private concern5 and how citi;ens or other stakeholders have their say1
Fundamen"a!!%# goCe&nane is aGou" DoAe&# &e!a"ionshiDs and aoun"aGi!i"%? Aho has
in'!uene# Aho deides# and hoA deision<maBe&s a&e he!d aoun"aG!e1
+oCe&nane ma% Ge used in di''e&en" on"eH"s M g!oGa!# na"iona!# and !oa!# soia! and
ins"i"u"iona!1 +oCe&nane ou&s Ahe&eCe& DeoD!e o&ganiIe "hemse!Ces M 'o&ma!!% and
in'o&ma!!% M "o deCe!oD &u!es and &e!a"ionshiDs Ai"h eah o"he& in Du&suing "hei&
oGNe"iCes and goa!s1 The "%Des o' a"o&s inCo!Ced an Ge man% and Ca&ied# in!uding
goCe&nmen" agenies and minis"&ies a" Ca&ious !eCe!s# !oa! e!e"ed and "&adi"iona!
au"ho&i"ies# indigenous and !oa! ommuni"ies# N+Os# Gusinesses and o&Do&a"ions#
in"e&na"iona! Godies# !aGou& unions# D&o'essiona! o&ganiIa"ions# &e!igious and edua"iona!
o&ganiIa"ions# mi!i"a&% au"ho&i"ies# Do!i"ia! o''iia!s and Da&"ies# e"1
Conte"t is crucia#
+oCe&nane o' na"u&a! &esou&es is a &ea!m o' DoAe& s"&ugg!es1 Th&oughou" his"o&% i" has
D&oCided an a&ena 'o& "he D!a%ing ou" and &eso!u"ions o' innume&aG!e u!"u&a! and
Do!i"ia! !ashes# in!uding Aa&s and Cio!en" on'!i"s
44
1 I" is ha&d!% imaginaG!e "o dea!
Ai"h goCe&nane o' imDo&"an" na"u&a! &esou&es# suh as "he ones in!uded in a D&o"e"ed
a&ea# Ai"hou" "he Gene'i" o' a suDDo&"iCe# non<&eD&essiCe soio<u!"u&a! enCi&onmen"1 In
'a"# D&og&ess on aDD!%ing sensi"iCe goCe&nane D&iniD!es# suh as !egi"ima% and
'ai&ness# simD!% anno" haDDen in "he aGsene o' a suDDo&"iCe enCi&onmen"
4-
1 This
suDDo&"iCe on"eH" Ai!! a" !eas" enomDass?
A s!##orti:e demo=rati= and <!man ri%<ts =onte?t, in!uding demo&a"i
ins"i"u"ions Gased on '&ee e!e"ions# :one De&son one Co"e;# and a CiaG!e mu!"i<Da&"%
s%s"emO &esDe" 'o& Gasi human &igh"s suh as '&eedom o' sDeeh# assoia"ion#
&e!igionO and !aB o' dis&imina"ion Gased on gende&# &ae# o!ou&# &e!igion1
A s!##orti:e B!di=ia" =onte?t ha&a"e&iIed G% &esDe" 'o& "he &u!e o' !aA in!uding?
an indeDenden" Nudiia&%O e$ua!i"% Ge'o&e "he !aAO "he &e$ui&emen" 'o& goCe&nmen"
4.
Ins"i"u"e on +oCe&nane# -..-
44
Bo&&ini<Fe%e&aGend e" a!1# -../1
4-
+&aham e" a!1# -../1 See a!so B&uh and King# -..-1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44
and i"s o''iia!s "o Gase "hei& a"ions on Ae!!<de'ined !ega! au"ho&i"iesO and i"iIens
haCing "he &igh" "o seeB !ega! &emedies agains" "he goCe&nmen" and agains" "hei&
'e!!oA i"iIens1
The aGoCe is "&ue eCen Ahen a D&o"e"ed a&ea is a 'ai&!% Ae!!<on"ained uni" o' na"u&a!
&esou&es# sine i" is in&easing!% eCiden" "ha" PAs an on!% Ge managed in "he on"eH" o'
a G&oad !andsaDe o& eos%s"em1 The soia! a"o&s ho!ding &esDonsiGi!i"ies :a" "he
Gounda&ies; need "o Ge aG!e "o ommunia"e and o!!aGo&a"e "o suDDo&" "he PA1
4/
What is the ro#e of o!ernance in a $rotected area ?
In&easing!%# D&o"e"ed a&ea manage&s haCe 'ound "ha" D&oG!ems a" "he oDe&a"iona! !eCe!
a&e !ose!% !inBed Ai"h G&oade& goCe&nane issues1 Reso!Cing "ehnia! issues &e!a"ed "o
onse&Ca"ion and &esou&e use '&e$uen"!% &e$ui&es a &i"ia! eHamina"ion o' eHis"ing !aAs#
Do!iies# D&og&ammes# &egu!a"ions# o&ganiIa"iona! u!"u&es and D&o'essiona! a""i"udes1 This
an &esu!" in G&oad DuG!i Do!i% deGa"es# nego"ia"ions and# u!"ima"e!% o&&e"iCe a"ions
G% goCe&ning Godies1 BoH - shoAs eHamD!es o' D&o"e"ed a&ea managemen" issues M
a&ising '&om a "ehnia! D&oG!em M "ha" &e$ui&e goCe&nane<&e!a"ed so!u"ions1
Box 2: Examples of Proe!e" Area Ma#a$eme# Iss%es Re&%'r'#$ Go(er#a#!e)
relae" Sol%'o#s
Technical problem: De"e&mine and en'o&e sus"ainaG!e ha&Ces"ing !eCe!s 'o& 'ish Jo& Ai!d!i'eK in a D&o"e"ed
a&ea1
Associated management issues requiring governancerelated solutions:
!a&i'% and uDho!d &igh"s "o &esou&e use Je1g1# s"a"e# indigenous)aGo&igina!# D&iCa"eKO
imD&oCe aess "o in'o&ma"ionO
&e<o&ien" ins"i"u"iona! Do!iies and D&a"ies "o Gui!d a Da&"iiDa"o&% u!"u&eO
es"aG!ish and en'o&e &u!es and &egu!a"ions 'o& !eCe!s o' useO
!a&i'% ) nego"ia"e "he &esDe"iCe &o!es o' goCe&nmen"# indigenous)aGo&igina! g&ouDs# !oa! ommuni"ies
and o"he& Da&"ies in shaDing and a""aining managemen" oGNe"iCes and oCe&a!! soia! and eonomi
goa!s 'o& "he &egionO
&ea"e and sus"ain e''e"iCe adaD"iCe managemen" &u!es and &isB managemen" s%s"ems 'o& "he PAO
'os"e& s"aBeho!de& Da&"iiDa"ion in D!anning and imD!emen"ing &esou&e moni"o&ing# eCa!ua"ion and
en'o&emen"O
Gui!d !oa! moni"o&ing and eCa!ua"ion aDai"% and in"eg&a"e Ai"hin i" "he "&adi"iona! eo!ogia!
BnoA!edge1
The D&ima&% &o!e o' "hose &esDonsiG!e 'o& PA goCe&nane is "o &ea"e and main"ain "he
ondi"ions neessa&% 'o& e''e"iCe managemen"1 +oCe&ning Godies a" Ca&ious !eCe!s do
"his in a Ca&ie"% o' Aa%s# in!uding G%?
42
D&oCiding a !ega! '&ameAo&B 'o& !and and &esou&e use and "enu&eO
es"aG!ishing a Do!i% '&ameAo&B "ha" Ga!anes eo!ogia! and human Ae!!<GeingO
4/
San!on# ,1 -..-
42
AdaD"ed '&om SAi'"# 433>
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4-
es"aG!ishing# s"&u"u&ing and Du""ing in"o oDe&a"ion &o!es# &esDonsiGi!i"ies and
aoun"aGi!i"ies in deision<maBing aGou" onse&Ca"ion and &esou&e useO
inCes"ing in Gui!ding ins"i"u"iona! aDai"% a" Ca&ious !eCe!sO
inCes"ing in deCe!oDing &e!eCan" indiCidua! and ommuni"% aDai"iesO
'os"e&ing ins"i"u"iona! Do!iies# D&og&ammes and D&oedu&es# o&ganiIa"iona!
u!"u&es and D&o'essiona! a""i"udes "ha" suDDo&" Da&"iiDa"o&% D&oessesO
D&oCiding deisiCe in"e&Cen"ions in "he eCen" o' on'!i"# Da&"iu!a&!% oCe&
Gounda&% disDu"es and oCe& !and and &esou&e useO
gua&an"eeing 'ai&ness o' s"aBeho!de& &eD&esen"a"ion in deision<maBing D&oesses
and disDu"e &eso!u"ionO
assu&ing s"anda&ds o' De&'o&mane in managemen"O
'os"e&ing "he D&oCision o' emD!o%men" and o"he& eonomi oDDo&"uni"ies and
Gene'i"s 'o& s"aBeho!de&sO
D&oCiding inCes"men"s in PA in'&as"&u"u&eO
D&oCiding "ehnia! inDu"s and suDDo&" "o D&o"e"ed a&ea s"a''1
What o!ernin instru%ents and $o&ers are used?
Go:ernin% instr!ments
Those &esDonsiG!e 'o& &ea"ing and main"aining suDDo&"iCe ondi"ions 'o& managemen" o'
a D&o"e"ed a&ea use a Ca&ie"% o' goCe&ning ins"&umen"s "o ahieCe "his "asB# in!uding?
!aAsO
Do!iies and &u!es Je1g1 'o& es"aG!ishing &o!es# &esDonsiGi!i"ies and aoun"aGi!i"%KO
&egu!a"ions Je1g1 'o& "iming "he use o' a &esou&e# oDening o& !osing aess "o an a&ea#
a!!oAing o& disa!!oAing a Da&"iu!a& "ehno!og%KO
'inania! inCes"men"s Jin D&og&ammes# in'&as"&u"u&e# e"1K O
sD&eading o' in'o&ma"ion "h&ough seCe&a! aCenuesO
D&oCision o' oasions "o mee"# disuss and nego"ia"e oCe& sDei'i issues J'o&ums and
D!a"'o&ms# in!uding on<going eCen"sKO
D&oCision o' ma"e&ia! o& adminis"&a"iCe suDDo&"O
&esea&h and "&aining D&og&ammesO
Ca&ious 'o&ms o' inen"iCes and disinen"iCes# '&om 'ees and "aHes "o &eogni"ion o'
soia! me&i" and Goos"ing o' soia! s"anding1
Manage&s# agen% &eD&esen"a"iCes and s"aBeho!de&s in"e&D&e" and use omGina"ions o'
"hese goCe&ning ins"&umen"s Je1g1 &egu!a"ions# Do!iies# inen"iCes# 'unding# nego"ia"ion
D!a"'o&msK "o he!D "hem a&&% ou" "hei& D!anning and managemen" a"iCi"ies1
Go:ernan=e #oAers
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4/
Those &esDonsiG!e 'o& goCe&ning ho!d e&"ain DoAe&s "ha" enaG!e "hem "o use "hese
goCe&ning ins"&umen"s1 SiH Be% goCe&nane DoAe&s a&e?
Regu!a"o&% and D!anning DoAe&s? one&ning "he use o' !and and &esou&es and 'o&
hea!"h and sa'e"% &easons1
SDending DoAe&s? &e!a"ed "o &esou&e managemen"# "&aining D&og&ammes#
deCe!oDmen" and main"enane o' in'&as"&u"u&e J"&ai!s# &oads# in"e&D&e"a"iCe
'ai!i"ies# e"1K# DuG!i sa'e"%# !aA en'o&emen" and &esea&h ini"ia"iCes1
ReCenue<gene&a"ing DoAe&s? ommon!% in "he 'o&m o' 'ees# !iensing and De&mi"s
and# in some si"ua"ions# in "he 'o&m o' D&oDe&"% "aH DoAe&s1
The DoAe& "o en"e& in"o ag&eemen"s? one&ning "he sha&ing o& de!ega"ion o'
asDe"s and omGina"ions o' "he "h&ee DoAe&s aGoCe1 This in!udes "he au"ho&i"% "o
o''iia!!% san"ion "he es"aG!ishmen" o' DoAe&<sha&ing a&&angemen"s# "hei&
manda"es and oDe&a"ing &u!es Je1g1 'o& ooDe&a"iCe managemen" Goa&ds# ouni!s#
e"K1 This DoAe& a!so &e!a"es "o &ea"ing ag&eemen"s Ai"h o"he&s &esDonsiG!e 'o&
!and use managemen" in adNaen" !ands1
The DoAe& o' aess "o in'o&ma"ion? one&ning "he 'o&ma! o& in'o&ma!
ommunia"ion o' in'o&ma"ion &e!a"ed "o Do!i% D!anning# &esea&h# deision<
maBing D&oesses# moni"o&ing and eCa!ua"ion &esu!"s# e"1 This in!udes "he
au"ho&i"% "o hoose "he 'o&m and "he means G% Ahih "he in'o&ma"ion is D&oCided1
The DoAe& o' en'o&emen"? "he aGi!i"% "o en'o&e deisions# &u!es and &egu!a"ions
"h&ough a Ca&ie"% o' means# in!uding soia! onsensus and !egi"ima%# !ega!
GaBing# Do!i"ia! D&essu&e# and eCen Do!ie and mi!i"a&% 'o&e1
O:er"a##in% %o:ernan=e #oAers and a!t<ority
Iden"i'%ing Ahih &egu!a"ions and o"he& goCe&ning ins"&umen"s aDD!% in a sDei'i
D&o"e"ed a&ea on"eH" an Ge a di''iu!" "asB1 +oCe&ning Godies a" di''e&en" !eCe!s o'
DoAe&# Ai"h di''e&en" deg&ees o' o''iia! &eogni"ion and o'"en '&om Ca&ious soia! and
eonomi se"o&s# an !aim Nu&isdi"ion Jau"ho&i"%K "o maBe and en'o&e "hei& !aAs#
Do!iies and &u!es1 Fo& eHamD!e# "he same geog&aDhia! sDo" Ja 'o&es"# a saCannah# a
!agoon# e"1K o& "he same a"iCi"% J"he "&adi"iona! ha&Ces"ing o' D!an"s# omme&ia! 'ishing#
!oa! "&aDDing and hun"ing 'o& 'ood and !o"hes# e"1K ma% Ge suGNe" "o a numGe& o'
diCe&se &u!es and &egu!a"ions1 A !oa! goCe&nane God% Je1g1# a goCe&nmen" dis"&i" o''ie
o& a D&o"e"ed a&ea o<managemen" Goa&dK ma% Ge "he sou&e o' some &egu!a"ions# Ahi!e a
&egiona! o& na"iona! goCe&nane God% Je1g1# a s"a"e# D&oCinia! o& na"iona! goCe&nmen"
deDa&"men" o& a &egiona! goCe&ning ouni! 'o& seCe&a! D&o"e"ed a&easK ma% haCe some
on"&adi"o&% &u!es1 Ano"he& sou&e o' omD!eHi"% ma% Ge in"&odued Ahen a &egiona! o&
na"iona! goCe&nane God% deCo!Ces some DoAe& "o a !oa! God% Gu" !a"e& a""emD"s "o
&easse&" i"s au"ho&i"%1
SeCe&a! geog&aDhia! !eCe!s o' goCe&nane ma% eHe&" in'!uene in a giCen D&o"e"ed a&ea
se""ing1
4>
The% a&e?
"he g!oGa! !eCe! Jin&easing!% imDo&"an" Ai"h &esDe" "o D&o"e"ed a&eas Geause o'
"he g&oAing numGe& o' in"e&na"iona! ag&eemen"s and onCen"ions# suh as "he
4>
Ins"i"u"e on +oCe&nane# -..-
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 42
*o&!d He&i"age ConCen"ion# "he ConCen"ion on Bio!ogia! DiCe&si"%# "he Ramsa&
ConCen"ion on *e"!ands o' In"e&na"iona! Signi'iane# "he (NESCO;s Man and
"he BiosDhe&e P&og&amme# e"1KO
"he na"iona! !eCe!O
"he &egiona!) suG<na"iona!) "e&&i"o&ia! !eCe! Je1g1# "he !eCe! o' an indigenous
DeoD!e;s domainKO
"he !oa!) ommuni"% !eCe!1
These !eCe!s o' ins"i"u"iona! and !ega! goCe&nane in"e&D!a% Ai"h o"he& 'o&ms and !eCe!s o'
goCe&nane in eah soie"% and u!"u&e1 In man% oun"&ies# 'a"o&s suh as e"hnii"%#
&e!igion# gende& o& Ge!onging "o a giCen !an D!a% a en"&a! &o!e in de"e&mining "he &u!es
o' on"&o! oCe& "he !oa! &esou&es1 This is Da&"iu!a&!% "&ue 'o& na"u&a! &esou&es unde&
ommon D&oDe&"% Jin!uding "he ones "ha" a&e o''iia!!% s"a"e<oAnedK1 Suh 'o&ms and
!eCe!s o' 7u!"u&a! goCe&nane8 ma% Ge inCisiG!e Gu" neCe&"he!ess D!a% a Be% &o!e in
deision< maBing aGou" a D&o"e"ed a&ea# meshing in Ca&ious Aa%s Ai"h "he ins"i"u"iona!
and !ega! goCe&nane !eCe!s and mehanisms1
Additiona" %o:ernan=e =<a""en%es asso=iated Ait< re%!"atory #oAers
O' "he siH "%Des o' goCe&nane DoAe&s !is"ed aGoCe# i" is De&haDs "he &egu!a"o&% DoAe&
"ha" gene&a"es "he mos" a""en"ion and on"&oCe&s%1 This is Geause i" is so en"&a! "o
mee"ing "he oGNe"iCes o' D&o"e"ed a&eas and Geause i" D&esen"s so man% goCe&nane
ha!!enges1 These ha!!enges s"em '&om a" !eas" "h&ee auses?
49
41 Regu!a"ion an Geome Do!i"ia!!% ha&ged and is o'"en &ega&ded as a
:neessa&% eCi!1; The Binds o' &i"iisms made a&e man% and Ca&ied1 Fo& eHamD!e?
"he&e a&e "oo man% &egu!a"ionsO
"he &egu!a"ions a&e "oo omD!eH o& in'!eHiG!eO
"he &egu!a"ions a&e ou" o' da"e M "he% donP" &e'!e" "he neA &ea!i"ies o' "he
&egu!a"ed a"iCi"% o& "he deCe!oDmen" o' neA "ehno!og%O
"he &egu!a"ions a&e so one&ous as "o &eD&esen" an un'ai& Gu&den in omDe"ing in
"he ma&Be" D!aeO
"he &egu!a"ions donP" &esDe" indigenous &igh"s o& u!"u&e o& D&oCide 'o& !oa!
needsO
"he &egu!a"o&% agen% is on"&o!!ed G% "hose i" is suDDosed "o &egu!a"e1
-1 Regu!a"o&% agenies Ao&B "o D&eCen" unaeD"aG!e &isBs '&om
haDDening "o "he DuG!i and "he enCi&onmen"1 Con&e"e &esu!"s '&om e''e"iCe &isB
managemen" a&e di''iu!" "o demons"&a"e1 HoAeCe&# sine aiden"s do ou&#
agenies a&e Cu!ne&aG!e "o &i"iism and eCen !ega! a"ion 'o& :&egu!a"o&%
neg!igene1;
/1 E''e"iCe &egu!a"ion is aGou" maBing hoies? "he&e a&e neCe& enough
&esou&es "o insDe" o& moni"o& "he &ange o' a"iCi"ies "o Ge &egu!a"ed1
49
SDa&&oA# -...
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4>
Fu&"he&mo&e# e''e"iCe &egu!a"ion is aGou" eHe&ising dis&e"ion in hoosing
among a &ange o' san"ions# '&om Aa&ning !e""e&s "o iCi! o& &imina! D&oeedings
"o susDension o' !ienses1 Suh dis&e"ion# i' no" a&e'u!!% managed# an !ead "o
un'ai& "&ea"men"# aGuse o' DoAe& and DossiG!%# o&&uD"ion1
'our (ty$es) of $rotected area o!ernance
P&o"e"ed a&ea goCe&nane an Ge ha&a"e&ised G% "he ho!ding o' deision<maBing
au"ho&i"% among Ca&ious a"o&s1 Some %ea&s ago# a DoAe&<sha&ing on"inuum Aas
D&oDosed "o des&iGe Ca&ious modes o' deision<maBing 'o& an indiCidua! D&o"e"ed a&ea
4@

Ai"h# on "he one eH"&eme# an o''iia! s"a"e agen% Ces"ed Ai"h omD!e"e deision<maBing
DoAe& and# on "he o"he&# a !oa! ommuni"% o& D&iCa"e en"i"% Je1g1# an indigenous
o&ganisa"ion# an indiCidua!# a o&Do&a"ion# a 'ounda"ionK Ai"h omD!e"e on"&o!1 Be"Aeen
s"a"e agen% on"&o! and D&iCa"e on"&o!# "he&e Ae&e Ca&ious "%Des o' s"aBeho!de&
Da&"iiDa"ion in deision<maBing Je1g1# o!!aGo&a"iCe and Noin" managemen" mode!sK1
Fu&"he& disussions among D&o"e"ed a&ea &esea&he&s and D&a"i"ione&s haCe gene&a"ed a
numGe& o' a""emD"s "o des&iGe "%Des o' D&o"e"ed a&ea goCe&nane1 One suh a""emD"
4E
#
shoAn in TaG!e 4# on"ains 'ou& "%Des o' goCe&nane# dis"inguished G% Ahe&e 'ina!
deision<maBing au"ho&i"%# &esDonsiGi!i"%# and aoun"aGi!i"% u!"ima"e!% !ie1 This
"%Do!og% is D&esen"ed in TaG!e 4 in omGina"ion Ai"h "he !assi'ia"ion s%s"em 'o&
D&o"e"ed a&eas deCe!oDed G% "he In"e&na"iona! (nion 'o& "he Conse&Ca"ion o' Na"u&e
JI(CNK1 The I(CN P&o"e"ed A&ea Ca"ego&ies haCe Geen es"aG!ished "o dis"inguish
among D&o"e"ed a&eas dedia"ed "o di''e&en" oCe&a!! oGNe"iCes and managemen"
D&io&i"ies1 The 'ou& goCe&nane "%Des a&e 'u!!% omD!emen"a&% "o "he I(CN a"ego&ies
J"he% a&e a"ego&%<neu"&a!K and an Ge aDD!ied "o an% o' "hem1 P&o"e"ed a&eas eHis" "ha"
'i!! eah DossiG!e omGina"ion o' I(CN a"ego&% and goCe&nane "%De
43
1
Ta*le +: ,o%r -pes of Proe!e" Area Go(er#a#!e
4@
Bo&&ini<Fe%e&aGend# 4339O Ins"i"u"e on +oCe&nane# -..-O Pa&Bs Canada# -..-a1
4E
Bo&&ini<Fe%e&aGend# -..-
43
Bo&&ini<Fe%e&aGend# -../1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 49
Go:erna
n=e ty#e
IUCN
Cate%ory
Dmana%emen
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Ma#a$eme#
B
M%l')sa.e/ol"er
Ma#a$eme#
C
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D
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I - &tri=t
Nat!re
Reser:eF
(i"derness
Area
II G Nationa"
ParC
De=osystem
#rote=tionH
#rote=tion o>
=!"t!ra"
:a"!esE
III G Nat!ra"
*on!ment
IV G $abitatF
&#e=ies
*ana%ement
V G Prote=ted
Lands=a#eF
&eas=a#e
VI G
*ana%ed
Reso!r=e
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4@
A+ GOVERN*ENT *ANAGE*ENT M Au"ho&i"%# &esDonsiGi!i"% and aoun"aGi!i"% 'o&
managing "he D&o"e"ed a&ea &es" Ai"h a goCe&nmen" minis"&% o& agen% "ha" has 'o&ma!!% suGNe"ed i"
"o a onse&Ca"ion oGNe"iCe Jsuh as "he ones "ha" dis"inguish "he I(CN a"ego&iesK1 The goCe&nmen"
!eCe! in ha&ge ma% Ge "he na"iona! JD&oCinia! in ase o' a 'ede&a! oun"&%K o& "he !oa!) muniiDa!1
The goCe&nmen" ma% a!so haCe de!ega"ed "he managemen" "o a God% Ja Da&a<s"a"a! o&ganisa"ion#
N+O o& eCen a D&iCa"e oDe&a"o& o& ommuni"%K Gu" i" &e"ains !and oAne&shiD and on"&o!) oCe&sigh"1
The goCe&nmen" ma% o& ma% no" haCe a !ega! oG!iga"ion "o in'o&m o& onsu!" o"he& iden"i'ied
s"aBeho!de&s D&io& "o maBing o& en'o&ing managemen" deisions1
B+ *ULTI-&TA'E$OL)ER *ANAGE*ENT M Au"ho&i"%# &esDonsiGi!i"% and
aoun"aGi!i"% 'o& managing "he D&o"e"ed a&ea a&e sha&ed in Ca&ious Aa%s among a Ca&ie"% o' a"o&s#
!iBe!% "o in!ude one o& mo&e goCe&nmen" agenies# !oa! ommuni"ies# D&iCa"e !andoAne&s and o"he&
s"aBeho!de&s1 The a"o&s &eogniIe "he !egi"ima% o' "hei& &esDe"iCe en"i"!emen"s "o manage "he
D&o"e"ed a&ea# and ag&ee on suGNe"ing i" "o a sDei'i onse&Ca"ion oGNe"iCe Jsuh as "he ones "ha"
dis"inguish "he I(CN a"ego&iesK1 Dis"in" suG<"%Des ma% Ge iden"i'ied1 In o!!aGo&a"iCe
managemen"# 'o&ma! deision<maBing au"ho&i"%# &esDonsiGi!i"% and aoun"aGi!i"% s"i!! &es" Ai"h one
agen% Jo'"en a na"iona! goCe&nmen"a! agen%K# Gu" "he agen% is &e$ui&ed G% !aA o& Do!i% "o
o!!aGo&a"e Ai"h o"he& s"aBeho!de&s1 In i"s s"&onges" 'o&m# :o!!aGo&a"ion; means "ha" a mu!"i<
s"aBeho!de& God% deCe!oDs and aDD&oCes G% consensus a numGe& o' "ehnia! D&oDosa!s 'o& D&o"e"ed
a&ea &egu!a"ion and managemen"# "o Ge !a"e& suGmi""ed "o "he deision<maBing au"ho&i"%1 In Noin"
managemen"# Ca&ious a"o&s si" on a managemen" God% Ai"h deision<maBing au"ho&i"%1 Again# "he
&e$ui&emen"s 'o& Noin" managemen" a&e made s"&onge& i' deision<maBing is G% onsensus1 *hen
"his is no" "he ase# "he Ga!ane o' DoAe& &e'!e"ed in "he omDosi"ion o' "he Noin" managemen" God%
ma% de facto "&ans'o&m i" in"o a o!!aGo&a"iCe managemen" a&&angemen" 1 A sDeia! ase o' mu!"i<
s"aBeho!de& managemen" is "he one o' "&ans<Gounda&% PAs# Ahe&eG% "Ao o& mo&e na"iona!
goCe&nmen"s manage o<oDe&a"iCe!% an a&ea Ge%ond "he !imi"s o' na"iona! soCe&eign"% o& Nu&isdi"ion
o' an% one o' "hem1 This aDD&oah has Geen sugges"ed a!so 'o& high seas ma&ine PAs Ge%ond "he
Nu&isdi"ion o' an% one oun"&%1
C+ PRIVATE *ANAGE*ENT M Au"ho&i"% and &esDonsiGi!i"% 'o& managing "he D&o"e"ed a&ea
&es" Ai"h one o& mo&e D&iCa"e !andoAne&s1 In some ases "he oAne& is a non<D&o'i" o&ganiIa"ion Je1g1
an N+O# 'ounda"ion# &esea&h ins"i"u"e o& uniCe&si"%K Gu" in o"he&s i" is a 'o&<D&o'i" o&Do&a"ion1 The
oAne&s o' "he !and and na"u&a! &esou&es suGNe" "hem "o a sDei'i onse&Ca"ion oGNe"iCe Jsuh as
"he ones "ha" dis"inguish "he I(CN a"ego&iesK# and a&e &esDonsiG!e 'o& maBing "he deisions# suGNe"
"o aDD!iaG!e !aAs and "he "e&ms o' an% ag&eemen"s Ai"h "he goCe&nmen" Gu" "hei& aoun"aGi!i"% "o
"he !a&ge& soie"% is usua!!% $ui"e !imi"ed1 Some 'o&ms o' aoun"aGi!i"% ma% Ge nego"ia"ed Ai"h "he
goCe&nmen" in eHhange 'o& sDei'i inen"iCes Jas in "he ase o' Land (se T&us"sK1
)+ CO**UNIT. *ANAGE*ENT M Au"ho&i"% and &esDonsiGi!i"% 'o& managing "he
D&o"e"ed a&ea &es" Ai"h "he indigenous DeoD!es and)o& !oa! ommuni"ies Ai"h us"oma&% and)o&
!ega! !aims oCe& "he !and and na"u&a! &esou&es "h&ough a Ca&ie"% o' sDei'i 'o&ms o' e"hni
goCe&nane o& !oa!!% ag&eed o&ganisa"ions and &u!es1 Land and &esou&es a&e usua!!% o!!e"iCe!%
managed# a 'a" "ha" ma% o& ma% no" haCe Geen !ega!!% san"ioned in "he sDei'i na"iona! on"eH"11
The ommuni"% us"oma&i!% Jand)o& !ega!!%K oAning "he !and and na"u&a! &esou&es 'o&ma!!% suGNe"s
"hem "o a onse&Ca"ion oGNe"iCe Jsuh as "he ones "ha" dis"inguish "he I(CN a"ego&iesK and)o& "o
o"he& oGNe"iCes "ha" sueed in ahieCing "he onse&Ca"ion oGNe"iCes1 Managemen" is "h&ough a
!oa!!% ag&eed 'o&m o' goCe&nane# Ahih o'"en has &oo"s in "&adi"iona!# us"oma&% o& e"hni D&a"ies
The ommuni"%;s aoun"aGi!i"% "o soie"% ma% Ge de'ined as Da&" o' G&oade& nego"ia"ions Ai"h "he
na"iona! goCe&nmen" and o"he& Da&"ne&s# DossiG!% as a oun"e&Da&" "o Geing assu&ed# 'o& eHamD!e# 'u!!
&esDe" 'o& us"oma&% &igh"s# inen"iCes# e"1 Suh nego"ia"ions ma% &esu!" in &eogni"ion o' sDei'i
&igh"s and eCen Noin" managemen" a&&angemen"s1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4E
The ro#e of *and Tenure
Mos" D&o"e"ed a&eas a&e es"aG!ished on !ands unde& ommon D&oDe&"% Js"a"e oAned o&
ommuna!!%<managed on us"oma&% g&oundsK Gu" seCe&a! si"es a!so inCo!Ce D&iCa"e !ands
o& a miH"u&e o' di''e&en" "enu&es M DuG!i# D&iCa"e and ommuna!1 F&e$uen"!%# "hese miHed
D&oDe&"% "e&&i"o&ies a&e unde& mu!"i<s"aBeho!de& managemen"1 In man% oun"&ies#
hoAeCe&# !and "enu&e in D&o"e"ed a&eas is s"i!! a on"&oCe&sia! issue1 His"o&ia!!%#
goCe&nmen"s aDD&oD&ia"ed "e&&i"o&ies Ai"hou" "he onsen" o' "he o&igina! &esiden"
ommuni"ies o& indiCidua!s# o& goCe&nmen"s inhe&i"ed D&o"e"ed a&eas '&om a o!onia!
DoAe&# De&De"ua"ing Aha" man% onside&ed un!aA'u! disDossessions1 The s%s"ema"iIa"ion
o' D&o"e"ed a&eas ao&ding "o 7goCe&nane "%Des8 Gegins "o add&ess some o' "hese issues
G% aBnoA!edging "ha" onse&Ca"ion an and does haDDen on !and unde& "he "enu&e o'
"&adi"iona! &esiden"s o& unde& miHed "enu&es "ha" in!ude "&adi"iona! &esiden"s11
What is +ood o!ernance,?
:+ood goCe&nane; is a 'ai& and e''e"iCe Aa% o' eHe&ising goCe&ning DoAe&s JmeansK in
o&de& "o mee" "he oGNe"iCes JendsK o' "he D&o"e"ed a&ea1 I" is 'ounded uDon "he aDai"%
and &e!iaGi!i"% o' goCe&ning ins"i"u"ions "o e''e"iCe!% &esDond "o D&oG!ems and ahieCe
soia! uni"% "h&ough Ca&ious 'o&ms o' onsu!"a"ion# nego"ia"ion and mu!"i<Da&"%
ag&eemen"s1 Bodies D&a"iing :good goCe&nane; an hand!e on'!i" ons"&u"iCe!%#
a!!oAing 'o& "he eHD&ession o' di''e&en" Doin"s o' CieA# "he eHD!o&a"ion o' diCe&se
meanings# and "he eCo!u"ion o' onsensus so!u"ions1 This# in "u&n# in&eases "he goCe&ning
Godies; !egi"ima%# "hei& &esDe" in "he e%es o' "he &e!eCan" s"aBeho!de&s# and soia!
omD!iane "o "he &e!eCan" &u!es1
Fi:e #rin=i#"es o> %ood %o:ernan=e
*ha" ons"i"u"es good goCe&nane is s"&ong!% a''e"ed G% "he u!"u&a! on"eH"1
NeCe&"he!ess# some uniCe&sa! no&ms o& Ca!ues haCe Geen D&oDosed and an DossiG!% aDD!%
a&oss u!"u&a! Gounda&ies1 The (ni"ed Na"ions 'o&mu!a"ed "hese uniCe&sa! no&ms in"o
ha&a"e&is"is o' good goCe&nane1
-.
The Ins"i"u"e on +oCe&nane has suGse$uen"!%
g&ouDed "hese ha&a"e&is"is in"o 'iCe G&oad D&iniD!es# &eD&odued in TaG!e -1
-4
*e haCe
added a o!umn !is"ing Be% &e!a"ed goCe&nane &esDonsiGi!i"ies "o maBe "he Ao&B as
use'u! as DossiG!e as a '&ameAo&B "o assess goCe&nane in a sDei'i se""ing1
1 O"he& D&iniD!es ou!d Ge added "o "his !is"1 Fo& ins"ane# some Aou!d sa% "ha" "he
D&iniD!es in TaG!e - ou!d maBe s"&onge& &e'e&ene "o a ri%<t based a##roa=<
//
#
ao&ding "o Ahih# 'i&s" and 'o&emos"# D&o"e"ed a&ea goCe&nane shou!d no" in'&inge
uDon "he !ega! and us"oma&% &igh"s o' ommuni"ies and indiCidua!s1 O"he&s Aou!d
-.
The (ni"ed Na"ions DeCe!oDmen" P&og&amme# 433@
-4
The Ins"i"u"e on +oCe&nane# -..-
--
Inse&" **F<CARE &e' he&e# -..-1 JFo&"homingK
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 43
emDhasiIe "he oneD" o' s!bsidiarity
-/
G% Ahih goCe&nane au"ho&i"% and
&esDonsiGi!i"% shou!d de de!ega"ed "o "he !oAes" DossiG!e !eCe! Ai"h &e!eCan" aDai"%
J"hus D&omo"ing DuG!i Da&"iiDa"ion and aoun"aGi!i"% in deision<maBingK1 You Ai!!
undouG"ed!% onside& Aha" D&iniD!es maBe "he mos" sense in %ou& his"o&ia! and soio<
u!"u&a! on"eH"1
Ta*le 2: ,'(e Pr'#!'ples of Goo" Go(er#a#!e
Jmodi'ied '&om Ins"i"u"e o' +oCe&nane# -..-K
,'(e Pr'#!'ples
of $oo"
$o(er#a#!e
T/e U#'e" Na'o#s Pr'#!'ples
o# 0/'!/ /e f'(e pr'#!'ples are
*ase"
Relae" PA $o(er#a#!e
respo#s'*'l''es
+1 Le$''ma!-
a#" 2o'!e
Parti=i#ation? A!! men and Aomen
shou!d haCe a Coie in deision<maBing#
ei"he& di&e"!% o& "h&ough !egi"ima"e
in"e&media"e ins"i"u"ions "ha" &eD&esen"
"hei& in"en"ion1 Suh G&oad Da&"iiDa"ion
is Gui!" on '&eedom o' assoia"ion and
sDeeh# as Ae!! as aDai"ies "o
Da&"iiDa"e ons"&u"iCe!%1
Consens!s orientation? +ood
goCe&nane media"es di''e&ing in"e&es"s
"o &eah a G&oad onsensus on Aha" is in
"he Ges" in"e&es" o' "he g&ouD and# Ahe&e
DossiG!e# on Do!iies and D&oedu&es1
P&omo"ing "he '&ee eHD&ession o'
CieAs# Ai"h no dis=rimination
&e!a"ed "o gende&# e"hnii"%# soia!
!ass# e"1
Fos"e&ing dia"o%!e and onsensus
Fos"e&ing &e!a"ions o' tr!st among
s"aBeho!de&s
MaBing su&e "ha" r!"es a&e &esDe"ed
Geause "he% a&e 7oAned8 G% DeoD!e
and no" so!e!% Geause o' 'ea& o'
&eD&ession
21 A!!o%#a*'l'-
A==o!ntabi"ity? Deision<maBe&s a&e
aoun"aG!e "o "he DuG!i# as Ae!! as "o
ins"i"u"iona! s"aBeho!de&s1 This
aoun"aGi!i"% di''e&s deDending on "he
o&ganiIa"ions and Ahe"he& "he deision
is in"e&na! o& eH"e&na!1
Trans#aren=y? T&ansDa&en% is Gui!" on
"he '&ee '!oA o' in'o&ma"ion1 P&oesses#
ins"i"u"ions and in'o&ma"ion a&e di&e"!%
aessiG!e "o "hose one&ned Ai"h "hem1
Enough in'o&ma"ion is D&oCided "o
unde&s"and and moni"o& ins"i"u"ions and
"hei& deision<maBing D&oesses1
MaBing su&e "ha" s"aBeho!de&s
Dossess an ade$ua"e CnoA"ed%e, and
I!a"ity o> CnoA"ed%e, &ega&ding
Aha" is a" s"aBe in deision<maBing#
Aho is &esDonsiG!e 'o& Aha"# and hoA
&esDonsiGi!i"ies an Ge made
aoun"aG!e
MaBing su&e "ha" "he aCenues "o
demand aoun"aGi!i"% a&e a==essib"e
"o a!!
MaBing su&e "ha" aoun"aGi!i"% is no"
!imi"ed "o Ce&Ga! eHhanges Gu"
!inBed "o on&e"e and aDD&oD&ia"e
reAards and san=tions
-/
Commission o' "he Eu&oDean Communi"ies# -..41 See a!so "he CBD unde&s"anding o' "he 7eos%s"em
aDD&oah81
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -.
+1 Performa#!e
Res#onsi:eness? Ins"i"u"ions and
D&oesses "&% "o se&Ce a!! s"aBeho!de&s1
E>>e=ti:eness and e>>i=ien=y? P&oesses
and ins"i"u"ions D&odue &esu!"s "ha" mee"
needs Ahi!e maBing "he Ges" use o'
&esou&es1
Ensu&ing a =om#etent
adminis"&a"ion1
MaBing e&"ain "he&e is su''iien"
ins"i"u"iona! and human =a#a=ity "o
a&&% ou" "he &e$ui&ed &o!es and
assume "he &e!eCan" &esDonsiGi!i"ies
Being rob!st and resi"ient# i1e1 aG!e
"o oCe&ome a Ca&ie"% o' "h&ea"s)
oGs"a!es and ome ou" s"&eng"hened
'&om "he eHDe&ienes
21 ,a'r#ess
EI!ity? A!! men and Aomen haCe
oDDo&"uni"ies "o imD&oCe o& main"ain
"hei& Ae!! Geing1
R!"e o> LaA? Lega! '&ameAo&Bs a&e 'ai&
and en'o&ed imDa&"ia!!%# Da&"iu!a&!% "he
!aAs on human &igh"s1
MaBing su&e "ha" onse&Ca"ion is
unde&"aBen Ai"h de=en=y? Ai"hou"
humi!ia"ion o& ha&m "o DeoD!e
Ensu&ing "ha" "he goCe&ning
mehanisms Je1g1 !aAs# Do!iies
on'!i" &eso!u"ion 'o&ums# 'unding
oDDo&"uni"ies# e"1K distrib!te
eI!itab"y t<e =osts and bene>its
deri:in% >rom =onser:ation
MaBing e&"ain "ha" DuG!i se&Cie
D&omo"ions a&e me&i"<Gased
Being =onsistent "h&ough "ime in
aDD!%ing !aAs and &egu!a"ions
P&oCiding 'ai& aCenues 'o& =on>"i=t
mana%ement and# eCen"ua!!%# non<
dis&imina"o&% &eou&se "o B!sti=e
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -4
31 D're!'o#
&trate%i= :ision? Leade&s and "he DuG!i
haCe a G&oad and !ong<"e&m De&sDe"iCe
on good goCe&nane and human
deCe!oDmen"# a!ong Ai"h a sense o' Aha"
is needed 'o& suh deCe!oDmen"1 The&e is
a!so an unde&s"anding o' "he his"o&ia!#
u!"u&a! and soia! omD!eHi"ies in Ahih
"ha" De&sDe"iCe is g&ounded1
P&oCiding e>>e=ti:e "eaders<i##
gene&a"ing and suDDo&"ing innoCa"iCe
ideas and D&oesses1
P&oCiding a mode! o' good ondu"#
Geing onsis"en" in Aha" i" is said and
done
Priorities di>>er by so=ia" =onte?t
The de"ai!s o' Aha" ons"i"u"es good goCe&nane deDend on suh 'a"o&s as "he Ca!ues and
u!"u&a! no&ms o' "he soie"% in Ahih %ou !iCe# %ou& Do!i"ia! his"o&%# and %ou& desi&ed
soia! and eonomi ou"omes1 I" is imDo&"an" "ha" di''e&en" "&adi"ions and Ca!ues Ge
aommoda"ed Ahen onside&ing aDD&oD&ia"e &o!es# &esDonsiGi!i"ies and &e!a"ions among
s"aBeho!de&s and goCe&nmen" agenies1
Di''e&en" D&iniD!es o' good goCe&nane Ai!! &eeiCe D&io&i"% deDending on "he soia!
on"eH"
-2
1 Fo& eHamD!e# *es"e&n u!"u&es D!ae "oD Ca!ue on e''iien%# Ahi!e in o"he&
Da&"s o' "he Ao&!d# ha&mon% and onsensus ma% Ge mos" imDo&"an"1 DeDending on "he
soie"%# di''e&en" D&io&i"ies ma% Ge su&'aing Ge"Aeen?
indiCidua! &igh"s omDa&ed "o ommuna! oG!iga"ionsO
"he :oGNe"iCe; aDD!ia"ion o' "he &u!e o' !aA omDa&ed "o "&adi"iona! and
us"oma&% deision<maBing D&a"iesO
eonomi g&oA"h omDa&ed "o u!"u&a! in"eg&i"%# &ihness and diCe&si"%1
*hi!e "he 'iCe D&iniD!es o' good goCe&nane !is"ed in TaG!e - do ho!d Aeigh" a&oss
u!"u&a! Gounda&ies# aDD!%ing "hem "o D&a"ia! si"ua"ions ma% &ea"e on"&oCe&s%# ei"he&
Geause "he% on'!i" Ai"h eah o"he&# o& Geause "oo heaC% an emDhasis on one ma% !ead
"o undesi&aG!e &esu!"s1 Fo& eHamD!e# s"aGi!i"% in "he aDD!ia"ion o' !aAs and use o'
D&oesses Junde& :'ai&ness;K ou!d D&eCen" needed hange and Do!i"ia! deCe!oDmen" '&om
ou&&ing1 As Ae!!# an eHess o' DuG!i Da&"iiDa"ion Junde& :!egi"ima% and Coie;K ou!d
&esu!" in de"&imen"a! de!a%s on &i"ia! issues o& deision<maBing G% indiCidua!s Ai"h !i""!e
aoun"aGi!i"%1
An Indi%eno!s Peo#"es; #ers#e=ti:e
The&e is a g&oAing God% o' Ao&B on 'o&ms o' indigenous goCe&nane and# in Da&"iu!a&#
on Aha" ons"i"u"es good goCe&nane '&om an indigenous De&sDe"iCe1 BoH - D&esen"s a
Cision 'o& "he neA goCe&nmen" o' NunaCu"# a &een"!% &ea"ed "e&&i"o&% in Canada;s no&"h1
The Cision on"ains D&iniD!es o' good goCe&nane Gased on "he Coies o' "he NunaCu"
DeoD!e# and %e" i" is no" 'a& '&om "he (ni"ed Na"ions; D&iniD!es des&iGed aGoCe1
-2
+&aham e" a!1# -../1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ --
Box 4: A 2's'o# for /e Go(er#me# of N%#a(%
In D&eDa&a"ion 'o& "he neA goCe&nmen" o' NunaCu"# a &een"!% &ea"ed "e&&i"o&% in Canada;s no&"h# eH"ensiCe
onsu!"a"ion Ai"h i"iIens o' NunaCu" &esu!"ed in a Cision
->
o' goCe&nmen" "ha"?
D!aes DeoD!e 'i&s"O
&eD&esen"s and is aoun"aG!e and 'ai& "o a!! i"s &esiden"sO
is a se&Can" o' "he DeoD!e o' NunaCu"O
seeBs di&e"ion '&om "he DeoD!eO
is shaDed G% and Ge!ongs "o "he DeoD!e o' NunaCu"O
o''e&s D&og&ammes and se&Cies in an in"eg&a"ed and ho!is"i manne&O
D&omo"es ha&mon% amongs" DeoD!eO
D!aes oAne&shiD o' Ae!!<Geing in"o "he hands o' indiCidua!s# 'ami!ies# and ommuni"iesO
ondu"s i"se!' Ai"h in"eg&i"% and oDennessO
enou&ages eHe!!ene and Ae!omes &ea"iCi"%O
ino&Do&a"es "he Ges" o' Inui" and on"emDo&a&% goCe&nmen" s%s"ems1
->
Au"ho&0 7NunaCu" M Changing "he MaD o' Canada8# %ea&0000 Insigh"s M $ublic :ector 2anagement in
Canada5 5o!ume /# NumGe& 2 JNEEDS COMPLETION OF REFERENCE # AND NEED TO P!ae i" IN
THE REFEENCES LIST=K
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -/
T5E PARTICIPATOR6 E2ALUATION
The $ua!i"% and &esu!"s o' "he Da&"iiDa"o&% eCa!ua"ion o' "he goCe&nane s%s"em 'o& "he
D&o"e"ed a&ea o' %ou& one&n deDend on "he !ong<"e&m ommi"men" o' "he &e!eCan"
a"o&s "o imD&oCe goCe&nane and managemen" e''e"iCeness1 The eCa!ua"ion# in 'a"#
needs "o engage a!! o' "hem in an a"iCe Aa%# "h&ough "ime and a" di''e&en" !eCe!s1
TaG!e /
-9
summa&ises "he "ene"s o' "he Da&"iiDa"o&% eCa!ua"ion aDD&oah Ce&sus "he
onCen"iona! one?
Ta*le 4: W/a "'s'#$%'s/es a par'!'paor- e(al%a'o# from a !o#(e#'o#al o#e7
Con:entiona" E:a"!ation Parti=i#atory E:a"!ation
(<o #"ans and mana%es t<e
#ro=ess
Senio& manage&s# o& ou"side
eHDe&"s
Loa! DeoD!e# D&oNe" s"a''# manage&s#
and o"he& s"aBeho!de&s# o'"en he!Ded
G% a 'ai!i"a"o&
T<e ro"e o> J#rimary a=tors; P&oCiding in'o&ma"ion
Designing and adaD"ing "he
me"hodo!og%# o!!e"ing and
ana!%sing da"a# sha&ing 'indings and
de&iCing "he needed a"ion
$oA s!==ess is meas!red
Main!% G% eH"e&na!!%<de'ined
$uan"i"a"iCe india"o&s
B% in"e&na!!%<de'ined india"o&s#
in!uding $ua!i"a"iCe Nudgemen"s
T<e o:era"" a##roa=< P&e<de"e&mined AdaD"iCe
Pa&"iiDa"iCe o& no"# hoAeCe&# an eCa!ua"ion mus" Ge Ae!! D!anned1 Fo& "his Ae o''e& a
se&ies o' s"eDs a&&anged in "h&ee Dhases1 You a&e inCi"ed "o onside& "hem as a s"a&"ing
Doin" and insDi&a"ion "o &ea"e "he aDD&oah "ha" Ges" sui"s %ou& oAn on"eH" and si"ua"ion1
The D&oess ou"!ined Ge!oA has Geen d&aAn '&om aumu!a"ed eHDe&iene designing "he
moni"o&ing and eCa!ua"ion o' o&ganiIa"ions# D&oNe"s and D&og&ammes
-@
# Ai"h sDeia!
emDhasis on Pa&"iiDa"o&% A"ion Resea&h
-E
# A"ion<ECa!ua"ion
-3
and EmDoAe&men"
ECa!ua"ion
/.
1 TaG!e 2 D&oCides an eHamD!e o' Pa&"iiDa"o&% ECa!ua"ion P!an Ahih
in!udes eah o' "hese s"eDs1 HoAeCe&# "his is Nus" a gene&a! guide as man% 'a"o&s Je1g1
"he numGe& and ha&a"e&is"is o' "he &e!eCan" a"o&s# "he eHis"ene o' Da&"iu!a&
-9
Modi'ied '&om +uiN" and +aCen"a# 433E1
-@
See# 'o& ins"ane# Bo&&ini<Fe%e&aGend# 433@O ,aBson and Ing!es# 433EO Ma&go!uis and Sa!a'sB%# 433EO
AG&ams# -...O HoBings et al# -...O S"einme"I# -...O Bo&&ini<Fe%e&aGend and Fa&Ca&# -..41 Fo&
addi"iona! ideas and in'o&ma"ion# see ELDIS# -../ JAeGsi"e on Da&"iiDa"o&% moni"o&ing and eCa!ua"ionK#
and Ins"i"u"e o' DeCe!oDmen" S"udies# -../ JAeGsi"e on i"iIen Da&"iiDa"ion and Da&"iiDa"o&% aDD&oahes
"o deCe!oDmen"K1
-E
Ba&"on et al.# 433@O1
-3
Ro"hman# 433@
/.
Fe""e&man# Ka'"a&ian# and *ande&sman# 43391
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -2
ommunia"ion o& !ogis"ia! di''iu!"iesK ma% &e$ui&e sDeia! a""en"ion and g&ea"!% modi'%
"he "ime needed 'o& a sDei'i a"iCi"%1 You Ai!! a!so need "o adaD" "he s"eDs "o %ou&
Da&"iu!a& i&ums"anes# deDending on "he !eCe! o' goCe&nane and "%De o' PA %ou a&e
eCa!ua"ing1
A !"hase "articipatory #valuation
P$A&E I3 P"annin% t<e e:a"!ation
Iden"i'% who shou!d Ge inCo!Ced in "he eCa!ua"ion
Es"aG!ish a Co&e Pa&"iiDa"o&% ECa!ua"ion Team
Ag&ee uDon why %ou a&e ondu"ing an eCa!ua"ion? "he oGNe"iCes o' "he
eCa!ua"ion
Ag&ee on what %ou Aan" "o eCa!ua"e? Aha" 7good goCe&nane8 means and
Ahih &i"e&ia and india"o&s an Ges" des&iGe i" in "he sDei'i PA
on"eH"1
Ag&ee uDon how %ou Ai!! ondu" "he eCa!ua"ion? "he s"&u"u&e and
me"hods o' "he eCa!ua"ion
MaBe su&e "ha" "he Co&e Team is 'u!!% D&eDa&ed 'o& "he "asBs ahead
DeCe!oD "he Pa&"iiDa"o&% ECa!ua"ion P!an
P$A&E II3 Carryin% o!t t<e e:a"!ation
Engage "he &e!eCan" a"o&s in "he eCa!ua"ion
+ene&a"e in'o&ma"ion in a Da&"iiDa"o&% Aa%
Ca&&% ou" "he Da&"iiDa"o&% si"ua"ion ana!%sis# goa! and a"ion ana!%sis
P$A&E III3 TaCin% a=tion and "earnin% by doin%
ImD!emen" "he ini"ia"iCes ag&eed "o imD&oCe goCe&nane
Moni"o& D&og&ess "h&ough "ime and !ea&n G% doing
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ ->
Tab"e 03 E?am#"e o> a (orC &=<ed!"e >or t<e Parti=i#atory E:a"!ation
A=ti:ities *ont< , *ont< /ont< *ont< 6 *ont< 0 *ont< 8
P<ase ,3 PLANNING T$E EVALUATION
Co&e Team es"aG!ished
Iden"i'% &e!eCan" a"o&s#
eCa!ua"ion oGNe"iCes and
D&e!im1 goCe&nane
&i"e&ia and india"o&s
Ag&ee on "he
Da&"iiDa"o&% eCa!ua"ion
D&iniD!es and me"hods
T&ain "he Co&e Team
DeCe!oD "he Da&"iiDa"o&%
eCa!ua"ion P!an and
Gudge"
+e" "he D!an and Gudge"
aDD&oCed and inCi"e
a"o&s
P<ase II3 CARR.ING OUT T$E EVALUATION
En%a%in% t<e a=tors in t<e e:a"!ation
*o&BshoDJsK "o &e'!e" on
goCe&nane# ag&ee on
D&iniD!es and &i"e&ia and
disuss De&eD"ions o'
eHis"ing goCe&nane
s%s"em
Generatin% t<e in>ormation in a #arti=i#atory Aay
The &e!eCan" a"o&s assess
"he ag&eed D&io&i"%
india"o&s
Parti=i#atory sit!ation ana"ysis, %oa" and a=tion ana"ysis
*o&BshoDJsK "o sha&e "he
&esu!"s# ana!%se and ag&ee
on goa!s 'o& imD&oCing
PA goCe&nane1 DeCe!oD
a"ion ana!%sis and ag&ee
on on&e"e ini"ia"iCes1
P<ase III3 TA'ING ACTION AN) LEARNING B. )OING
ImD!emen"ing "he
ini"iai"Ces
<<< <<<
Moni"o&ing "he D&og&ess
o' "he ini"ia"iCes
<<< <<<
FeedGaB sessions? hoA
Ae!! did eCa!ua"ion mee"
i"s oAn oGNe"iCes
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -9
Phase -. P*ANN-NG T/E EVA*0AT-ON
P!anning 'o& %ou& Da&"iiDa"o&% eCa!ua"ion is a&&ied ou" in seCe&a! s"eDs# dea!ing Ai"h "he
:Aho;# :Ah%;# :Aha"; and :hoA; o' "he Da&"iiDa"o&% assessmen"1 Be'o&e %ou eCen s"a&"
D!anning# hoAeCe&# i" is imDo&"an" "o onside& some Gasi 'easiGi!i"% $ues"ions# in!uding
"he Ai!!ingness o' "he PA goCe&ning Godies "o engage in an eCa!ua"ion D&oess and "he
aCai!aGi!i"% o' a minimum o' human and 'inania! &esou&es1 One suh Gasi 'easiGi!i"%
is assu&ed# "he 'o!!oAing s"eDs an Ge "aBen1
I"e#'f- &ho s/o%l" *e '#(ol(e" '# /e e(al%a'o#
PA goCe&nane s%s"ems a&e emGedded in G&oade& soia! and Do!i"ia! on"eH"s1 The% a&e
deDenden" uDon "hei& in"e&a"ions and omDa"iGi!i"% o& nes"ing
/4
Ai"hin "he deision<
maBing '&ameAo&B a" na"iona! and o"he& !eCe!sO "he% a!so a''e" in di''e&en" Aa%s a
Ca&ie"% o' soia! in"e&es"s and one&ns1 In addi"ion# i' hanges "o "he s%s"em a&e needed#
"he aGi!i"% "o e''e" "hose hanges is usua!!% no" !imi"ed "o "hose di&e"!% inCo!Ced in "he
goCe&ning Godies1 Beause o' a!! "his# "he eCa!ua"ion needs "o inCo!Ce a G&oade&
ons"i"uen% "han "he PA goCe&ning Godies# "ha" is# i" needs "o Ge "o Ge #arti=i#atory1
Deiding Aho shou!d Ge inCo!Ced a" Aha" momen" and in Aha" Aa% is DiCo"a! "o
ondu"ing a Ga!aned# "ho&ough and e''e"iCe eCa!ua"ion1 To ensu&e "ha" "he se!e"ion is
'ai&# "he DeoD!e D&omo"ing "he eCa!ua"ion ma% s"a&" G% iden"i'%ing "he !oa! g&ouDs#
indiCidua!s# o&ganiIa"ions and ini"ia"iCes Ai"h in"e&es" and one&n in "he managemen" o'
"he D&o"e"ed a&ea1 This 7D&e!imina&% !is" o' Be% &e!eCan" a"o&s Js"aBeho!de&sK8 shou!d
in!ude "hose Aho a&e &e!a"ed "he D&o"e"ed a&ea in a !ose and ons"an" Aa% Gu" a!so
"hose Aho a&e &e!a"ed "o i" on "he Gasis o' e&&a"i# seasona! o& indi&e" &e!a"ionshiDs
JmoGi!e DeoD!es o& "hose Aho haCe a PdoAns"&eamP in"e&es" in "he &esou&es o&igina"ing
'&om "he PAK1 This 'i&s" !is" o' s"aBeho!de&s an Ge made G% "a!Bing Ai"h %ou& !oses"
o!!aGo&a"o&s Ai"h "he he!D o' a heB!is" suh as "he one in BoH /1
Box 81 A !/e!.l's o '"e#'f- /e PA rele(a# a!ors
A&e "he&e ommuni"ies# g&ouDs o& indiCidua!s a"ua!!% o& Do"en"ia!!% affected G% "he PA goCe&nane0
A&e "he&e his"o&i ouDan"s Je1g1# indigenous ommuni"ies o& &egu!a& "&ansien"sK and "&adi"iona!
&esou&e use&s Ai"h us"oma&% &igh"s Ai"hin o& in "he Ciini"% o' "he PA0 A&e "he&e &een" mig&an"s0
Non<&esiden" use&s o' &esou&es0 MaNo& seonda&% use&s o' !oa! &esou&es Je1g1# Gu%e&s o' D&odu"s#
"ou&is"sK0 A&e "he&e !oa! assoia"ions o& N+Os one&ned Ai"h "he PA0 A&e "he&e Gusinesses and
indus"&ies Do"en"ia!!% imDinged uDon G% "he PA deisions0 A&e "he&e &esea&h# deCe!oDmen" o&
onse&Ca"ion D&oNe"s in "he a&ea0 HoA man% emD!o%ees Jna"iona! and in"e&na"iona!K !iCe in "he a&ea
Geause o' "he PA0
*ho a&e "he main "&adi"iona! authorities in "he "e&&i"o&% o' "he PA0 A&e "he&e goCe&nmen" agenies
o''iia!!% &esDonsiG!e 'o& "he "e&&i"o&% Ahe&e "he PA is !oa"ed and 'o& i"s su&&oundings0 A&e "he&e
&esDe"ed ins"i"u"ions# "o Ahih DeoD!e haCe &eou&se in onne"ion Ai"h a Ca&ie"% o' &e!eCan" needs and
i&ums"anes Je1g1 Aa"e& usesK0
/4
Os"&om# 433.
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -@
*ho has access "o "he "e&&i"o&% and &esou&es o' "he PA0 *ho is using "hose &esou&es a" D&esen"0 In
Aha" Aa%s0 Has "his hanged oCe& "ime0
*hih ommuni"ies# g&ouDs and indiCidua!s a&e mos" dependent on "he &esou&es o' "he PA0 Is "his a
ma""e& o' !iCe!ihood o& eonomi adCan"age0 A&e "hese &esou&es &eD!aeaG!e G% o"he&s0
*ho uDho!ds claims# in!uding us"oma&% &igh"s and !ega! Nu&isdi"ion oCe& "he "e&&i"o&% o& &esou&es o'
"he PA0 A&e "he&e ommuni"ies Ai"h anes"&a! and)o& o"he& "%Des o' a$ui&ed &igh"s0
*ho a&e "he Ca&ious goCe&nmen" se"o&s and minis"e&ia! deDa&"men"s a" "he na"iona! !eCe! "ha" a&e
inCo!Ced in Do!i% and deision<maBing aGou" onse&Ca"ion and deCe!oDmen" in "he PAJsK and "he
su&&ounding a&eas0 A&e "he&e na"iona! and)o& in"e&na"iona! Godies inCo!Ced Geause o' sDei'i !aAs o&
"&ea"ies0
*hih ommuni"ies# g&ouDs o& indiCidua!s a&e mos" knowledgeable aGou"# and aDaG!e o' dea!ing Ai"h#
"he "e&&i"o&ies o& &esou&es o' "he PA0 So 'a&# Aho has had a di&e" eHDe&iene in managing "hem0
A&e "he&e seasona!) geog&aDhia! Ca&ia"ions in &esou&e use Da""e&ns and use& in"e&es"s Ai"hin o& in "he
Ciini"% o' "he PA0 A&e "he&e maNo& eCen"s o& "&ends u&&en"!% a''e"ing !oa! ommuni"ies and o"he&
soia! a"o&s Je1g1# deCe!oDmen" ini"ia"iCes# !and &e'o&ms# mig&a"ion# imDo&"an" Dhenomena o'
DoDu!a"ion moGi!i"% o& na"u&a! g&oA"h o& de!ineK in &e!a"ion Ai"h "he PA0
A'"e& d&aAing a D&e!imina&% !is"# %ou shou!d on"a" "he iden"i'ied 7&e!eCan" a"o&s8#
disuss "hei& main in"e&es"s and one&ns &ega&ding "he D&o"e"ed a&ea and asB Ahe"he&
"he% a&e Ai!!ing "o "aBe Da&" in "he Da&"iiDa"o&% eCa!ua"ion1 You Ai!! "hen g&ouD "hem
G&oad!% ao&ding "o "hei& CieAs1 Fo& ins"ane# i' a!! "he Das"o&a! ommuni"ies in "he a&ea
a&e simi!a&!% and D&iniDa!!% one&ned aGou" "hei& eH!usion '&om "he PA Das"u&e!and in
"ime o' d&ough"# and i' "he% Gasia!!% haCe no o"he& maNo& in"e&es" Cis<Q<Cis "he PA# %ou
ma% onside& "hem G&oad!% as 7one &e!eCan" a"o&81 Conside& a&e'u!!%# hoAeCe&# Aho is
o''e&ing "he CieAs# and Aha" Giases "he De&sons ma% haCe1 In 'a"# %ou migh" Aan" "o
o!!e" in'o&ma"ion '&om seCe&a! De&sons 'o& eah iden"i'ied &e!eCan" a"o&1 ImDo&"an"!%#
%ou shou!d onside&ed gende&# age# e"hni and !ass Ca&iaG!es# and Da% Da&"iu!a& a""en"ion
"o Cu!ne&aG!e g&ouDs Je1g1# &e'ugees# e"hni mino&i"iesK1 OGs"a!es "ha" ou!d Ge
enoun"e&ed in "his eHe&ise a&e dis"&us" Ge"Aeen !oa! DeoD!e and o''iia! agenies# as
Ae!! as !anguage and u!"u&a! Ga&&ie&s1
As %ou &ea"e %ou& ini"ia! !is" o' "he 7&e!eCan" a"o&s8# in!ude an ana!%sis o' "hei& &o!es
and &e!a"ionshiDs among "hemse!Ces and Ai"h "he D&o"e"ed a&ea and i"s &esou&es1 You
ou!d# 'o& ins"ane# &ea"e a ma"&iH suh as "he one in TaG!e >1 RememGe& "o asB "hem
sDei'ia!!% Aho a&e "he other 7&e!eCan" a"o&s8 Aho shou!d a!so Ge inCo!Ced in "he
eCa!ua"ion1 The CieAs o' a!! s"aBeho!de&s Ai!! "oge"he&# giCe %ou a good Di"u&e o' "he
soia! si"ua"ion o' "he PA o' %ou& one&n1
Ta*le 31 Sa.e/ol"er a#al-s's mar'x 9o *e !omp'le" 0'/ ea!/ rele(a# a!or:
Re!eCan"
A"o&s
SDei'i
managemen"
and deision<
maBing &o!es
Cis<Q<Cis "he
Ke%
in"e&es"s#
in!uding
Gene'i"s
Geing
Ke% one&ns#
in!uding os"s
inu&&ed# !iCe!ihood
imDa"s# e"1
Does "he
s"aBeho!de&
Dossess !ega! o&
us"oma&% &igh"s
Cis<Q<Cis "he PA0
Has "he s"aBeho!de&
assumed !ega! o&
us"oma&%
&esDonsiGi!i"ies Cis<Q<
Cis "he PA0 I' %es#
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -E
PA &eeiCed I' %es# Ahih ones
sDei'ia!!%0
Ahih ones
sDei'ia!!%0
Onese!'
Re!eCan"
a"o& no 41
Re!eCan"
a"o& no -1
E"1
The s"aBeho!de& ana!%sis Ai!! he!D %ou in!ude a!! "he di''e&en" and Be% in"e&es"s and
one&ns in "he Da&"iiDa"o&% eCa!ua"ion 1 I' %ou &ea!iIe %ou haCe g&ouDed "oge"he& some
g&ouDs as one 7&e!eCan" a"o&8# Ahen# in 'a"# "he% haCe di''e&en" o& eCen on"&as"ing
in"e&es"s# one&ns# &igh"s and &esDonsiGi!i"ies# 7sD!i"8 "hese# and onside& "hem as
seDa&a"e s"aBeho!de&s1 1
One %ou a&e on'iden" %ou haCe iden"i'ied "he Be% soia! a"o&s # %ou shou!d onside&
Aho shou!d Ge inCo!Ced in Aha" s"eDs o' "he eCa!ua"ion# and in Aha" Aa%1 The&e a&e
di''e&en" !eCe!s o' inCo!Cemen" in "he D&oess# 'o& ins"ane a &e!eCan" a"o& ma% Ge?
a memGe& o' "he Co&e Pa&"iiDa"o&% ECa!ua"ion Team#
a Da&"iiDan" in "he gene&a"ion and ana!%sis o' "he in'o&ma"ion
an agen" o' hange# and)o&
a ommunia"o& o' in'o&ma"ion1
OGCious!%# i' "he "o"a! numGe& o' 7&e!eCan" a"o&s8 %ou iden"i'ied is !a&ge# "he a"o&s ma%
need "o iden"i'% one o& mo&e 7&eD&esen"a"iCes8 "o "aBe Da&" in "he eCa!ua"ion1 The issue o'
effective representation is some"imes a omD!eH issue and is Ae!! Ao&"h a&e'u!
onside&a"ion G% %ou&se!' and "he a"o&s one&ned1 I" is no" a!Aa%s !ea& Aho an Ges"
&eD&esen" a Da&"iu!a& a"o&;s one&ns1 Some a"o&s ma% haCe a "&adi"iona! 'o&m o'
!eade&shiD oCe& Ahih !oa! goCe&nmen" s"&u"u&es haCe Geen suDe&imDosedO o"he&s ma%
haCe s"&ong omme&ia! o&ganisa"ions Ahih a!so se&Ce "o &eD&esen" soia! one&nsO %e"
o"he&s ma% haCe no 'o&ma!!% &eognised 'o&m o' soia! o&ganisa"ion a!"hough "he% do
&esDe" e&"ain indiCidua!s as omGudsmen o& media"o&s Ahen on'!i" ou&s1 One again
i" is imDo&"an" "o BeeD in mind "he &eD&esen"a"ion o' gende&# age# e"hni and !ass
Ca&iaG!es# and Da% Da&"iu!a& a""en"ion "o Cu!ne&aG!e g&ouDs Je1g1# &e'ugees# e"hni
mino&i"iesK1 *o&Bing Ai"h &eD&esen"a"iCes Aho !aB &ediGi!i"% o& Aho de'end "hei& oAn
De&sona! o& Do!i"ia! in"e&es"s &a"he& "han "hose o' "hei& ons"i"uenies an ause on'!i"s
and an "h&ea"en "he &ediGi!i"% o' "he eCa!ua"ion D&oess1 These omD!eH soio<Do!i"ia!
d%namis a&e an essen"ia! ha&a"e&is"i o' Da&"iiDa"o&% D&oesses and se!e"ing an
aDD&oD&ia"e &eD&esen"a"iCe is o'"en ano"he& eHamD!e o' :!ea&ning G% doing; 'o& man%
a"o&s1 An ini"ia! ana!%sis shou!d iden"i'%?
o&ganisa"ion a" "he soia! !eCe! JhoA a"o&s in'!uene o& deide uDon 'ami!%# Ci!!age#
Gusiness a''ai&sK and
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ -3
o&ganisa"ion a" "he Do!i"ia! !eCe! JhoA "he% in'!uene goCe&nmen" Do!i% and deision<
maBing "h&ough e!e"ed o''iia!s e"1K1
Su''iien" "ime and in'o&ma"ion shou!d# "he&e'o&e# Ge D&oCided 'o& "he se!e"ion o'
&eD&esen"a"iCes# DossiG!% in!uding seCe&a! Cisi"s# sho&" D&esen"a"ions# e"1 Some ad<ho
'o&m o' semi<di&e" Da&"iiDa"ion# in Ahih &eD&esen"a"iCes main"ain a di&e"# 'ae<"o<'ae
&e!a"ionshiD Ai"h "hei& ons"i"uenies# is usua!!% D&e'e&aG!e "o indi&e" Da&"iiDa"ion Jsee
GoH >1K1
Box 31 D'ffere# forms of par'!'pa'o#
dire=t Da&"iiDa"ion? 'ae<"o<'aeO DeoD!e De&sona!!% eHD&ess "hei& oDinions and &eD&esen" "hemse!CesO
semi-dire=t Da&"iiDa"ion? DeoD!e de!ega"e o"he&s &e!a"iCes# '&iends# &esDe"ed memGe&s o' "hei&
ommuni"%# &eD&esen"a"iCes o' a ommuni"%<Gased g&ouD "o &eD&esen" "hem Gu" main"ain a di&e"#
'ae<"o<'ae &e!a"ionshiD Ai"h "hei& &eD&esen"a"iCesO
indire=t Da&"iiDa"ion? DeoD!e de!ega"e o"he&s eHDe&"s# aDDoin"ees o' !a&ge assoia"ions# N+Os#
Da&"ies o& goCe&nmen" o''iia!s "o &eD&esen" "hem Gu" &a&e!%# i' eCe&# in"e&a" Ai"h "hei&
&eD&esen"a"iCes on a De&son<"o<De&son Gasis1
Pa&"iiDa"o&% D&oesses o'"en &e$ui&e di''e&en" sBi!!s and BnoA!edge o' "hei&
&eD&esen"a"iCes "han !assia! !eade&shiD si"ua"ions1 In some si"ua"ions Ahe&e a"o&s do no"
'ee! on'iden" "ha" "hei& no&ma! &eD&esen"a"iCe Ai!! Ge aG!e "o e''e"iCe!% de'end "hei&
in"e&es"s and one&ns# i" an Ge he!D'u! Ahen D&eDa&ing inCi"a"ions "o dis"inguish
Ge"Aeen :Do!i"ia!; and :"ehnia!; &eD&esen"a"iCes? :Do!i"ia!; &eD&esen"a"iCes a&e "hose
Aho haCe a manda"e "o &eD&esen" e&"ain a"o&s J"&adi"iona! !eade&s o' a ommuni"%#
e!e"ed !oa! o''iia!s# D&esiden" o' a ooDe&a"iCe e"1K and :"ehnia!; &eD&esen"a"iCes a&e
indiCidua!s Aho Dossess an in<deD"h BnoA!edge o' "he issues a&e Ae!! &esDe"ed as !oa!
:eHDe&"s;1
Estab"is< a Core Parti=i#atory E:a"!ation
Team
The Co&e Pa&"iiDa"o&% ECa!ua"ion Team Jhe&ea'"e& &e'e&&ed "o as "he Co&e TeamK
&eD&esen"s "he mos" in"ensiCe !eCe! o' inCo!Cemen" Ai"h "he Da&"iiDa"o&% eCa!ua"ion1 I"
usua!!% has an o''iia! manda"e# o& a" !eas" "he au"ho&iIa"ion o' "he D&o"e"ed a&ea
goCe&ning Godies "o 'ai!i"a"e "he goCe&nane eCa!ua"ion on "hei& Geha!'1 As an Ge seen
'&om "he eHamD!e Ao&B shedu!e J"aG!e =K# memGe&s o' "he Co&e Team Ai!! sDend a
onside&aG!e amoun" o' "ime dedia"ed "o "he eCa!ua"ion and Ai!!# "he&e'o&e# need adCane
no"ie in o&de& "o ensu&e "ha" "he% a&e aCai!aG!e 'o& "he "ime &e$ui&ed1 In sDei'i ases#
"he memGe&s o' "he Co&e Team a&e omDensa"ed 'o& "he "ime "he% need "o sDend a" "his
"asB1
These a&e some o' "he &esDonsiGi!i"ies o' "he Co&e Team?
designing "he Da&"iiDa"o&% eCa!ua"ion D!an and maBing su&e "ha" i" is imD!emen"ed
in a "ime!% and e''e"iCe 'ashionO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /.
inCo!Cing a G&oad ons"i"uen% in "he Da&"iiDa"o&% eCa!ua"ion# D&oCiding
enou&agemen" and inen"iCes# as neessa&%# and maBing su&e "ha" "he BnoA!edge#
sBi!!s and ne"Ao&Bs o' di''e&en" &e!eCan" a"o&s a&e oD"ima!!% usedO
&ea"ing a sense o' o!!e"iCe oAne&shiD in "he eCa!ua"ion D&oessO
he!Ding a!! "he inCo!Ced a"o&s "o emDoAe& "hemse!Ces and maBe su&e "ha" "he PA
goCe&nane s%s"em is &esDonsiCe and aoun"aG!e "o "hemO
'os"e&ing a G&oad soia! and Do!i"ia! Gase 'o& "he adCoa% o' se!'<o&&e"iCe
a"ion "o "he goCe&nane s%s"em Ahe&e iden"i'ied as neessa&%O
es"aG!ishing "he &ediGi!i"% o' "he eCa!ua"ion in "he e%es o' a!! inCo!Ced a"o&s1
The e''e"iCeness o' "he eCa!ua"ion deDends g&ea"!% on "he ha&a"e&# sBi!!s# and
ommi"men" o' "he Co&e Team memGe&s1 I" is a!so he!D'u! i' "he% a&e a!! o''iia!!%
de!ega"ed G% "hei& &esDe"iCe ons"i"uenies1 Idea!!%# "he% Aou!d Ge?
eHD&essing a diCe&si"% o' in"e&es"s and one&ns &e!a"ed "o "he PAO
!ose!% !inBed Ai"h "he Be% &e!eCan" a"o&s 'o& "he PA and high!% &esDe"ed G%
"hemO
Dossessing a sine&e in"e&es" in "he aims o' "he eCa!ua"ionO
aG!e "o dedia"e "he "ime needed "o Da&"iiDa"e in a!! s"ages o' "he eCa!ua"ionO
aG!e "o ommunia"e Ae!!O
Dossessing "he a""i"ude and Do"en"ia! "o Ge 7memGe&s o' a "eam8 and 'ai!i"a"o&s
&a"he& "han domina"ing !eade&sO
BnoA!edgeaG!e in# and aG!e "o aDD!% eCa!ua"ion "ehni$ues Jsee Ge!oAK1
No" a!! &e!eCan" a"o&s an Ge 7&eD&esen"ed8 on "he Co&e Team# Gu" i" is use'u! "o in!ude
one o& mo&e memGe&s o' "he PA goCe&ning Godies and some indiCidua!s !ose!% !inBed
Ai"h "hose a"o&s Ahose in"e&es"s a&e mos" s"&ong!% a''e"ed G% "he PA managemen"
deisions I' DossiG!e# one o& "Ao eH"e&na! eHDe&"s ou!d Ge in!uded on "he Co&e Team#
Da&"iu!a&!% i' "he eCa!ua"ion is Geing a&&ied ou" 'o& "he 'i&s" "ime1 In!uding eH"e&na!
eHDe&"ise Aou!d add a G&oade& De&sDe"iCe "o "he eHe&ise# he!D &ea"e !oa! aDai"ies
and !end &ediGi!i"% "o "he &esu!"s in "he e%es o' some a"o&s1
The siIe o' "he Co&e Team shou!d Ge !imi"ed Jidea!!%# > "o @ DeoD!eK "o maBe "he Ao&B as
e''e"iCe as DossiG!e and "o &edue os"s1 To ensu&e a ommon !eCe! o' aDai"% and "o
Gui!d a "eam e"hi# i" is aDD&oD&ia"e "o ondu" a 7hands<on8 "&aining eHDe&iene 'o& "he
Co&e Team1 A P!anning and T&aining *o&BshoD# DossiG!% eH"e&na!!% 'ai!i"a"ed and
D&oGaG!% omD&ising seCe&a! mee"ings# ou!d he!D &ea"e a ommon !anguage and
unde&s"anding amongs" a!! "he Team memGe&s1 I' "he &esou&es a&e no" aCai!aG!e#
hoAeCe&# "he De&sonJsK &eading "his handGooB# and D&oGaG!% a"ing as memGe&s o' "he
Co&e Team# ou!d 'ai!i"a"e one o& a se&ies o' mee"ings on "hei& oAn1 The Ao&BshoD
ou!d aim "o ahieCe?
a "eam sDi&i" and a sense o' sha&ed &esDonsiGi!i"% 'o& "he eCa!ua"ionO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /4
a sha&ed unde&s"anding and ag&eemen" on Aha" 7good goCe&nane8 means and on
Ahih &i"e&ia and india"o&s Ges" eHD&ess i" in "he on"eH" o' &e!eCaneO
a sha&ed unde&s"anding and ag&eemen" on "he oDe&a"ing D&iniD!es# oGNe"iCes and
oCe&a!! s"&u"u&e# aDD&oah and me"hodo!og% o' "he eCa!ua"ionO
a on'i&med !is" o' Be% &e!eCan" a"o&s 'o& "he PA and Aa%s "o inCo!Ce "hem in "he
eCa!ua"ionO
a !ea& design and "ime !ine 'o& "he Da&"iiDa"o&% eCa!ua"ion D!an1
A%ree !#on why yo! are =ond!=tin% a
#arti=i#atory e:a"!ation3 t<e obBe=ti:es and
o#eratin% #rin=i#"es o> t<e %o:ernan=e
e:a"!ation+
Among "he 'i&s" "asBs o' "he Co&e Team a" "he P!anning and T&aining *o&BshoD is "o
es"aG!ish "he &easons Ah% i" is ondu"ing a Da&"iiDa"o&% eCa!ua"ion o' goCe&nane1 P&io&
"o "his# i" is aDD&oD&ia"e 'o& "he Co&e Team "o es"aG!ish i"s oAn oDe&a"ing D&iniD!es1 Fo&
"his# a Gasi Doin" o' deDa&"u&e a&e "he doumen"s "ha" guide "he Ao&B o' Be%
o&ganiIa"ions suh as D&o"e"ed a&ea goCe&ning Godies# ommuni"% and deCe!oDmen"
o&ganiIa"ions# and D&o'essiona! unions1 Consu!" "hei& Do!iies# Cision and mission
s"a"emen"s# ha&"e&s# ons"i"u"ions# odes o' ondu"# e"1 and "he s"a"emen" o' Ca!ues
imD!ii" o& eHD!ii" in "hem1 As %ou d&aA '&om "hem# %ou ma% Aan" "o emDhasiIe one o&
mo&e o' "he 'o!!oAing?
&ea"e and main"ain "&ansDa&en" and o&dia! &e!a"ionshiDs Ai"hin "he Team and
Ai"h o"he& &e!eCan" a"o&s and Da&"ne&sO
main"ain an oDen eHhange o' ideas Ahi!e 'u!!% &esDe"ing a!! Da&"iiDa"ing
indiCidua!sO
ensu&e "he a"iCe Da&"iiDa"ion o' a!! "he memGe&s o' "he Team and &e!eCan" PA
a"o&sO
'o!!oA "he aeD"ed mo&es o' "he G&oad!% sha&ed !oa! u!"u&eO
s"&iCe "o enhane "he eCa!ua"ion aDai"% o' a!! "he Da&"iiDan"s in "he D&oess G%
using a :!ea&ning G% doing; aDD&oahO
&esDe" "he D&e!imina&% na"u&e o' "hei& Ao&B D&io& "o "he eCa!ua"ion i"se!' and
ensu&e "ha" &e!eCan" PA a"o&s a"iCe!% on"&iGu"e "o "he de'ini"ion o' goCe&nane
D&iniD!es and Aa%s "o eCa!ua"e "hem1
The oDe&a"ing D&iniD!es one&ning :&esDe" 'o& indiCidua!s;# and : !ea&ning G% doing; a&e
$ui"e imDo&"an" Geause "he eCa!ua"ion Ai!! iden"i'% some asDe"s o' goCe&nane "ha" a&e
sensi"iCe# o"he&s "ha" a&e e''e"iCe!% Ge%ond "he on"&o! o' "he DeoD!e inCo!Ced# and o"he&
di''iu!" issues1 In gene&a!# indiCidua!s shou!d no" Ge di&e"!% 7G!amed8 'o& "he iden"i'ied
sho&"omings# a!"hough "he D&oG!ems shou!d Ge disussed in deD"h and no" g!ossed oCe&
"o 7D&o"e"8 an% one De&son1 +uided G% "hese oDe&a"ing D&iniD!es i" is "hen "he "asB o' "he
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /-
Co&e Team "o sha&e "hei& &easons 'o& unde&"aBing "he eCa!ua"ion i1e1 why "he g&ouD is
D&omo"ing an eCa!ua"ion and what does i" Aan" "o !ea&n and ahieCe "h&ough i"1 This is
done G% !a&i'%ing and ag&eeing uDon "he eCa!ua"ion;s oGNe"iCes1
The e!a#uation,s ob1ecti!es
Th&ee &i"ia! $ues"ions "o asB a&e?
*ha" a&e ou& mo"iCa"ions 'o& doing "his eCa!ua"ion0
*ha" sDei'ia!!% a&e Ae seeBing "o 'ind ou" aGou" hoA Ae a&e goCe&ning "he PA o'
ou& one&n0
In Aha" Aa%s do Ae Aan" "o use "he &esu!"s o' "he eCa!ua"ion0
C!ea& oGNe"iCes he!D %ou s"a% on "&aB# Ge "&ansDa&en" and he!D o"he&s unde&s"and Aha"
%ou& D&io&i"ies and 'ous a&e in %ou& Da&"iu!a& goCe&ning enCi&onmen"1 The diCe&se
memGe&shiD o' "he Co&e Team shou!d ensu&e "ha" "he in"e&es"s o' Be% a"o&s a&e "aBen in"o
onside&a"ion Ahen se""ing oGNe"iCes1 I" is a!so he!D'u! "o "hinB aGou" "he in"e&es"s o'
"hose a"o&s Aho a&e !ess di&e"!% inCo!Ced# suh as dono&s# Do!i% maBe&s in goCe&nmen"
and o"he& agenies# memGe&s o' "he !a&ge& D&o"e"ed a&ea ommuni"% and "he G&oade&
DuG!i1 Fo& 'u"u&e &e'e&ene and "o he!D sha&e %ou& Ao&B# i" is a good idea "o A&i"e doAn
Ah% and hoA %ou ame uD Ai"h %ou& oGNe"iCes1 In!ude "he in'o&ma"ion and eCen"s "ha"
!ed %ou "o deCe!oD %ou& oGNe"iCes G% &eo&ding %ou& g&ouD disussions1
As %ou ansAe& "hese $ues"ions %ou& Ai!! !iBe!% disoCe& a miH"u&e o' :summa"iCe;#
:'o&ma"iCe; and :hange<&e!a"ed; oGNe"iCes1 Summa"iCe oGNe"iCes 'ous on Aha" %ou a&e
seeBing "o eCa!ua"e aGou" %ou& PA goCe&nane s%s"em and deDend on %ou& sha&ed Cision
o' Aha" ons"i"u"es good goCe&nane and hoA "o measu&e i"1 In on"&as"# 'o&ma"iCe
oGNe"iCes D!ae imDo&"ane on "he !ea&ning "ha" haDDens "h&ough "he D&oess o' doing "he
eCa!ua"ion &a"he& "han "h&ough "he in'o&ma"ion ga"he&ed e1g1 a&&iCing a" a sha&ed
unde&s"anding o' good goCe&nane and !ea&ning hoA "o ana!%se and imD&oCe i" Ai"hin
one;s oAn se""ing1 Fina!!%# "he Co&e +&ouD ma% iden"i'% oGNe"iCes "ha" &e'e& di&e"!% "o
"he ini"ia"iCes o& "he a"ion "o Ge "aBen one "he eCa!ua"ion is oCe&1 These oGNe"iCes 'ous
on desi&ed hange sough" as a &esu!" o' "he eCa!ua"ion and 'ous on "he aDai"% o' "he
s%s"em 'o& se!'<o&&e"iCe a"ion1 BoH 9 D&esen"s some eHamD!es o' oGNe"iCes %ou
migh" gene&a"e1
Box ;1 Examples of o*<e!'(es of /e e(al%a'o#
To gain a Ge""e& unde&s"anding o' Aha" PA goCe&nane means1
To a&&iCe a" a sha&ed Cision o' Aha" ons"i"u"es good goCe&nane and &ea"e a sDae 'o& &i"ia!
&e'!e"ion on hoA "he goCe&nane s%s"em ou!d Ge imD&oCed1
To gain a Ge""e& unde&s"anding o' and hoA "he goCe&nane s%s"em o' ou& D&o"e"ed a&ea a"ua!!%
'un"ions in Go"h "heo&% and D&a"ie1
To de"e&mine Ahe"he& "he goCe&nane s%s"em o' ou& D&o"e"ed a&ea is Da&"iiDa"o&% and onsensus<
o&ien"ed
To de"e&mine Ahe"he& "he goCe&nane s%s"em o' ou& D&o"e"ed a&ea is aoun"aG!e and "&ansDa&en"1
To deCe!oD a !oa! aDai"% and sha&ed &esDonsiGi!i"% 'o& ongoing moni"o&ing and eCa!ua"ion o' "he
De&'o&mane o' ou& goCe&nane s%s"em# and "o omD!emen" o"he& omDonen"s o' ou& PA eCa!ua"ion1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ //
To sha&e "he eHDe&iene o' ou& PA goCe&nane Ai"h o"he& PAs in "he &egion and Ge%ond# and "hus
'ai!i"a"e mu"ua! !ea&ning1
To s"&eng"hen ou& oAn aDai"% and inen"iCes 'o& se!'<o&&e"iCe a"ion1
To so!Ce "he sDei'i D&oG!em) on'!i" o' ==11# Ahih is !ea&!% &e!a"ed "o goCe&nane issues1
To es"aG!ish a se" o' ommon goCe&nane oGNe"iCes# and a se" o' &e!eCan" india"o&s "o moni"o& "he
ahieCemen"s and AeaBnesses o' "he goCe&nane s%s"em and "o a!!oA adNus"men"s "o i"s se""ings and
D&a"ie# as neessa&%1
To D&oCe "o ou& 'unding o&ganiIa"ions "ha" Ae a&e D&a"iing good goCe&nane in "he use o' ou& Gudge"1
A%ree on what yo! Aant to e:a"!ate3 A<at
K%ood %o:ernan=eL means and A<i=< =riteria
and indi=ators =an best des=ribe it in t<e
s#e=i>i= PA =onte?t
A'"e& iden"i'%ing "he oGNe"iCes o' "he eCa!ua"ion# "he Co&e Team;s seond "asB is "o
deCe!oD a sha&ed unde&s"anding o' Aha" 7good goCe&nane8 means 'o& %ou1 As a 'i&s"
s"eD# Ae sugges" "he Co&e Team gene&a"e &i"e&ia "ha" Ges" des&iGes good goCe&nane in
%ou& PA on"eH"1 Some eHamD!es o' &i"e&ia de&iCed '&om eah o' "he 'iCe D&iniD!es o'
good goCe&nane a&e !is"ed in BoHes @# E# 3# 4. and 44
/-
1 The Co&e Team ma% Aish "o
hoose among "hem "he ones mos" &e!eCan" "o "hei& si"ua"ion and)o& deCe!oD o"he&# mo&e
aDD&oD&ia"e D&iniD!es and &i"e&ia1
Box =1 Cr'er'a "ra0# from /e Pr'#!'ple of Le$''ma!- a#" 2o'!e
Re#resentation o> Interests and Con=erns+ The goCe&ning Godies au&a"e!% and &e!iaG!% &eD&esen"#
di&e"!% o& indi&e"!%# "he in"e&es"s and one&ns o' a!! &e!eCan" a"o&s1
P!b"i= Parti=i#ation+ S"&ong Da&"iiDa"ion in numGe&s and on"&iGu"ions a&e oG"ained in &e!eCan"
onsu!"a"ions and deision<maBing 'o&ums a" Ca&ious !eCe!s J!egis!a"ion# s%s"em o' PAs# indiCidua! PAK1
Commitment to *!"ti-#arty Pro=esses+ The goCe&ning Godies D&oCide "he suDDo&" neessa&% "o Gui!d and
main"ain s"&ong mu!"i<Da&"% D&oesses o' onsu!"a"ion and deision<maBing1 The '&ee eHD&ession o' CieAs is
D&omo"ed# Ai"h no dis&imina"ion &e!a"ed "o gende&# e"hnii"%# soia! !ass# e"1
&!bsidiarity+ Deisions a&e "aBen a" "he !oAes" !eCe! omDa"iG!e Ai"h &e!eCan" aDai"ies1
C<e=Cs and ba"an=es+ CiCi! soie"% g&ouDs and an indeDenden" media a" as a heB and Ga!ane on "he
eHe&ise o' "he DoAe&s g&an"ed "o PA Do!i"ia! !eade&s and manage&s1
&!##ort >or Or%anizationa" Ca#a=ity o> Vario!s Re"e:ant A=tors+ The goCe&ning Godies D&oCide
assis"ane "o Ca&ious &e!eCan" a"o&s Je1g1 !oa! indigenous ommuni"ies# N+OsK "o deCe!oD "hei&
o&ganiIa"iona! aDai"%1 This a!!oAs "hem "o Ge""e& &eD&esen" "hei& in"e&es"s# Da&"iiDa"e in o!!aGo&a"iCe
D&oesses# and engage in a"iCi"ies1
Variety o> Instit!tions1 5a&ious "%Des o' PA ins"i"u"iona! se""ings a&e &eognised as !egi"ima"e1 In
Da&"iu!a&# Communi"% Conse&Ced A&eas a&e &eognised and suDDo&"ed Gu" no" 'o&ed "o on'o&m "o ei"he&
7onse&Ca"ion8 o& 7deCe!oDmen"8 as de'ined G% non<!oa! DeoD!e1
/-
Man% o' "hem "aBe insDi&a"ion '&om Ins"i"u"e on +oCe&nane J-..-K1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /2
Res#onsi:eness to PoAer &<arin%+ The goCe&ning Godies demons"&a"e &esDonsiCeness "o neA ideas and
ins"i"u"iona! a&&angemen"s "ha" eHD!o&e ons"&u"iCe 'o&ms o' sha&ing "hei& goCe&ning DoAe&s1
E>>e=ti:e Consens!s Pro=esses+ The &e!eCan" a"o&s in "he goCe&ning Godies a&e aG!e "o en"e&"ain an
e''e"iCe dia!ogue among "hemse!Ces# a&&iCe a" mu"ua!!% sa"is'a"o&% deisions and D&eCen" "he D&oess '&om
D&oduing on!% 7!oAes" ommon denomina"o&8 ag&eemen"s JCague# gene&i deisionsK1
Credibi"ity+ +oCe&ning Godies honou& in"e&na! and eH"e&na! ommi"men"s Je1g1 'o!!oAing s"&a"egi D!ans#
add&essing issues o' eme&ging imDo&"ane# a!igning D&a"ies Ai"h s"a"ed Ca!uesK1 Thei& deision<maBing
D&oesses insDi&e on'idene Geause "he% a&e unGiased# 'ai& and oDen1
Contin!ity in *embers<i# o> t<e Go:ernin% Bodies+ MemGe&s o' goCe&ning Godies a&e main"ained 'o&
!ong De&iods o' "ime and "he&e is a smoo"h hand<oCe& D&oess Ahen &eD!aemen"s ou&1 S"aGi!i"% and
onsis"en% in &eD&esen"a"ion ou&s# a!!oAing 'o& "he Gui!ding o' "&us" and o!!aGo&a"ion amongs" "he
memGe&s "hemse!Ces# "hei& ons"i"uenies and o"he& &e!eCan" a"o&s1
OAners<i# o> instit!tion1 The managemen" &u!es a&e &esDe"ed Geause "he% a&e 7oAned8 G% "he &e!eCan"
a"o&s and no" so!e!% Geause o' 'ea& o' &eD&ession1
Box >1 Cr'er'a "ra0# from /e Pr'#!'ple of A!!o%#a*'l'-
A##ro#riate Ro"es and Res#onsibi"ities+ The &o!es and &esDonsiGi!i"ies he!d G% "he goCe&ning Godies; and
o"he& &e!eCan" soia! a"o&s a&e Ai"hin "he soDe o' "hei& in'!uene and aGi!i"% "o a&&% "hem ou"1
C"arity o> Ro"es and Res#onsibi"ities+ The&e is a !ea& iden"i'ia"ion and assignmen" o' &o!es# au"ho&i"%#
&esDonsiGi!i"%# &igh"s# &u!es and aoun"aGi!i"% in a!! asDe"s o' PA managemen"1 C!a&i"% is &i"ia! in Geing
aG!e "o ansAe& "he $ues"ions 7Aho is en"i"!ed "o Aha" unde& Ahih ondi"ions08 and 7Aho is aoun"aG!e "o
Ahom 'o& Aha"081
E>>e=ti:e Re#ortin% &ystem+ E''e"iCe mehanisms eHis" and a&e used "o D&oCide &e!eCan" PA in'o&ma"ion
"o "he DuG!i a" !a&ge and# in Da&"iu!a&# "o "he mos" di&e"!% one&ned soia! a"o&s1
G!aranteed A==ess to In>ormation+ The&e is gua&an"eed aess "o in'o&ma"ion "ha" is ade$ua"e in "e&ms o'
$uan"i"%# $ua!i"% and omD!e"eness &ega&ding "he goCe&ning Godies# "he managemen" D&oess and &esu!"s and
"he aoun"aGi!i"% o' eah deision) &esu!"1 In'o&ma"ion is gua&an"eed as a &igh" o' i"iIenshiD1
P!b"i= Con=ern and )emand+ The iCi! soie"% Je1g1# ommuni"ies# N+Os# unions# assoia"ions# Gusiness
g&ouDs# !eade&s and indiCidua!s a" !a&geK is a"iCe Je1g1 "h&ough "he media and "he !ega! s%s"emK and
e''e"iCe in oG"aining "he aoun"aGi!i"% o' "he goCe&ning Godies1
Per>orman=e E:a"!ation+ The&e is an e''e"iCe# ongoing eCa!ua"ion o' "he PA goCe&nane# 'os"e&ing
imD&oCed De&'o&mane and in'o&ma"ion sha&ing1
Inde#endent A==o!ntabi"ity Instit!tions+ The&e a&e indeDenden" DuG!i ins"i"u"ions o' aoun"aGi!i"%
Ai"h "he au"ho&i"% and aDai"% "o oCe&see and $ues"ion "he a"ions o' "he goCe&ning Godies1 EHamD!es o'
suh ins"i"u"ions a&e "he !egis!a"u&e# "he Nudiia&%# audi"ing agenies# omGudsDe&son# and human &igh"s
ommissions1
ReAards and &an=tions+ Aoun"aGi!i"% is &e'!e"ed# as aDD&oD&ia"e# in"o on&e"e and aDD&oD&ia"e &eAa&ds
and san"ions
Box ?1 Cr'er'a "ra0# from /e Pr'#!'ple of Performa#!e
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ />
The u!"ima"e "es" o' e''e"iCe De&'o&mane o' PA goCe&nane is hoA i" in'!uenes o& enaG!es managemen" "o
ahieCe Ca!ued ou"omes 7on "he g&ound81 SeCe&a! dedia"ed Ao&Bs eHis"
//
"o suDDo&" eCa!ua"ion o'
managemen"# and Ae adCise &eade&s "o onsu!" "hem1 He&e "he emDhasis is "he De&'o&mae o' goCe&nane in
D&oess "e&ms1 *e Ge!ieCe "ha" i' "hese D&oess &i"e&ia a&e me"# i" is $ui"e !iBe!% "ha" "he PA managemen"
Ai!! Ge mo&e e''e"iCe1
Ca#a=ity+ The goCe&ning Godies haCe su''iien" human# "ehnia! and 'inania! aDai"% "o a&&% ou" "hei&
&e$ui&ed &o!es# &esDonsiGi!i"ies and aoun"aGi!i"% oCe& "ime1
Pro%ramme )esi%n+ The goCe&ning Godies es"aG!ish and main"ain a Ga!aned and &esDonsiCe oCe&a!!
design "o s"&u"u&e "hei& oAn a"iCi"ies and "hose o' o"he& PA a"o&s1 The% a&e aDaG!e o' emG&aing and
me&ging onse&Ca"ion and o"he& oGNe"iCes Je1g1# suDDo&"ing sus"ainaG!e !iCe!ihoods# s"&eng"hening u!"u&a!
iden"i"%# sa"is'%ing sDi&i"ua! needsK1
Co-ordination+ PA goCe&ning Godies e''e"iCe!% o<o&dina"e Ai"h o"he& goCe&ning Godies# "ehnia! Godies
and &e!eCan" a"o&s# in Da&"iu!a& a" eos%s"em)!andsaDe and &egiona! !eCe!s1
Cost E>>e=ti:eness and E>>i=ien=y+ The goCe&ning Godies a&e os" e''e"iCe and e''iien" in ahieCing "he
PA managemen" oGNe"iCes# on "he Gasis o' a sound D!anning and imD!emen"a"ion s%s"em "ha" D&eCen"s
damaging de!a%s1
Attainment o> *ana%ement ObBe=ti:es+ The goCe&ning Godies a&e aG!e "o demons"&a"e D&og&ess "oAa&ds
"he PA managemen" oGNe"iCes and)o& a""ained De&'o&mane1 RP&o"e"ed a&ea oGNe"iCes ma% in!ude
D&o"e"ion o' haGi"a"# na"u&e in"e&D&e"a"ion and ou"&eah# D&o"e"ion o' u!"u&a! &esou&es# main"enane o'
eos%s"em 'un"ions# e"1S
Per>orman=e In>ormation to t<e P!b"i=+ +oCe&ning Godies D&oCide su''iien" and "ime!% in'o&ma"ion "o
a!!oA assessmen"s o' "hei& De&'o&mane G% in"e&es"ed Da&"ies and "he DuG!i1
Res#onsi:eness+ +oCe&ning Godies a&e &esDonsiCe "o omD!ain"s and DuG!i &i"iism o' "hei& a"iCi"ies1
ADD&oD&ia"e hanges a&e made "o mee" "he eHD&essed needs1
Interna" E:a"!ations+ +oCe&ning Godies a&e aDaG!e "o unde&"aBe in"e&na! D&og&amme eCa!ua"ions and
&esDond "o "hei& oAn 'indings1
Rob!stness and Resi"ien=e+ +oCe&ning Godies iden"i'% Be% Do"en"ia! "h&ea"s 'aing "hem Je1g1 'unding
sho&"'a!!s# !ega! a""aBs# Do!i"ia! saGo"age# hanges in na"iona! D&o"e"ed a&ea Do!iies and !eade&sK#
suess'u!!% oDe Ai"h "hem and !ea&n '&om "he eHDe&iene1
Ad:o=a=y and O!trea=<+ +oCe&ning Godies suess'u!!% in'o&m "he DuG!i and in"e&es"ed Da&"ies aGou"
"hei& oAn 'un"ions and &o!es and a&e aG!e "o in'!uene deision<maBing D&oesses in o"he& omDonen"s o' a
oun"&%;s goCe&ning s%s"em1
Po"i=y Learnin%+ Lessons !ea&ned '&om "he eHDe&iene o' "he sDei'i PA a&e suess'u!!% 'ed GaB in"o "he
Do!i% o' goCe&ning Godies1
Box +@1 Cr'er'a "ra0# from /e Pr'#!'ple of ,a'r#ess
)e=en=y1 +oCe&ning Godies maBe su&e "ha" managemen" a"iCi"ies and onse&Ca"ion in gene&a! a&e
unde&"aBen Ai"h deen%# Ai"hou" humi!ia"ing o& ha&ming DeoD!e1
Im#artia" En>or=ement o> R!"es1 The &u!es "ha" &es"&i" "he use o' PA;s "e&&i"o&% and &esou&es a&e
"&ansDa&en" and san"ions oCe& in'&a"ions an Ge aDDea!ed1
//
See HoBings e" a!1# -...1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /9
&<ared )e=ision *aCin%+ Mehanisms 'o& sha&ing &e!eCan" PA deision<maBing Ai"h !oa! and
indigenous DeoD!e eHis" and a&e aDD&oD&ia"e!% u"i!ised1
Fair *ana%ement o> Con>"i=ts and Past InB!sti=es+ +oCe&ning Godies D&oCide 'ai& aCenues 'o& on'!i"
managemen" and# eCen"ua!!%# non<dis&imina"o&% &eou&se "o Nus"ie1 The% "aBe 'u!! adCan"age o' a Ca&ie"%
o' 'o&ma! and in'o&ma! means "o D&omo"e 'ai& and e''e"iCe dia!ogue and deCe!oDmen" o' ag&eemen"s
among on'!i"ing Da&"ies1 P&oesses 'o& &eogniIing and dea!ing Ai"h Das" inNus"ies &esu!"ing '&om "he
es"aG!ishmen" o' PAs eHis" and a&e aDD&oD&ia"e!% used1
O##ort!nities+ +oCe&ning Godies D&oCide suDDo&" "o onse&Ca"ion and deCe!oDmen" ini"ia"iCes Gene'i"ing
s"aBeho!de&s1
Non-dis=rimination and Consisten=y+ +oCe&ning Godies do no" dis&imina"e agains" an% g&ouD on "he
Gasis o' gende&# &e!igion# e"hnii"%# soia! s"a"us# Do!i"ia! a''i!ia"ion o& o"he&# Ai"h &esDe" "o "he
memGe&shiD o' Do!i% and deision<maBing Godies o& o"he& PA<&e!eCan" 'un"ions1 PA &u!es a&e aDD!ied
onsis"en"!%1
)istrib!tiona" EI!ity+ +oCe&ning ins"&umen"s Je1g1 PA managemen" Do!iies# &u!es# on'!i" &eso!u"ion
mehanisms# 'unding oDDo&"uni"ies# e"1K a&e used in an imDa&"ia! 'ashion "o dis"&iGu"e 'ai&!% "he os"s and
Gene'i"s gene&a"ed G% "he D&o"e"ed a&ea1
R!"e o> LaA+ +oCe&ning Godies hea& ases and en'o&e san"ions 'o& a!! Do"en"ia! in'&a"ions ao&ding "o
es"aG!ished &u!es and &egu!a"ions# Ai"hou" an% 'o&m o' dis&imina"ion and onsis"en"!% "h&ough "ime1 These
!aAs a&e "&ansDa&en"# en'o&ed 'ai&!% and "he&e is a &igh" "o aDDea! 'o& "he "&ansg&esso&s1
Inte%rity in o> &ta>> *ana%ement+ PA S"a'' &eeiCe Dosi"iCe o& nega"iCe &eAa&ds in 'ai& D&oDo&"ion "o "he
&esu!"s o' "hei& De&'o&mane Jme&i"<GasedK1
Box ++1 Cr'er'a "ra0# from /e Pr'#!'ple of D're!'o#
Leaders<i#+ The goCe&ning Godies gene&a"e neA ideas and !aunh innoCa"iCe D&oesses Je1g1# u!"u&a!
sensi"iCi"% "&aining# onse&Ca"ion oCenan"sK "o add&ess and &eso!Ce di''iu!" issues1 The% suDDo&" o"he&
soia! a"o&s engaged in innoCa"iCe# D&omising Ao&B1
Co""aborati:e Learnin%+ The goCe&ning Godies D&oCide o& suDDo&" ini"ia"iCes "o in&ease and imD&oCe "he
use o' o!!aGo&a"iCe !ea&ning in Ca&ious 'o&ums? Do!i% and deision<maBing# on'!i" &eso!u"ion# e"1
Po"i=y )ire=tion+ The goCe&ning Godies D&oCide !ea& Do!i% di&e"ions 'o& "he main issues o' one&n "o
"he D&o"e"ed a&ea e1g1# sus"ainaG!e omme&ia! deCe!oDmen"# use o' !oa! eo!ogia! BnoA!edge# gende&
Ga!ane in D&og&ammes# DuG!i Da&"iiDa"ion in deision<maBing# e"1
G!idin% Va"!es+ The&e is a se" o' ag&eed<uDon Ca!ues "ha" guide "he D&o"e"ed a&ea;s goCe&ning Godies;
D&oesses and a"iCi"ies1
Vision+ The goCe&ning Godies D&oCide an insDi&ing Cision o' "he D&o"e"ed a&ea;s 'u"u&e Gased on Ca!ues
sha&ed G% i"s main &e!eCan" a"o&s and soie"% a" !a&ge1 The% a&e aG!e "o moGi!ise suDDo&" 'o& "ha" Cision1
Consisten=y betAeen Va"!es and Pra=ti=e+ The D&o"e"ed a&ea;s goCe&ning D&oesses# oGNe"iCes and D!ans
a&e !ea&# CiaG!e and &esDe" "he Ca!ues o!!e"iCe!% ag&eed uDon1
&<ared Pers#e=ti:e on Good Go:ernan=e+ The&e is a G&oad# sha&ed De&sDe"iCe Ge"Aeen "he goCe&ning
Godies and one&ned soia! a"o&s on Aha" is needed "o &ea"e a s%s"em o' good goCe&nane1
Consisten=y Ait< Internationa" Ob"i%ations1 The PA di&e"iCes a&e onsis"en" Ai"h "hei& in"e&na"iona!
oG!iga"ions# suh as "he ConCen"ion o' Bio!ogia! DiCe&si"%# "he *o&!d He&i"age ConCen"ion# "he Ramsa&
ConCen"ion# "he ILO &u!ings on Indigenous PeoD!es# e"1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /@
The e!a#uation indicators
One "he Co&e Team has hosen "he D&e!imina&% &i"e&ia 'o& "he eCa!ua"ion# i" is &ead% "o
iden"i'% india"o&s1 The india"o&s ma% he!D "he Co&e Team disoCe& 'u&"he& asDe"s o'
good goCe&nane due "o "hei& 'ine de"ai!1 An india"o& is a uni" o' in'o&ma"ion "ha"
measu&es a sDei'i asDe" o& ondi"ion "ha" eHis"s in "he a&ea unde& s"ud% Je1g1# !eCe! o'
s"aBeho!de& sa"is'a"ion Ai"h &esDe" "o a sDei'i deision# amoun" o' mone% sDen" on
en'o&emen" D&og&ammesK1 An india"o& is de&iCed di&e"!% '&om one o& mo&e &i"e&ia#
a!!oAing "he eCa!ua"o&s "o de"e&mine hoA !ose "he% a&e "o mee"ing "he s"anda&ds
des&iGed G% "he &i"e&ia# and o'"en en"e&ing in"o "he 'ine& de"ai!s o' 7Aha" i" a!! means81
Fo& eHamD!e# i' "he &i"e&ion is KResDonsiCenessL unde& "he D&iniD!e o' 7Pe&'o&mane8#
one india"o& ma% Ge 7numGe& o' "imes aDD&oD&ia"e hanges Ae&e made "o mee" "he
eHD&essed needs omDa&ed Ai"h "he "o"a! numGe& o' omD!ain"s &eeiCed81 Mo&e "han
one india"o& ma% Ge iden"i'ied 'o& eah &i"e&ion# deDending on hoA omD!eH o& G&oad
"he &i"e&ion is1
The&e a&e "Ao Gasi "%Des o' in'o&ma"ion# and "hus "Ao Gasi "%Des o' india"o&s# Ahih
%ou Ai!! gene&a"e in "he eCa!ua"ion? $ua!i"a"iCe and $uan"i"a"iCe1
/2
Fuan"i"a"iCe
in'o&ma"ionsuh as oDinion Do!!s# 'inania! &eo&ds# &eo&ds o' in'&as"&u"u&e o&
a""endane "o mee"ings# is easi!% &eD&esen"ed as numGe&s1 EHamD!es o' "oo!s "o o!!e"
and s"o&e $uan"i"a"iCe in'o&ma"ion a&e measu&ing ins"&umen"s# "&aBing &eo&ds J'o&ms
designed "o aD"u&e nume&ia! da"aK and s"anda&diIed $ues"ionnai&es Ai"h !osed
$ues"ions Jon!% a D&ede"e&mined !is" o' &esDonses is DossiG!eK1 Me"hods in!ude di&e"
samD!ing and s"a"is"ia! ana!%sis o' &eD!ies "o $ues"ionnai&es1 A" "imes "he in'o&ma"ion is
on'iden"ia! and "his &e$ui&es Da&"iu!a& a&e in hand!ing Jsee Ge!oAK
Fua!i"a"iCe in'o&ma"ion is no" easi!% summa&iIed in nume&ia! 'o&m# suh as an
indiCidua!;s unde&s"anding o' D&oG!ems and oDDo&"uni"ies o& a g&ouD;s De&eD"ion o' hoA
a deision<maBing D&oess 'un"ions in a giCen on"eH"1 The &e!eCan" me"hods a&e mo&e
oDen<ended# Da&"iiDa"o&% and mo&e !iBe!% enou&age &i"ia! "hinBing and soia!
in"e&a"ion1 Too!s in!ude diag&ams# Cideo"aDes# d&aAings# omDa&a"iCe ma"&ies# o& "he
minu"es '&om goCe&ning o& managemen" Goa&d mee"ings1 Fua!i"a"iCe da"a no&ma!!% dea!s
Ai"h DeoD!e;s BnoA!edge# De&eD"ions# a""i"udes and GehaCiou&s# so&"ed in a Ce&Ga!# Cisua!
o& A&i""en 'o&m1
Fo& Go"h $uan"i"a"iCe and $ua!i"a"iCe in'o&ma"ion# a good india"o& Ai!! Ge aDaG!e o'
assessin% =<an%e G% omDa&ing da"a "h&ough "ime1 Fo& eHamD!e# G% "aBing one
measu&emen" a" "he Geginning o' %ou& eCa!ua"ion and "hen "aBing a seond measu&emen"
one mon"h o& one %ea& !a"e&# %ou an de"e&mine Ahe"he& "he ondi"ion %ou a&e in"e&es"ed
in is imD&oCing o& no"# "ha" is# Ahe"he& %ou a&e aDD&oahing o& ge""ing 'a&"he& aAa% '&om
mee"ing %ou& desi&ed &i"e&ia1 B% "aBing seDa&a"e measu&emen"s oCe& "ime# %ou an a!so
de"e&mine Ahe"he& an in"e&Cen"ion %ou "ooB "o imD&oCe "he si"ua"ion Aas e''e"iCe1 This
"%De o' in'o&ma"ion is a!!ed "ime<se&ies in'o&ma"ion and is gene&a"ed using "he same
me"hods and sou&es on man% oasions oCe& "ime1 On "he 'i&s" oasion# %ou Ai!!
es"aG!ish %ou& base"ine data and !a"e& %ou Ai!! assess hange Ai"h &esDe" "o "ha"1 The
india"o&s and me"hods hosen shou!d Ge &eD!iaG!e# i1e1 &eDea"aG!e1 One %ou haCe
/2
Ma&go!uis and Sa!a'sB%# 433E
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /E
assessed an% hanges "ha" haCe ou&&ed# %ou ma% Aish "o &eD&esen" "hem g&aDhia!!%1
This is an e''e"iCe Aa% "o ommunia"e %ou& &esu!"s1 +&aDhs a!so maBe i" eas% "o
&eognise trends# "ha" is# Ahe"he& goCe&ning Godies a&e moCing !ose& o& 'a&"he& aAa%
'&om ag&eed s"anda&ds o' :good goCe&nane;1 In gene&a! good india"o&s haCe a numGe&
o' ha&a"e&is"is Jsee GoH 4-K1
Box +2 C/ara!er's'!s of $oo" '#"'!aors
A good india"o& is
/>
?
&i%ni>i=ant. Re'!e"s hanges o& asDe"s o' imDo&"ane a" meaning'u! sDa"ia! and "emDo&a! sa!esO
&ensiti:e1 Changes D&oDo&"iona"e!% in &esDonse "o a"ua! hanges in "he ondi"ion o& i"em Geing
measu&edO
*eas!rab"e. Can Ge &eo&ded and ana!%Ied in $uan"i"a"iCe o& $ua!i"a"iCe "e&msO
Pre=ise1 De'ined "he same Aa% G% a!! DeoD!eO
&im#"e and meas!rab"e at "oA =ost1 Eas% "o measu&e and os"<e''e"iCe in "e&ms o' da"a o!!e"ion#
ana!%sis and in"e&D&e"a"ionO
Pra=ti=a"1 Can Ge o!!e"ed# ana!%Ied and &eDo&"ed on in a "ime!% 'ashionO
Com#arab"e1 De'ined and measu&ed in a Aa% "ha" a!!oAs i" "o Ge omDa&ed "o and omGined Ai"h
o"he& india"o&s Je1g1 De&en" ahieCemen" o' a s"anda&dK1
ComGining india"o&s a!!oAs %ou "o &ea"e inde?es+ These me&ge Ca&ious "%Des o'
in'o&ma"ion De&"aining "o a Da&"iu!a& D&iniD!e# &i"e&ion# &egion o& oun"&%1K1 B%
omGining &esu!"s '&om seCe&a! D&o"e"ed a&eas# indeHes a!!oA 'o& omDa&isons among
D&o"e"ed a&ea goCe&nane s%s"ems in di''e&en" &egions o& oun"&ies1 These omDa&isons#
hoAeCe&# haCe "o Ge designed a&e'u!!%# giCen di''e&enes in soio<eonomi and u!"u&a!
on"eH"s1 ComDa&isons a&e Ges" used a!ong Ai"h o"he& sou&es o' in'o&ma"ion o& &esea&h
"o D&oCide a 'u!!e& Di"u&e o' "he si"ua"ion1
In AnneH 4 Ae sugges" a Ca&ie"% o' india"o&s 'o& eah &i"e&ion de&iCed '&om eah o' "he
'iCe D&iniD!es o' good goCe&nane1 These !is"s o' india"o&s a&e G% no means eHhaus"iCe?
Ae enou&age %ou "o 'o&mu!a"e o"he&s "ha" Ge""e& sui" %ou& si"ua"ion1 RememGe& "o use "he
s"anda&ds o' a good india"o& JGoH 44K Ahen &ea"ing %ou& oAn1
Some india"o&s ma% no" haCe Geen iden"i'ied du&ing "he ini"ia! design and D!anning s"age
o' "he eCa!ua"ion Gu" ome "o a""en"ion !a"e&# du&ing "he assessmen" D&oess i"se!'1 This
ma% haDDen as a onse$uene o' seCe&a! 'a"o&s# in!uding hanges in "he goCe&nane
s%s"em o& i"s on"eH"# "he eme&gene o' neA a"o&s and Dhenomena# o& "he iden"i'ia"ion
o' Ge""e& Aa%s "o ga"he& "he same in'o&ma"ion1
/>
Based uDon "he Ao&B o' "he Cen"&e 'o& Coas"a! Managemen"# 433/O B&iggs e" a!1# 4339O AGGo" T +uiN"#
433EO Ma&go!uis and Sa!a'sB%# 433E1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ /3
Prioriti2in criteria and indicators
I" ma% Ge he!D'u! "o use a "aG!e "o o&ganiIe "he se" o' ag&eed goCe&nane D&iniD!es#
&i"e&ia and india"o&s1 See TaG!e =1in "he se"ion on Pa&"iiDa"o&% +ene&a"ion o'
In'o&ma"ion1 The Co&e Team ma% 'ind "ha" i" has iden"i'ied nume&ous &i"e&ia and
india"o&s 'o& i"s Da&"iiDa"o&% eCa!ua"ion and Aan" "o D&io&i"ise among "hem1 One Aa% "o
de"e&mine "hei& &e!a"iCe imDo&"ane is "o assess "hem agains" a numGe& o' s"anda&ds
/9
#
suh as?
$erceived (mportance within the Core +eam? HoA do "he "eam memGe&s &anB "he
imDo&"ane o' "hese &i"e&ia and india"o&s0
:takeholder $erceived (mportance? HoA does a !a&ge& g&ouD o' s"aBeho!de&s Je1g1 "he
a"o&s "he Co&e Team is D!anning "o inCo!Ce in "he eCa!ua"ionK &anB "he imDo&"ane o'
"he &i"e&ia and india"o&s0
:cope? HoA G&oad a soDe do "he &i"e&ia and india"o&s a''e"0 A&e "he% "oo G&oad 'o&
"he goCe&ning Godies and D&o"e"ed a&ea0
(ntensity? HoA s"&ong a&e "he &i"e&ia and india"o&s in "hei& in'!uene JDosi"iCe o&
nega"iCeK on "he goCe&ning Godies and D&o"e"ed a&ea0
=rgency? HoA imDo&"an" is i" "ha" immedia"e a"ion "aBe D!ae "o dea! Ai"h "hese
&i"e&ia o& india"o&s0
$olitical !easibility? +iCen "he !oa!# &egiona!# na"iona! o& in"e&na"iona! Do!i"ia!
si"ua"ion# hoA &ea!is"i is i" 'o& %ou "o a""emD" "o add&ess "hese &i"e&ia o& india"o&s0
:ocial $racticality? +iCen !oa! o& na"iona! soia! ondi"ions# hoA sensiG!e is i" 'o&
%ou "o "&% "o dea! Ai"h "hese &i"e&ia and india"o&s0
A$ree o# ho& -o% 0'll %#"era.e /e e(al%a'o#: /e
sr%!%re a#" me/o"s
The e!a#uation structure and %ethods
The Co&e Team Ai!! noA 'ous on how "he% and "he &e!eCan" PA a"o&s an eCa!ua"e "hei&
PA goCe&nane De&'o&mane agains" "he se!e"ed india"o&s and &i"e&ia Ahi!s" a!so
aomD!ishing "he o"he& e$ua!!% imDo&"an" oGNe"iCes o' "he eCa!ua"ion1 The Co&e Team
Ai!! need "o design a s"&u"u&e 'o& "he eCa!ua"ion1 The s"&u"u&e Ai!! D&oGaG!% in!ude "he
'o!!oAing Be% s"eDs?
< Da&"iiDa"o&% gene&a"ion o' in'o&ma"ion#
< Da&"iiDa"o&% si"ua"ion and goa! ana!%sis#
< Da&"iiDa"o&% a"ion ana!%sis1
/9
D&aAn '&om Ma&go!uis and Sa!a'sB%# 433E1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2.
These s"eDs Ai!! &ea"e an eHDe&iene o' !ea&ning "oge"he& and &esu!" in "he enhaned
engagemen" o' "he &e!eCan" a"o&s in "he PA goCe&nane D&oess1 Eah s"eD Ai!! a!so aim
a" some dis"in" sDei'i &esu!"s Ahih i" is eHDe"ed Ai!! mee" %ou& summa"iCe# 'o&ma"iCe
and hange<enhaning oGNe"iCes Jsee TaG!e 91K1
Ta*le ;1 Example of '#er#al sr%!%re of a par'!'paor- e(al%a'o#
'ey ste# E?#e=ted res!"ts
ENGAGING T$E
RELEVANT ACTOR& IN
T$E EVALUATION
ImD&oCed unde&s"anding o' PA goCe&nane s%s"em G% a!! &e!eCan" a"o&s and
hoA "he% an Ge inCo!Ced in imD&oCing "hei& Da&"iu!a& PA
Ke% goCe&nane D&iniD!es# &i"e&ia and india"o&s 'o& "he PA a&e iden"i'ied G%
a!! &e!eCan" a"o&s
PARTICIPATOR.
GENERATION OF
INFOR*ATION
ImD&oCed unde&s"anding o& hoA PA goCe&nane s%s"em is De&eiCed G%
di''e&en" &e!eCan" a"o&s and Aha" a&e Be% 'a"o&s a''e"ing i"1
ImD&oCed unde&s"anding o' hoA "he goCe&nane s%s"em is designed "o
'un"ion# and hoA i" 'un"ions in D&a"ie
P&io&i"% goCe&nane india"o&s assessed G% "he &e!eCan" a"o&s Ai"h
$uan"i"a"iCe and $ua!i"a"iCe me"hods1
PARTICIPATOR.
&ITUATION ANAL.&I&
and GOAL ANAL.&I&
Co!!a"ed Gase!ine da"ase" es"aG!ished 'o& "he ag&eed uDon D&io&i"% india"o&s
Lis" &ea"ed o' De&eiCed s"&eng"hs and ahieCemen"s o' "he u&&en" PA
goCe&nane s%s"em Ai"h &esDe" "o sDei'i goCe&nane &i"e&ia
Lis" &ea"ed o' De&eiCed "h&ea"s "o# and AeaBnesses o' "he u&&en" s%s"em#
Ai"h &esDe" "o sDei'i goCe&nane &i"e&ia
Lis" o' sho&"# medium# and !ong "e&m goa!s 'o& imD&oCing "he PA goCe&nane
s%s"em Ai"h &esDe" "o Be% goCe&nane &i"e&ia is ag&eed uDon G% a!! &e!eCan"
a"o&s1
Lis" o' india"o&s and 7Aa&ning '!ags8 'o& "he goa!s is iden"i'ied
PARTICIPATOR.
ACTION ANAL.&I&
Ini"ia"iCes "o imD&oCe "he PA goCe&nane s%s"em ag&eed uDon G% a!! &e!eCan"
a"o&s1
SDei'ia"ions es"aG!ished o' Aho ou!d do Aha"# Ai"h Aha" means# G% Ahen
in o&de& "o imD!emen" "he desi&ed ini"ia"iCes1

The Co&e Team Ai!! need "o design a me"hodo!og% Ahih Ai!! enaG!e %ou and "he &e!eCan"
a"o&s "o ahieCe "he &esu!"s !is"ed aGoCe1 The hoie o' sDei'i me"hods and "oo!s "o
gene&a"e "ha" in'o&ma"ion Ai!! deDend on "he india"o&s %ou Ai!! hoose# "he in'o&ma"ion
a!&ead% aCai!aG!e# "he ha&a"e&is"is o' "he !oa! u!"u&e and on"eH"# "he in'o&ma"ion
s"o&age and oding aGi!i"ies# and hoA muh "ime# mone% and o"he& &esou&es %ou a&e aG!e
"o inCes" 'o& "he 'u"u&e moni"o&ing1 Fo& in'o&ma"ion and adCie i" is &eommended "ha"
%ou &ead "h&ough "he 'o!!oAing se"ions?
:MaBe su&e "ha" "he Co&e Team is 'u!!% D&eDa&ed 'o& "he "asBs ahead;O
:Phase II? Ca&&%ing ou" "he ECa!ua"ion;O
AnneH - on $ua!i"a"iCe me"hods and "oo!sO and
AnneH / on $uan"i"a"iCe me"hods and "oo!s1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 24
He&e a&e a 'eA onside&a"ions "o BeeD in mind Ahi!e designing "he me"hodo!og% 'o& "he
Da&"iiDa"o&% eCa!ua"ion?
Assess feasibility1 Does "he Co&e Team in!ude DeoD!e Aho an 'ai!i"a"e "he
Da&"iiDa"o&% eCa!ua"ion# and aDD&oD&ia"e!% use "he "oo!s) me"hods) aDD&oahes0 I' no"#
an "he Co&e Team memGe&s Ge "&ained0 Is "he&e a good "&aining D&og&amme
aCai!aG!e0 *ha" Ai!! i" os"0 *hen an i" Ge adminis"e&ed0 HoA !ong Ai!! i" "aBe0
$a%imise reflection and interaction1 HoA muh do "he "oo!s) me"hods) aDD&oahes
engage "he Da&"iiDan"s in a"iCe!% &e'!e"ing and de!iGe&a"ing on "he si"ua"ion ei"he&
indiCidua!!% o& as a g&ouD0 HoA muh do "he% a!!oA "hose Ai"h a AeaB Coie in "he
g&ouD "o a&"iu!a"e "hei& one&ns0
&oster the ability to capture comple%ity1 HoA muh do "he "oo!s) me"hods)
aDD&oahes a!!oA 'o& "he gene&a"ion and omDa&ison o' mu!"iD!e De&sDe"iCes on
issues# "hus i!!umina"ing "he omD!eHi"% and DossiG!% "he on"&adi"ions inhe&en" in
"hem0
"romote adequate but not e%cessive accuracy and reliability. HoA muh D&eision is
neessa&% 'o& eah hosen india"o&0 J*ha" Ai!! %ou use i" 'o&0 *ha" di''e&ene Ai!!
i" maBe i' %ou BnoA "he ansAe& Ai"h g&ea"e& D&eision0K *ha" is "he 7es"ima"ed
e&&o&8 in in'o&ma"ion o!!e"ed G% using "hese "oo!s) me"hods) aDD&oahes0 To Aha"
deg&ee Ai!! "ha" es"ima"ed e&&o& Jau&a%K a''e" Aha" %ou Ai!! do Ai"h "he
in'o&ma"ion and Aha" onse$uenes Ai!! %ou de&iCe '&om "hem0 *i!! "he &esu!"s Ge
&e!iaG!e# i1e1 Aou!d %ou oG"ain "he same &esu!"s i' %ou Ai!! &eDea" "he D&oess o& G% use
ano"he& me"hod "o ga"he& "he same in'o&ma"ion0 I' no"# an %ou 'igu&e ou" hoA %ou
a&e in"&oduing a Gias in %ou& da"a0 HoA ou!d %ou minimiIe "ha"0
'atchout for costeffectiveness+ *ha" do "he "oo!s) me"hods) aDD&oahes &e$ui&e in
"e&ms o' &esou&e inCes"men"0 *ha" ma"e&ia! and e$uiDmen" Ai!! Ge needed0 A&e
"he&e !ess eHDensiCe Aa%s "o ge" "he same $ua!i"% in'o&ma"ion and engagemen" o' "he
&e!eCan" a"o&s0
#nsure compatibility1 Does "he eCa!ua"ion "eam haCe "he neessa&% in'o&ma"ion
s"o&age and oding aDaGi!i"ies0 Is "he&e a D!an "o !inB &aDid!% and e''e"iCe!%
in'o&ma"ion gene&a"ion and in'o&ma"ion s"o&age and oding0
(erify appropriateness+ A&e "he "oo!s) me"hods) aDD&oahes u!"u&a!!% sui"aG!e and
soia!!% aeD"aG!e0 Is "his "&ue 'o& "he &e!eCan" mino&i"ies and suGg&ouDs Je1g1 "he
Doo&# "he !oA as"e# Aomen# &e!igious mino&i"iesK0 I' no"# Aha" an Ge done "o maBe
su&e "ha" eCe&%one an om'o&"aG!% Da&"iiDa"e0
*hen designing "he me"hodo!og%# a!so "hinB a&e'u!!% aGou" "&iangu!a"ion and
on'iden"ia!i"%?
Triangulation
To ensu&e "he $ua!i"% o' %ou& da"a o!!e"ion and &eo&ding# use "&iangu!a"ion as muh as
DossiG!e1 In a s"&i" sense# "o 7"&iangu!a"e8 means "o use a" !eas" "h&ee di''e&en" Doin"s o'
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2-
CieA "o ana!%Ie a giCen eCen" o& si"ua"ion1 Mo&e gene&a!!%# "&iangu!a"ion is Gased on "he
idea "ha" using mu!"iD!e sou&es and me"hods is "he Ges" assu&ane o' "he Ca!idi"%#
&e!iaGi!i"% and omD!e"eness o' "he in'o&ma"ion o!!e"ed1 TAo Gasi modes o'
"&iangu!a"ion a&e used in Da&"iiDa"o&% a"ion &esea&h? eH"e&na! and in"e&na! "&iangu!a"ion1
:EH"e&na! "&iangu!a"ion; inCo!Ces a omDa&ison Ge"Aeen "he in'o&ma"ion gene&a"ed G% "he
Da&"iiDa"o&% D&oess and da"a '&om eH"e&na! sou&es# suh as PA s"a"is"is# ae&ia!
Dho"og&aDhs# o& indeDenden" &esea&h and "ehnia! s"udies1 :In"e&na! "&iangu!a"ion; &e'e&s
"o a se" o' "ehni$ues 'o& s"&eng"hening Ca!idi"% Ai"hin "he D&oess i"se!'1 These
"ehni$ues in!ude?
)omparison of different perspectives+ Di''e&en" soia! a"o&s usua!!% haCe
di''e&en" CieAs and De&eD"ions o' :&ea!i"%;1 One Aa% "o unde&s"and "hese o<
eHis"ing CieAs is 'o& di''e&en" sou&es "o o''e& "hei& assessmen" o' "he same
D&io&i"% india"o&s and "hen M DossiG!% M omDa&e and disuss "hem in Noin"
mee"ings1
*se of different methods and techniques for e%ploring the same topic+ Fo&
ins"ane# a des&iD"ion o' "he Aa% in Ahih "he ommuni"% is imDa"ed uDon G%
"he D&esene o' "he D&o"e"ed a&ea ma% Ge deCe!oDed "h&ough a omGina"ion o'
oGse&Ca"iona! Aa!Bs# in"e&CieAs Ai"h !oa! au"ho&i"ies and a Da&"iiDa"o&% maDDing
eHe&ise Ai"h ommuni"% &esiden"s1
Involvement of nonlocal professionals with different disciplinary bac+grounds+
Di''e&en" disiD!ines Ai!! &aise di''e&en" $ues"ions aGou" "he same issues# "he&eG%
s"imu!a"ing deeDe& ana!%sis G% "he Da&"iiDan"s1 Fo& ins"ane# an an"h&oDo!ogis"
ma% Ge mo&e sensi"iCe "han o"he&s in &eognising issues o' &esDe" "o u!"u&a!
Deu!ia&i"ies1 O&# a !oa! Do!ie o''ie& ma% Ge Ce&% BnoA!edgeaG!e aGou" Aa%s G%
Ahih &u!es a&e Geing G%<Dassed1 1
A Da&"iiDa"o&% eCa!ua"ion D&oess Ai!! des&iGe and ana!%Ie D&oG!ems and issues '&om a
Ca&ie"% o' De&sDe"iCes# in"e&es"s and one&ns1 The Co&e Team Ai!! need "o unde&s"and
"hese and he!D "he &e!eCan" soia! a"o&s maBe 7o!!e"iCe sense8 ou" o' "hem 1
Enou&age a diCe&si"% o' CieAs and oDinions as %ou D&oeed1 I' G% aDD!%ing "&iangu!a"ion
some in'o&ma"ion is on'i&med# "hen "ha" is onside&ed Ca!id and i" shou!d Ge &eo&ded1
Non<on'i&med in'o&ma"ion# hoAeCe&# ma% Ge eCen mo&e imDo&"an" 'o& "he eCa!ua"ion
D&oess# as i" signa!s si"ua"ions in Ahih "he De&sDe"iCes o' "he Be% a"o&s di''e& and
on'!i"s o' one&ns# in"e&es"s o& eCen unde&!%ing Ca!ues ma% Ge D&esen"1 A Co&e Team
in!uding DeoD!e Ai"h diCe&se GaBg&ounds Ai!! Ge aDaG!e o' iden"i'%ing suh ases and
high!igh" "hem in a Dosi"iCe and 'ai& Aa%1
)onfidentiality
In a Da&"iiDa"o&% goCe&nane eCa!ua"ion on'iden"ia!i"% ma% Ge a maNo& issue1 As "he
"oDi dea!s Ai"h DoAe&# mone%# a&ee&s and De&sona! D&es"ige# i" is gene&a!!% Ce&%
sensi"iCe1 The na"u&e o' "he Da&"iiDa"o&% D&oess# in Da&"iu!a& du&ing $ua!i"a"iCe oDen<
ended in"e&CieAing# an &esu!" in &esDonden"s dis!osing in'o&ma"ion Ahih "he% Jand
o"he&sLK Aou!d D&e'e& "o BeeD on'iden"ia! JDossiG!% meaning he% ma% Aan" "he
in'o&ma"ion &eCea!ed Gu" no" Aho "he sou&e isK1 As "his is "o Ge eHDe"ed# "he Co&e Team
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2/
shou!d iden"i'% aCenues "o a!!oA sensi"iCe in'o&ma"ion "o Ge 'ed in"o "he D&oess Ai"hou"
di&e"!% eHDosing "he in'o&man"?
a mai!ing add&ess ou!d Ge D&oCided Ahe&e DeoD!e an send in'o&ma"ion G% Dos"# Ai"h
"he unde&s"anding "ha" on!% in'o&ma"ion o&&oGo&a"ed G% some eCidene Ai!! Ge "aBen
in"o onside&a"ionO
a 7uniCe&sa!!% &esDe"ed8 indiCidua! suh as a &e"i&ed Nudge o& &e!igious minis"e& o&
!oa! hie' ma% Ge iden"i'ied as 7omGudsDe&son8 and &eeiCe in on'idene
in'o&ma"ion '&om sou&es "ha" D&e'e& "o &emain anon%mousO
a 'ous g&ouD ma% Ge enou&aged "o mee" D&iCa"e!% and de!iCe& a &eDo&" Ai"hou"
indiCidua! a""&iGu"ion1
In a!! ases# "he Gu&den o' D&oo' shou!d 'a!! on "he DeoD!e Co!un"ee&ing o& D&oCiding
in'o&ma"ion1 PeoD!e Aho migh" Ge sing!ed ou" Geause o' "hei& a"s o& 'ai!u&e "o a"
shou!d a!Aa%s Ge o''e&ed D!en"% o' Aa%s "o Nus"i'% "hemse!Ces1 In "his sense# "he
eCa!ua"ion D&oess shou!d main"ain a 'ine Ga!ane Ge"Aeen andid disussion and &esDe"
and 'ai&ness 'o& a!! inCo!Ced a"o&s1
The issue o' on'iden"ia!i"% shou!d Ge BeD" in mind Ahen D!anning "he da"a o!!e"ion
me"hodo!og%1 Mos" oDen in"e&CieAing "ehni$ues 'o& ins"ane# a&e Ges" a&&ied ou" Ai"h
de"ai!ed no"e<"aBing aimed a" a"hing "he eHa" Ao&ds and Dh&asing o' &esDonden"s;
ansAe&s Ji1e1# $uo"es# Ce&Ga"im s"a"emen"sK1 TaDe &eo&ding an Ge o' g&ea" assis"ane in
"his e''o&"# Gu" on!% Ahen and Ahe&e i" is 'u!!% aeD"aG!e "o "he &esDonden"s1 A!so# i' %ou
a&e D!anning "o a&&% ou" a su&Ce%# %ou shou!d deide Ahe"he& "he &esDonden"s Ai!! Ge
&eo&ded anon%mous!%1
*aCe s!re t<at t<e Core Team is >!""y
#re#ared >or t<e tasCs a<ead
>ands<on practice
SeCe&a! memGe&s o' "he Co&e Team Ai!! D&oGaG!% no" Ge 'ami!ia& Ai"h Da&"iiDa"o&%
aDD&oahes o& Ai"h onCen"iona! da"a o!!e"ion me"hods1 The P!anning and T&aining
*o&BshoD Ai!! need "o add&ess "his un"i! eCe&%one in "he Co&e Team is ade$ua"e!%
D&eDa&ed "o 'ai!i"a"e and suDDo&" "he "asBs ahead1 An eH"e&na! "&aine& ma% Ge neessa&%
"o aomD!ish "his1 Idea!!%# "he "&aining Ai!! inCo!Ce :hands<on; D&a"ie Ai"h a Ca&ie"% o'
$uan"i"a"iCe and $ua!i"a"iCe "oo!s in o&de& "o he!D Co&e Team memGe&s iden"i'% Ges" Aa%s
"o gene&a"e in'o&ma"ion 'o& "he ag&eed &i"e&ia and india"o&s1 Fo& eHamD!e# "he Co&e
Team ma% Aish "o D&a"ie Ai"h s"anda&diIed 'o&ms "ha" ou!d Ge used "o o!!e" "he da"a
Je1g1 &eo&d 'o&ms# heB!is"sK1 I' diag&amma"i &eD&esen"a"ions a&e "o Ge used# "he%
shou!d D&a"ie &eo&ding "he ou"omes Ai"h a ame&a JDossiG!% a digi"a! ame&a# Ahih
Ai!! mo&e easi!% a!!oA "he use o' images in a A&i""en &eDo&"K1 I' s"a"is"ia! samD!ing o'
DoDu!a"ions and s"a"is"ia! ana!%sis o' da"a a&e needed# "he Co&e Team ma% onsu!" AnneH
/ o& "he aGundan" !i"e&a"u&e on "he suGNe"
/@
1 I" ma% a!so Ge use'u! "o onsu!" Ai"h
indiCidua!s aDaG!e o' D&oCiding "he sDei'i suDDo&" &e$ui&ed1
/@
See# 'o& ins"ane# Ma&go!uis and Sa!a'sB%1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 22
$re<testing
The *o&BshoD shou!d a!so inCo!Ce a D&e<"es" o' a!! "he D&oedu&es "o Ge used 'o&
Da&"iiDa"o&% si"ua"ion# goa! and a"ion ana!%sis Ai"h "he Co&e Team memGe&s D&a"iing
"h&ough &o!e D!a%ing hoA "o 'ai!i"a"e mee"ings and use "oo!s suh as 5enn diag&amming#
maDDing o& s"&u"u&ed G&ains"o&ming in "he mos" e''e"iCe Aa%1 I' issues a&e "o Ge
iden"i'ied using a&ds# 'o& eHamD!e# "he% shou!d D&a"ie assis"ing a g&ouD "o !us"e& "he
a&ds in"o main a"ego&ies1 I' "he&e a&e a!so o"he& omD!eH me"hods Ahih "he Co&e Team
has no eHDe&iene in using# "he% an Ge D&e<"es"ed in a si"ua"ion "ha" &esemG!es as muh as
DossiG!e "he &ea! one "he% Ai!! inCes"iga"e1 B% D&e<"es"ing me"hods %ou Ai!! ge" a sense o'
hoA !ong i" Ai!! "aBe "o use "hem# and Aha" a&e "he eas% and di''iu!" "asBs ahead1 This
Ai!! he!D %ou D!an mo&e e''e"iCe!% "he use o' "ime and o"he& &esou&es1 A'"e& "he D&e<
"es"ing# i" is no&ma! "o &eCise and &e'ine me"hods and "oo!s1

)e:e"o# t<e Parti=i#atory E:a"!ation P"an
The neH" s"eD 'o& "he Co&e Team is "o deCe!oD a Pa&"iiDa"o&% ECa!ua"ion P!an# in!uding a
Ao&B shedu!e 'o& "he Be% a"iCi"ies and :mi!es"ones; M da"es on Ahih Do&"ions o' "he
Ao&B a&e "o Ge omD!e"ed o& Be% mee"ings a&e "o Ge he!d1 The eHamD!e in TaG!e =1is a
gene&a! guide as Ca&ious 'a"o&s Je1g1 "he numGe& and ha&a"e&is"is o' "he &e!eCan"
a"o&s# "he eHis"ene o' Da&"iu!a& ommunia"ion di''iu!"iesK ma% &e$ui&e sDeia!
a""en"ion and g&ea"!% modi'% "he "ime needed 'o& a sDei'i a"iCi"%1
ResDonsiGi!i"ies 'o& "he a"iCi"ies shou!d Ge !ea&!% assigned Ai"hin "he Co&e Team and "he
!ogis"is o' eah a"iCi"% 'igu&ed ou" Je1g1# "&aCe!# !oa"ions# aommoda"ion# numGe& o'
DeoD!e inCo!CedK1 This Ai!! he!D "o de"e&mine "he &esou&es &e$ui&ed 1 See 'o& ins"ane#
TaG!e E1
Ta*le >: Bas'! pla##'#$ for ea!/ a!'('- '# /e PE Pla#
A"iCi"% *he&e0 *hen0 *ho
needs "o
Ge
inCo!Ced0
ResDonsiG!e
De&son in
"he Co&e
Team
SuDDo&"
De&sons
Neessa&%
'inania!
&esou&es
O"he&
neessa&%
&esou&es
=
=
3udet
*ha" Ai!! i" os" "o imD!emen" %ou& Da&"iiDa"o&% eCa!ua"ion D!an0 The &esou&es "he
Co&e Team Ai!! need in!ude Daid "ime JAages o& on"&a"sK# ma"e&ia!s and e$uiDmen"
Je1g1# in'o&ma"ion o!!e"ion shee"s# no"eGooBs# a "aDe &eo&de&K# ommunia"ion os"s#
"&aCe! os"s# os"s o' mee"ings o' "he Co&e Team# os"s o' "he seCe&a! needed Ao&BshoDs
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2>
among "he &e!eCan" a"o&s# os"s o' in'o&ma"ion ga"he&ing1 To "hose# %ou shou!d add "he
os"s 'o& a numGe& o' 'o!!oA<uD mee"ings Ai"hin "he 'i&s" %ea& a'"e& "he omD!e"ion o'
Phase II# and a 4.U on"ingen%1 You ma% Aish "o maBe eHD!ii" "he "ime &esou&e and
in<Bind on"&iGu"ions "ha" man% &e!eCan" a"o&s ma% Ge Ai!!ing "o maBe Jos" sha&ingK1
I' %ou 'ind %ou& Gudge" eHeeds "he &esou&es aCai!aG!e # %ou an &edue "he os"s G%
seeBing mo&e and Ca&ious on"&iGu"ions '&om &e!eCan" a"o&s1 A!so# en!is" Co!un"ee&s "o
do some o' "he Ao&B in D!ae o' Daid s"a''1 Conside& "ha" an amD!e &ange o' in"e&es"s and
one&ns in soie"% ma% Ge Ai!!ing "o on"&iGu"e in ash o& in<Bind "o "he eCa!ua"ion
D&oess1 I' no o"he& Aa% has Geen 'ound# %ou ma% a!so Aan" "o onside& &eduing "he
numGe& o' Da&"iiDan"s# o& &es"&i"ing "he D&io&i"% india"o&s "o "he ones "ha" &e$ui&e !i""!e
"ime and &esou&es "o Ge assessed1
A &uia! Gudge"a&% e!emen" "ha" an Ge on!% es"ima"ed in a D&e!imina&% Aa% &ega&ds "he
a"iCi"ies "ha" Ai!! Ge needed "o imD!emen" "he goCe&nane imD&oCemen"s iden"i'ied as
neessa&% du&ing "he eCa!ua"ion1 On "he one hand "he Co&e Team anno" and shou!d no"
D&e<emD" "he &esu!"s o' "he si"ua"ion ana!%sis# goa! ana!%sis and a"ion ana!%sis and "hus
does no" BnoA Aha" Ai!! Ge iden"i'ied as neessa&% and D!anned 'o& a"ion1 On "he o"he&#
a!! "he e''o&"s sDen" in "he eCa!ua"ion Ai!! Ge Aas"ed i' no imD&oCemen" Ai!! Ge DossiG!e
Geause o' insu&moun"aG!e Gudge"a&% ons"&ain"s1 The Co&e Team shou!d a" !eas" maBe
su&e "ha" "he PA goCe&ning Godies and &e!eCan" a"o&s a&e aAa&e o' "his issue and haCe se"
aside a" !eas" some &esou&es "o &esDond "o "he needs iden"i'ied G% "he Da&"iiDa"o&%
eCa!ua"ion1
Get the $#an and budet a$$ro!ed
*hen "he D!an is as ohe&en" and omD!e"e as DossiG!e# "he Co&e Team shou!d D&esen" i"
"o "he PA goCe&ning Godies and &e!eCan" dono&s1 This Ai!! no" Ge "he 'i&s" "ime "he Co&e
"eam in"e&a"s Ai"h "hem? some memGe&s o' "he goCe&ning Godies ma% Ge memGe&s o'
"he Co&e Team and some sou&e o' 'unds shou!d Ge iden"i'ied !ong Ge'o&e s"a&"ing "he
Aho!e D&oess1 HoAeCe&# "his "ime "he Co&e Team Ai!! eHD!ain in deD"h hoA "he
Da&"iiDa"o&% eCa!ua"ion is eHDe"ed "o un'o!d1 The memGe&s o' "he goCe&ning Godies
shou!d Ge assis"ed "o aDD&eia"e "he Ca!ue o' "he eHe&ise and "he sDei'i Gene'i"s "ha"
ma% a&ue "o "hem sDei'ia!!% J'o& ins"ane# Ge""e& &eogni"ion o' "hei& Ao&B# mo&e
suDDo&" '&om Ca&ious soia! a"o&sK Gu" a!so "o "he PA and &e!eCan" soia! a"o&s1 The
Co&e Team ma% inCi"e "he goCe&ning Godies "o &e'!e" uDon Aha" ons"i"u"es 7good
goCe&nane8 'o& "he PA# in D&eDa&a"ion o' "he 'u"u&e Da&"iiDa"o&% eCa!ua"ion eHe&ises in
"he D&esene o' o"he& &e!eCan" a"o&s1 The goCe&ning Godies and dono&s shou!d aDD&oCe
"he Pa&"iiDa"o&% ECa!ua"ion P!an and# as aDD&oD&ia"e# maBe "he Gudge" aCai!aG!e1 One
"he Pa&"iiDa"o&% ECa!ua"ion P!an is aDD&oCed "he Co&e Team an sa'e!% ommunia"e "his
neAs "o "he &e!eCan" a"o&s and D&oeed Ai"h "he inCi"a"ions 'o& "he D!anned Ao&BshoDs1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 29
Phase --. CARR4-NG O0T T/E EVA*0AT-ON
Phase II is "he hea&" and sou! o' "he Da&"iiDa"o&% eCa!ua"ion and onsis"s o' a se&ies o'
Ao&BshoDs# mee"ings and g&ouD eHe&ises "ha" 'ous on?
"he engagemen" o' "he &e!eCan" a"o&s in "he eCa!ua"ion D&oessO
"he Da&"iiDa"o&% gene&a"ion o' in'o&ma"ionO
"he Da&"iiDa"o&% si"ua"ion ana!%sis# goa! and a"ion ana!%sisO
The main me"hod emD!o%ed 'o& "hese Da&"iiDa"o&% eHe&ises is g&ouD in"e&CieAs in a
Ao&BshoD se""ing# maBing use o' a Ca&ie"% o' suDDo&"ing "oo!s and "ehni$ues Js"&u"u&ed
G&ains"o&ming# sma!! g&ouD Ao&B# &anBing and so&ing# 5enn diag&amming# e"1K1 The
g&ouDs a&e a&e'u!!% omDosed "o D&oCide di''e&en" De&sDe"iCes1 This me"hod is usua!!%
in"eg&a"ed Ai"h o"he&s# Go"h D!anned and imD&omD"u# suh as "he di&e" o!!e"ion o'
Ca&ious "%Des o' da"a Je1g1 doumen"s# measu&emen"s and oGse&Ca"ionsK as Ae!! as
indiCidua! in"e&CieAs Ai"h Be% in'o&man"s and Da&"iiDan"s in "he s%s"em1 O' e$ua!
imDo&"ane "o o!!e"ing good $ua!i"% in'o&ma"ion is "he Aa% in Ahih "he Co&e Team is
aDaG!e o' engaging "he &e!eCan" a"o&s in &e'!e"ing uDon goCe&nane issues# D&oG!ems#
oDDo&"uni"ies and so!u"ions1 In gene&a!# "he 'o!!oAing G&oad aDD&oahes ou!d Ge
&eommended?
/E

De#iberati!e in5uiry
The "e&m 7de!iGe&a"ion8 has Geen in&easing!% used in &een" %ea&s "o des&iGe "he a&e'u!
onside&a"ion and disussion o' &easons 'o& and agains" a Da&"iu!a& "heme o' deision
/3
1
As Ai"h a de!iGe&a"iCe D&oess# a Da&"iiDa"o&% goCe&nane eCa!ua"ion inCo!Ces "he a&e'u!
onside&a"ion and disussion o' issues and "he &easons 'o& Da&"iu!a& Doin"s o' CieA1 The
Co&e Team shou!d aim "o D&oCide a suDDo&"iCe and engaging '&ameAo&B 'o& "he
disussion o' issues and o!!e"ion o' da"a# Ahi!e !eaCing &oom 'o& "he sDon"aneous
eme&gene o' ideas and ini"ia"iCes1 A good aDD&oah 'o& "he Co&e Team "o !ea&n '&om is
Da&"iiDa"o&% a"ion &esea&h JPARK
2.

'aci#itation
The mee"ings and eHe&ises Ai!! Ge 'ai!i"a"ed G% memGe&s o' "he Co&e Team JAhih ma%
in!ude a D&o'essiona! eHDe&"K# Aho Ai!! he!D "he Da&"iiDan"s &e'!e" on "he issues and
ommunia"e Ai"h one ano"he&1 I" is Ce&% imDo&"an" "ha" "he memGe&s o' "he Co&e Team
a" as 'ai!i"a"o&s and no" on"&o!!e&s o' "he D&oess1 The% need "o D&oCide meaning'u!
/E
Fo& 'u&"he& ideas and in'o&ma"ion# see ELDIS# -../ JAeGsi"e on Da&"iiDa"o&% moni"o&ing and eCa!ua"ionK#
and Ins"i"u"e o' DeCe!oDmen" S"udies# -../ JAeGsi"e on i"iIen Da&"iiDa"ion and Da&"iiDa"o&% aDD&oahes
"o deCe!oDmen"K1
/3
PimGe&"# M1 Re!aiming ou& &igh" "o DoAe&? some ondi"ions 'o& de!iGe&a"iCe demo&a%# in 3eliberative
3emocracy and Citi;en *mpowerment. Pa&"iiDa"o&% !ea&ning and a"ion JD!aK no"es 2.? E4<E21 London# (1
K1# In"e&na"iona! Ins"i"u"e 'o& EnCi&onmen" and DeCe!oDmen"# -..41
2.
See Ba&"on e" a!1# 433@
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2@
$ues"ions and guidane "o "he D&oess# manage in"e&De&sona! d%namis# ensu&e "ha" "he
disussion is BeD" on a &e!eCan" "&aB# and BeeD "he !eng"h o' "he mee"ings Ai"hin
&easonaG!e !imi"s1 A" a!! os"# "he% shou!d aCoid imDosing "hei& oAn CieAs# suh as
sugges"ing "he :&igh"; ansAe&s o& deisions# ei"he& eHD!ii"!% o& imD!ii"!%1 +a"he&ing
goCe&nane in'o&ma"ion is imDo&"an"# Gu" so is BeeDing "he in"e&a"ion among Da&"iiDan"s
oDen# D!easan" and D&odu"iCe1
O$en fra%in of issues and sco$e of in5uiry
The Aa% in Ahih a Da&"iiDa"o&% D&oess is a!!oAed "o eH"end i"s soDe Ge%ond a
Da&"iu!a& "oDi "o eHamine G&oade& issues# i1e1 a!"e&na"iCe Do!i% oD"ions o& soia! Nus"ie
De&sDe"iCes# is &i"ia! "o "he eH"en" "o Ahih i" emDoAe&s DeoD!e1 In "his sense# "he
Da&"iiDan"s in "he eCa!ua"ion ma% Ge enou&aged "o disuss issues Ai"hin "he '&ame o'
&e'e&ene D&oDosed G% "he Co&e Team# Gu" a!so eHD!o&e di''e&en" oD"ions and De&sDe"iCes#
$ues"ioning Gasi assumD"ions and sou&es o' in'o&ma"ion1 Fo& ins"ane# disussions ma%
&eCea! some maNo& on"&adi"ions Ge"Aeen !aAs and Do!iies# &egu!a"ions and
enCi&onmen"a! o& soia! needs1 Suh on"&adi"ions ma% su&'ae Ahen eHamining !aAs
&egu!a"ing oAne&shiD and on"&o! o' !and and &esou&es in and a&ound "he D&o"e"ed a&ea#
odes es"aG!ishing Aha" "%Des o' !oa! ins"i"u"ions an en"e& in"o Da&"ne&shiDs Ai"h "he
goCe&nmen"# and &u!es one&ning "he na"u&e o' Da&"ne&shiDs Ge"Aeen "he goCe&nmen" and
memGe&s o' iCi! soie"%1 Indigenous and !oa! ommuni"ies ma% 'ind i" &uia! "o !inB
"he disussion o' PA goCe&nane "o "hei& "ime<"es"ed uses o' &esou&es 'o& !oa!
!iCe!ihood# "hei& us"oma&% &igh"s "o !and and &esou&es# "hei& &igh"s "o se!'<de"e&mina"ion
and D&io& in'o&med onsen"# &esDe" o' "hei& !oa! ins"i"u"ions and mehanisms 'o&
nego"ia"ing ag&eemen"s and managing on'!i"s# e"1 I' "his is "he ase# some 'o!!oA<uD
ini"ia"iCe ma% need "o "aBe o'' in a G&oade& di&e"ion "han PA goCe&nane# and DossiG!%
inCo!Ce an eHamina"ion o' sDei'i na"iona! !aAs and1Do!iies1
Process orientation
The hoie o' engaging "he &e!eCan" a"o&s in gene&a"ing "he in'o&ma"ion &a"he& "han
dea!ing Ai"h "hem as me&e 7&esDonden"s8 JD&oCide&s o' in'o&ma"ionK is Ce&% imDo&"an"1 In
"his sense# "he $ua!i"%# deD"h and ingenui"% o' "he hosen me"hodo!og% is di&e"!% !inBed
"o "he d%namis o' soia! hange1
24
Fo& some o' "he eHDe"ed Da&"iiDan"s# "he a" o'
"hinBing &i"ia!!% Jand in DuG!iLK# eCen aGou" issues "ha" haCe a''e"ed "hem eCe&% da% o'
"hei& !iCes# Ai!! Ge &e!a"iCe!% neA and ins"&u"iCe1 As a ma""e& o' 'a"# t<e :ery a=t o>
de"iberatin% and re>"e=tin% on t<e I!estions raised d!rin% t<e e:a"!ation is "iCe"y to
"ead to a trans>ormation o> t<e ideas and a=tions o> e:eryone in:o":ed+ The process
o' eCa!ua"ion Ai!! Ge hange<enhaning and Ai!! on"&iGu"e "o imD&oCing %ou& goCe&nane
s%s"em eCen Ge'o&e an% da"a is o!!e"ed and ana!%sed1 As "hei& aAa&eness o' "he
&e!eCane and imD!ia"ions o' "he inCes"iga"ed issues in&eases# so "hei& asDi&a"ions and
one&ns ma% deCe!oDO "he D&oess is# "he&e'o&e# d%nami and adaD"iCe "h&ough "ime1
Da"a needs "o Ge o!!e"ed Gu" e$ua!!% imDo&"an" is "o maBe Da&"iiDan"s aAa&e "ha" "his is
no" a one<"ime da"a<o!!e"ion eHe&ise and "ha" "hei& Da&"iiDa"ion "h&oughou" Ai!! Ge
ins"&umen"a! in G&inging aGou" imD&oCemen" and hange1
24
PimGe&" and *aBe'ie!d# -..4
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 2E
E%$o&erin
I' "he aim o' "he eCa!ua"ion is a!so "o emDoAe& "he &e!eCan" a"o&s &ega&ding "he PA
goCe&nane# "hen non<!oa! D&o'essiona!s shou!d Ge inCo!Ced in neA &o!es1 LeaCing
Gehind "hei& a""i"udes as :eHDe&"s; "he% shou!d a" mo&e as D&oCide&s o' CieAs and
in'o&ma"ion JAhose aDD&oD&ia"eness and use'u!ness Ai!! Ge assessed G% "he &e!eCan" a"o&s
and DeoD!eK1 A" "imes# "he% shou!d se&Ce mo&e as 'ai!i"a"o&s "han eHDe&"s1
Orientation to&ards consensus6bui#din
A di''e&ene o' oDinions is one o' "he soundes" india"o&s o' a D!u&a!is"# CiG&an"# "hinBing
soie"%1 Bu" suh di''e&enes o' oDinions mus"# soon o& !a"e&# Ge &eoni!ed Ai"h some
'o&m o' deision and a"ion1 Fo& ins"ane# in "he on"eH" o' "he eCa!ua"ion# i" Aou!d Ge
imDo&"an" no" on!% "o ana!%se "he eCiden" D&oG!ems Gu" a!so "o deide aGou" some J!iBe!%
!ess eCiden" and mo&e on"&oCe&sia!K so!u"ions1 In "his sense "he Da&"iiDan"s in "he
eCa!ua"ion Aou!d "aBe uDon "hemse!Ces Da&" o' "he 7goCe&nane &esDonsiGi!i"%8 "he% a&e
ana!%sing1 An o&ien"a"ion "oAa&ds onsensus<Gui!ding and "he aDai"% o' "he Co&e Team
memGe&s "o 'ai!i"a"e i" Aou!d D!a% a Ce&% imDo&"an" Dosi"iCe &o!e in "his1 In mos"
"&adi"iona! soie"ies# onsensus &a"he& "han maNo&i"% Co"ing is "he D&e'e&&ed means o'
deision maBing# and "his is no" su&D&ising1 *hen deisions a&e "aBen G% Co"ing "he% ma%
Ge $uiB!% oCe&# Gu" a!Aa%s !eaCe Gehind an unsa"is'ied mino&i"%1 On "he on"&a&%#
onsensus deision<maBing "%Dia!!% needs mo&e "ime Gu" a!!oAs "o eHD!o&e issues mo&e
in deD"h and "o deCe!oD innoCa"iCe so!u"ions and omD&omises "ha" "aBe in"o aoun" "he
in"e&es"s and one&ns o' a!! Da&"ies1 ImDo&"an"!%# "he% ma% G&ing "o "he 'o&e some
sDei'i aDai"ies in soia! ommunia"ion# on'!i" managemen"# nego"ia"ion o'
ag&eemen"s and "he !iBe "ha" Ai!! &emain use'u! in "he 'u"u&e managemen" o' "he PA1
Co%%it%ent to usin the resu#ts of the e!a#uation
The &esu!"s o' "he Da&"iiDa"o&% eCa!ua"ion mus" Ge 'ed &aDid!% in"o D!anning and a"ion
D&omo"ing "he hanges iden"i'ied as desi&aG!e and)o& needed1 The in$ui&% shou!d no" Ge
!imi"ed "o !is"ing o' D&oG!ems# measu&ing india"o&s and "he !iBe1 Be%ond a o!!e"ion o'
da"a and a se" o' :&eommenda"ions; Gased on "hose 'indings Jas o'"en haDDens Ai"h
eH"e&na! eCa!ua"ionsK "he Da&"iiDa"o&% eCa!ua"ion shou!d ino&Do&a"e an ana!%sis o'
Do"en"ia! so!u"ions and needed hange# and Ge aG!e "o in'!uene D&a"ia! deisions1 In
o"he& Ao&ds# "he D&oess mus" ino&Do&a"e me"hods 'o& "&ans!a"ing "he BnoA!edge gained
di&e"!% in"o D&a"ia! deisions and)o& 'easiG!e ou&ses o' a"ion1 Time!iness o' 'o!!oA
uD Ai!! g&ea"!% in&ease "he os"<e''e"iCeness and Ca!ue o' "he Aho!e eCa!ua"ion eHe&ise1
7ee$in the $u#se of the $rocess
Th&oughou" Phase II# "he Co&e Team memGe&s Ai!! 'ind i" suDDo&"iCe and he!D'u! "o mee"
a" "he end o' eah mee"ing "o "a!B oCe& insigh"s and one&ns and "o D&eDa&e 'o& "he
'o!!oAing mee"ing o& eCen"1 I' an ou"side eHDe&" is assis"ing# i" Ai!! Ge good "o mee" Ai"h
"ha" De&son as Ae!!# and &eeiCe 'eedGaB "o suDDo&" "he on<going !ea&ning1 The mee"ings
Ai!! Ge use'u! "o assess hoA "he D&oess is going# Ahe"he& "he &e!eCan" a"o&s a&e
e''e"iCe!% engaged in "he eCa!ua"ion# Ahe"he& in'o&ma"ion o' good $ua!i"% and
omDa&aGi!i"% is Geing o!!e"ed# Aha" on'!i"s and misunde&s"andings a&e su&'aing#
Aha" addi"iona! suDDo&" ma% Ge needed# hoA ou!d "ha" Ge D&oCided# e"1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 23
En%a%e t<e re"e:ant a=tors in t<e e:a"!ation
+uided G% "he aDD&oahes disussed aGoCe# di''e&en" Co&e Teams Ai!! design di''e&en"
Aa%s o' engaging "he &e!eCan" a"o&s in "he eCa!ua"ion1 Pa&"iiDa"o&% "oo!s a&e eH"&eme!%
use'u! in enou&aging a"o&s "o eHD!o&e "he meaning o' goCe&nane Ai"hin "hei& oAn PA
se""ing and so Gegin "he Nou&ne% o' eCa!ua"ing goCe&nane1 One oD"ion is "o ga"he& eah
g&ouD o' a"o&s in a Ao&BshoD se""ing Jsee TaG!e EK and asB "hem "o Ao&B "oge"he& "o
&ea"e a g&aDhi &eD&esen"a"ion o' "hei& goCe&nane s%s"em1 The% an do "his G% using "he
5enn Diag&am "ehni$ue Ahe&eG% "he% u" ou" and Dosi"ion di''e&en" shaDes and siIes o'
a&d Ahih s%mGo!ise "he 'o!!oAing?
"he a"o&s Aho di&e"!% 'o&m Da&" o' "he deision<maBing '&ameAo&B 'o& "hei& PA
se""ingO
"hose Aho indi&e"!% in'!uene "he deision<maBing D&oessO
"he deision<maBing D&oedu&es Je1g1 Aho maBes a D&oDosa!# Aho aDD&oCes e"1KO
"he 'a"o&s Ahih a&e a''e"ing "he deision<maBing s%s"em1
This o!!aGo&a"iCe Diee o' Ao&B Ai!! &eCea! "o a"o&s hoA muh "he% do o& do no" BnoA
aGou" hoA deisions a&e made in "hei& goCe&nane s%s"em and i" Ai!! immedia"e!% engage
"hem in disussions aGou" "hei& De&eD"ions o' hoA i" 'un"ions and hoA i" shou!d
'un"ion1 As Ae!! as he!Ding "he a"o&s "o engage "he a"o&s in &i"ia! &e'!e"ion on "hei&
goCe&nane s%s"em# "his eHe&ise D&oCides one o' "he 'i&s" sou&es o' &ih $ua!i"a"iCe da"a
'o& measu&ing !eCe!s o' BnoA!edge and De&eD"ions aGou" "he s%s"em and shou!d Ge
a&e'u!!% &eo&ded1 One omD!e"ed# "his o!!aGo&a"iCe "asB !eads !ogia!!% in"o an
eHe&ise Ahe&eG% "he a"o&s a&e asBed "o iden"i'% Be% goCe&nane D&iniD!es Ahih "he%
Ge!ieCe shou!d guide "his deision<maBing D&oess1 As Ai"h "he Co&e Team du&ing "he
P!anning and T&aining *o&BshoD# "he a"o&s ou!d Ge assis"ed in "his "asB i' neessa&% G%
Geing D&esen"ed Ai"h "he &i"e&ia de&iCed '&om "he 'iCe D&iniD!es o' good goCe&nane as
Ae!! as "he se" o' D&iniD!es and &i"e&ia D&e!imina&i!% ag&eed uDon G% "he Co&e Team1 In
"his Aa%# "he &e!eCan" a"o&s a&e a"iCe!% on"&iGu"ing "o "he iden"i'ia"ion o' "he
goCe&nane D&iniD!es "o Ge eCa!ua"ed and ma% eCen sugges" some a!"e&na"iCe Aa%s o'
ga"he&ing in'o&ma"ion "han "hose designed G% "he Co&e Team1 A" "his Doin"# e&"ain a"o&s
ma% a!so Co!un"ee& "o he!D in "he gene&a"ion and D&e!imina&% ana!%sis o' in'o&ma"ion1 A" a
!a"e& mu!"i<a"o& Ao&BshoD# "he di''e&en" De&eD"ions and D&iniD!es o' "he di''e&en" a"o&s
ou!d Ge D&esen"ed "o eah o"he&1 The aim o' "his Ao&BshoD Aou!d Ge "o &eah an
ag&eemen" oCe& a sha&ed !is" o' Be% D&iniD!es and &i"e&ia and Aa%s o' assessing "hem1
Ta*le >1
ENGAGING T$E RELEVANT ACTOR& IN T$E EVALUATION
TA&' 'ey I!estionsFstatements *et<ods E?#e=ted res!"ts
(nde&s"anding
eHis"ing PA
goCe&nane
s%s"em
*ho "aBes deisions# and
hoA# aGou" %ou& D&o"e"ed
a&ea0 *ho a&e "he Be%
&e!eCan" a"o&s0 P!ease
&eD&esen" "hem Ai"h a&ds1
SeDa&a"e Ao&BshoDs Ai"h
di''e&en" Be% &e!eCan" a"o&s
J'ous g&ouDsK1 Cu""ing ou"
and Dosi"ioning o' s%mGo!s
'o& "he Be% a"o&s in PA
5isua!isa"ions o' "he PA
goCe&nane s%s"em as
De&eiCed G% di''e&en"
7s"aBeho!de&s81 Lis"s o'
Be% 'a"o&s a''e"ing "he
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >.
*ha" a&e "he &e!a"ionshiDs
among "hem0 *ha" a&e "he
main 'a"o&s a''e"ing "he
s%s"em0 P!ease &eD&esen"
"hem Ai"h a&ds# s%mGo!s#
a&&oAs# e"1
Can %ou &ea"e a g&aDhi
&eD&esen"a"ion o' "he
goCe&nane s%s"em and i"s
omDonen"s0
goCe&nane J5enn
diag&ammingK and 'a"o&s
a''e"ing "hem# d&aAing o'
in"e&na! and eH"e&na!
in'!uenes and &e!a"ionshiDs#
asBing $ues"ions on deision<
maBing inDu"s# and Aa%s o'
in'!uening "he s%s"em
in"e&na!!% and eH"e&na!!%1
PA goCe&nane1 This
in'o&ma"ion is a!so an
imDo&"an" Da&" o' "he
$ua!i"a"iCe da"a
o!!e"ion# giCing a
Gase!ine 'o& india"o&s
e1g1 measu&ing !eCe! o'
BnoA!edge aGou" "he
goCe&nane s%s"em
amongs" Be% a"o&sO
De&eD"ions o' DoAe&<
sha&ing# &eD&esen"a"ion#
&ediGi!i"% o' D&oess#
onsensus o&ien"a"ion
e"1
Iden"i'%ing Be%
D&iniD!es and
&i"e&ia o' good
goCe&nane
*ha" is# 'o& %ou# a s%s"em o'
7good goCe&nane80 *ha"
D&iniD!es do %ou Ge!ieCe
%ou& PA s%s"em shou!d
uDho!d0 HoA an %ou assess
Ahe"he& "hose D&iniD!es a&e
&esDe"ed0 *ha" &i"e&ia and
india"o&s Aou!d %ou use0
*ha" do %ou "hinB o' "he
D&io&i"% &i"e&ia and
india"o&s iden"i'ied G% "he
Co&e Team0
In same Ao&BshoDs Ai"h
'ous g&ouDs1
E!aGo&a"ion o' !is"s o'
D&io&i"% goCe&nane &i"e&ia
and india"o&s "h&ough g&ouD
in"e&CieAs# Noin" eHe&ises#
Cisua! "oo!s# e"1
EHDe&iene o' !ea&ning
"oge"he&O imD&oCed
unde&s"anding o' Aha"
PA goCe&nane is and
hoA i" 'un"ionsO
enhaned engagemen" in
"he eCa!ua"ion D&oess1
(nde&s"anding
De&eD"ions and
ag&eeing on Be%
D&iniD!es and
&i"e&ia1
These a&e "he Cisua!
&eD&esen"a"ions o' "he
eHis"ing PA goCe&nane
s%s"em made G% eah 'ous
g&ouD1 He&e a&e "he !is"s o'
D&iniD!es# &i"e&ia and
india"o&s iden"i'ied G% "he
di''e&en" a"o&s1 Can Ae
Gui!d a omDosi"e !is" ag&eed
G% a!!0
*o&BshoD ga"he&ing a!! "he
Be% &e!eCan" a"o&s1
P&esen"a"ion o' "hei& Cisua!
&eD&esen"a"ions G% eah o'
"he 'ous g&ouDs1 5a&ious
eHe&ises g&ouDing and
&e'ining ideas and oneD"s
in Go"h D!ena&% session and
sma!! g&ouDs1
Lis" o' Be% goCe&nane
D&iniD!es# &i"e&ia and
india"o&s 'o& "he PA a"
s"aBe# ag&eed G% a!! Be%
&e!eCan" a"o&s
Generate in>ormation in a #arti=i#atory Aay
The D&e!imina&% !is" o' D&io&i"% goCe&nane &i"e&ia and india"o&s iden"i'ied G% "he Co&e
Team Ai!! noA haCe Geen sha&ed# &eCised and# i' DossiG!e# ag&eed "o G% "he &e!eCan"
a"o&s1 A!! "he D&io&i"% india"o&s in "he ag&eed 'ina! !is" Ai!! "hen need "o Ge measu&ed)
assessed1 This inCo!Ces 'ou& s"eDs?
+ene&a"ion o' in'o&ma"ionO
O&ganisa"ion and s"o&age o' in'o&ma"ionO
5a!ida"ion o' da"aO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >4
P&e!imina&% ana!%sis1
The Be% &esu!"s o' "he Da&"iiDa"o&% gene&a"ion o' in'o&ma"ion Ai!! Ge "he Gase!ine da"ase"
'o& "hese D&io&i"% india"o&s and a G&oade& sha&ed unde&s"anding o' hoA "he PA
goCe&nane s%s"em is designed "o 'un"ion# hoA i" does 'un"ion in D&a"ie and hoA i" is
De&eiCed "o 'un"ion G% di''e&en" &e!eCan" a"o&s1
Generation of infor%ation
The Co&e Team shou!d noA &eCise "hei& Pa&"iiDa"o&% ECa!ua"ion P!an in "he !igh" o' an%
hanges "ha" haCe Geen made "o "he ag&eed !is" o' D&io&i"% &i"e&ia and india"o&s# and
Aa%s o' ga"he&ing "ha" in'o&ma"ion1 The% shou!d on'i&m Aho Ai!! o!!e" Aha" sDei'i
in'o&ma"ion and hoA1 See TaG!e 31 This ma% noA a!so inCo!Ce "he Da&"iiDa"ion o' o"he&
&e!eCan" a"o&s and shou!d Ge D!anned 'o& Ai"h a&e1 These da"a o!!e"ion a"iCi"ies ma%
inCo!Ce 'ie!d Ao&B ga"he&ing doumen"s# measu&emen"s and oGse&Ca"ions# sDei'i
in"e&CieAs o& "he design and imD!emen"a"ion o' su&Ce%s1 KeeD in mind "ha" in'o&ma"ion
on seCe&a! india"o&s an Ge o!!e"ed Ai"h "he same me"hod# 'o& ins"ane G% Dosing
seCe&a! $ues"ions "o one o& mo&e 'ous g&ouDs o' &esDonden"s1 *e haCe a!&ead% seen hoA
"he ini"ia! 'ous g&ouD Ao&BshoDs Jsee :Engaging "he A"o&s in "he ECa!ua"ion;K se&Ced
no" on!% "o 'ous "he a"o&s on "he meaning o' goCe&nane Gu"# "h&ough "he 5enn Diag&am
eHe&ise# a!so gene&a"ed eH"&eme!% &ih $ua!i"a"iCe da"a aGou" "he !eCe! o' "hei& BnoA!edge
aGou" "hei& goCe&nane s%s"em and "hei& De&eD"ions aGou" hoA i" 'un"ions in "e&ms o'
Da&"iiDa"ion# onsensus o&ien"a"ion# DoAe&<sha&ing# &eD&esen"a"ion e"1 DeDending on
%ou& Da&"iu!a& se""ing# i" ma% Ge aDD&oD&ia"e "o use "he oDDo&"uni"% o' "he ini"ia! 'ous
g&ouD Ao&BshoDs "o on"inue Ai"h "he Da&"iiDa"o&% eHe&ises "o gene&a"e 'u&"he&
in'o&ma"ion M one "he g&ouD has ag&eed on "he D&iniD!es and &i"e&ia "ha" i" Ge!ieCes
shou!d Ge eCa!ua"ed1
Ta*le ?1
PARTICIPATOR. GENERATION OF INFOR*ATION
TA&' 'ey I!estionsFstatements *et<ods E?#e=ted res!"ts
De'ining me"hods
'o& measu&ing
india"o&s
This is "he !is" o' Be%
goCe&nane D&iniD!es# &i"e&ia
and india"o&s ag&eed G% a!! Be%
&e!eCan" a"o&s1 *ho Ai!!
assess Ahih india"o&s0 HoA0
B&ains"o&ming and sma!!
g&ouD Ao&B G% Co&e Team
and Co!un"ee&s sha&ing
assessmen" "asBs and
de'ining "he assessmen"
me"hods
Lis" o' "hose &esDonsiG!e
and me"hods 'o& "he
assessmen" o' eah D&io&i"%
goCe&nane india"o&1
In'o&ma"ion
ga"he&ing "o
measu&e india"o&s
*ha" doumen"s and &eo&ds
in!ude essen"ia! in'o&ma"ion
on "he PA goCe&nane s%s"em0
*he&e e!se an "he neessa&%
in'o&ma"ion Ge 'ound0
*ha" Da&"iiDa"o&% "ehni$ues
Ai!! Ges" he!D "o gene&a"e
in'o&ma"ion on BnoA!edge and
De&eD"ions0
In"e&CieAs Ai"h Be%
in'o&man"s and
iden"i'ia"ion# o!!e"ion
and ana!%sis o' eHis"ing
doumen"s and &eo&ds1
In'o&ma"ion on hoA "he
goCe&nane s%s"em has
Geen designed "o 'un"ion
and hoA i" does a"ua!!%
'un"ion in D&a"ie1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >-
In'o&ma"ion
s"o&age and
hand!ing
HoA an "he da"a o!!e"ed Ges"
Ge s"o&ed0 HoA an I s"o&e
$uan"i"a"iCe and $ua!i"a"iCe da"a
J"&iangu!a"ionK on "he same
india"o&s in suh a Aa% "ha" i"
an Ge ana!%sed easi!%0
Fi!!ing in $uan"i"a"iCe and
$ua!i"a"iCe Ca!ues "o "he
D&io&i"% india"o&s in a
oded Aa% so as "o a!!oA
omDa&ison oCe& "ime1
Base<!ine da"a se" and
measu&es o' eHis"ing
De&'o&mane agains"
D&io&i"% &i"e&ia and
india"o&s

Oranisation and storae of infor%ation
Th&oughou" "he D&oess o' gene&a"ing in'o&ma"ion# "he Co&e Team shou!d maBe su&e "ha"
"he goCe&nane in'o&ma"ion is gene&a"ed and s"o&ed in onsis"en" Aa%s# e1g1 G% oun"ing
"he same "hings# asBing "he same $ues"ions oCe& "ime# haCing "he same unde&s"anding o'
a!! "e&ms used# e"1 Fo& ins"ane# Ahen measu&ing "he numGe& o' da%s "aBen "o &eeiCe a
&esDonse '&om a goCe&ning God%# "he% shou!d !a&i'% Ahe"he& "hese a&e Ao&Bing da%s on!%#
e"1 One "he goCe&nane in'o&ma"ion has Geen o!!e"iCe!% gene&a"ed# i" needs "o Ge
e''e"iCe!% hand!ed and s"o&ed1 This inCo!Ces seCe&a! s"eDs# '&om oding "he in'o&ma"ion
"h&ough "o !eaning and D&eDa&ing i" 'o& ana!%sis1 These s"eDs ma% "aBe "ime Gu" a&e
essen"ia! and shou!d Ge Ae!! BnoAn and D&a"ied G% "he Co&e Team JSee AnneH /K
2-
1
I" ma% Ge he!D'u! "o use a "aG!e "o o&ganiIe "he se" o' goCe&nane D&iniD!es# &i"e&ia and
india"o&s ag&eed G% a!! &e!eCan" a"o&s and "he Ca!ues oG"ained Ahen assessing "hem# as
in "he eHamD!e in TaG!e 4. Ge!oA1 A numGe&ing o& oding s%s"em Ai!! he!D %ou a" a !a"e&
da"e "o omDa&e "&ends in "he da"a oCe& "ime1 I" is a good idea "o maBe a haGi" o' &eo&ding
eHD!ana"o&% no"es and ommen"s !ose "o "he Gasi da"a# "o he!D %ou &ememGe& "he
on"eH" in Ahih in'o&ma"ion Aas ga"he&ed
2/
1
Du&ing "he assessmen" o' "he D&io&i"% india"o&s i" is Ce&% DossiG!e "ha" o"he& india"o&s#
no" %e" onside&ed o& ag&eed uDon G% a!! "he a"o&s# ma% Ge iden"i'ied1 You shou!d &emain
Ce&% oDen "o "hese addi"ions1 Da"a on "hem shou!d Ge o!!e"ed and "he eHDansion o' "he
!is" ou!d Ge ag&eed in a !a"e& momen"1
Va#idation of the infor%ation
A'"e& s"o&ing omes "he Ca!ida"ion# Ahih shou!d Gegin as !ose "o "he sou&es as DossiG!e#
so "ha" some &ossheBs Ai"h "he D&oCide&s o' in'o&ma"ion a&e DossiG!e
22
1 In "he
Ca!ida"ion# "he Doin"s no" 'u!!% unde&s"ood)&eo&ded G% "he Co&e Team a&e !a&i'ied# an%
&emaining in'o&ma"ion gaD is 'i!!ed and an% disag&eemen" Ai"h "he D&oCide&s o' "he
in'o&ma"ion &ega&ding "he meaning o' "he o!!e"ed da"a is a&e'u!!% &eo&ded1
2-
A gene&a! des&iD"ion o' "hese s"eDs is in ConeD" Fi!e >1-1E Hand!ing and s"o&ing in'o&ma"ion1
2/
JSee ADDendiH -? In'o&ma"ion +ene&a"ion Fo&ma"sK1
22
Fo& "he imDo&"ane o' !oa! Ca!ida"ion o' D&e!imina&% &esu!"s# see ELDIS# -../O Se!ene& et al1# 4333O
,aBson and Ing!es# 433EO Sam&a and Mish&a# 433EO MuBhe&Nee# 433>1 Fo& &e!a"ed in'o&ma"ion# see
In"e&na"iona! DeCe!oDmen" Resea&h Cen"&e# -../1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >/
Pre#i%inary ana#ysis
The Ca!ida"ed da"a is "hen "o Ge o!!a"ed and desB<ana!%sed in a D&e!imina&% Aa%1 I' "he
Da&"iiDan"s haCe done a good NoG o' oding and managing "he in'o&ma"ion as soon as i"
Aas o!!e"ed# muh o' "he o&ganising Ai!! Ge a!&ead% done# Ai"h in'o&ma"ion g&ouDed and
seDa&a"ed1 Some D&e!imina&% s&u"in% ma% haCe a!&ead% Geen aomD!ished G% "he
Da&"iiDan"s "hemse!Ces# e1g1 G% !is"ing# g&ouDing# omDa&ing and s"a"is"ia!!% ana!%sing
2>

"he da"a1 These a&e a!&ead% imDo&"an" s"eDs1 ComDa&ing CieAs and &esDonses an iden"i'%
imDo&"an" di''e&enes o' ideas among "he &e!eCan" a"o&s# Ahi!e Du!!ing "hem "oge"he& an
i!!us"&a"e "he G&ea"h o' suDDo&" 'o& a giCen oD"ion o& "he eH"en" o' soia! ag&eemen" in "he
De&eD"ion o' a D&oG!em1 This D&e!imina&% ana!%sis ma% inCo!Ce iden"i'%ing "&ends#
a!u!a"ing aCe&ages# means# De&en"age o' ansAe&s# o& "he '&e$uen% and dis"&iGu"ion o'
e&"ain Ca!ues1
Ca&e'u! "hough" mus" noA Ge giCen "o hoA "o D&esen" and i!!us"&a"e "he in'o&ma"ion in a
'o&ma" aDD&oD&ia"e 'o& DuG!i &eDo&"ing in "he neH" s"eD o' collective disussion and
!ea&ning1 The&e is no 7neu"&a!8 Aa% o' o&ganising and D&esen"ing in'o&ma"ion# Gu" "he
Co&e Team shou!d assis" "he Da&"iiDan"s "o disuss "he imD!ia"ions o' "he in'o&ma"ion
o!!e"ed a" "he da"a gene&a"ion s"age# so "ha" i" is "he Aho!e g&ouD "ha" engages in "he
mo&e suGs"an"iCe Da&" o' "he ana!%sis Ai"hou" Geing sDoon<'ed i"s mos" imDo&"an" &esu!"s1
ADD&oD&ia"e ommunia"ion 'o&ma"s a&e mos" imDo&"an" and an he!D %ou s"&iBe a Ga!ane
Ge"Aeen "he &ihness o' in'o&ma"ion "o onCe% and "he need "o main"ain "he a""en"ion o'
%ou& audiene Ai"hin a &e!a"iCe!% !imi"ed "ime '&ame1 Des&iGing "he in'o&ma"ion
o!!e"ed in a Cisua! 'o&m a!!oAs i" "o Ge De&eiCed d&ama"ia!!%1 *hen "he&e a&e no
!i"e&a% Ga&&ie&s# A&i""en and)o& g&aDhi summa&ies o' "he &esu!"s an Ge dis"&iGu"ed D&io&
"o "he mee"ings# "o giCe "he Da&"iiDan"s "ime "o D&eDa&e "hemse!Ces and 'o&mu!a"e
$ues"ions1
2>
See Ma&go!uis and Sa!a'sB%# 433E1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >2
Ta*le +@: Example of a frame0or. for or$a#'A'#$ a$ree" $o(er#a#!e pr'#!'plesB !r'er'a a#" '#"'!aors
Prin=i#"e Criteria Indi=ators &o!r=e o> In>ormation *eas!red
base"ine :a"!e
Va"!ed
meas!red at
>irst #"anned
>o""oA-!#
,+ Parti=i#ation
and =onsens!s
orientation
,+, Fair re#resentation
o> interests and
=on=erns
414a NumGe& o' di''e&en" soia! a"o&s
Ai"h memGe&shiD on "he goCe&ning
Godies
Lega! '&ameAo&B o& doumen"
india"ing memGe&shiD1
4141G EHis"ene and use o' mehanisms
"ha" D&omo"e DoAe& sha&ing in
goCe&ning Godies; mee"ings Je1g1 a
&o"a"ing hai&K
In"e&na! &egu!a"ions o'
goCe&ning God% and "&aBing
&eo&d o' mee"ings# minu"es1
4141 Pe&en"age o' mee"ings o' "he
goCe&ning Godies 'o& Ahih "he agenda
Aas deCe!oDed o!!aGo&a"iCe!% Ai"h
Ca&ious one&ned a"o&s
T&aBing &eo&d o' mee"ings#
minu"es o' mee"ings1
4141d EHis"ene and use o'
mehanismJsK G% goCe&ning Godies 'o&
ga"he&ing di&e" in'o&ma"ion '&om
s"aBeho!de&s JesDeia!!% g&ass&oo"s and
ma&gina!iIed g&ouDsK aGou" "hei& oAn
in"e&es"s and one&ns
In"e&na! &egu!a"ions#
doumen"s &eo&ding
onsu!"a"ion eHe&ises# g&ass<
&oo"s D&oDosa!s# "&aBing
&eo&d# minu"es e"1
41- P!b"i=
#arti=i#ation
41-1a NumGe& and &ange o' Da&"iiDan"s
a" PA onsu!"a"ion and deision<maBing
'o&ums
Minu"es# a""endane shee"s and
"&aBing &eo&d1
41-1G LeCe! o' s"aBeho!de& BnoA!edge o'
onsensus D&oesses onCened G%
goCe&ning Godies Je1g1issues "o Ge
disussed# sDei'i ag&eemen"s &eahedK
Pa&"iiDa"o&% eHe&ise Ai"h
'ous g&ouD
41-1 NumGe& and "%Des o' D&o"e"ed
a&ea oDe&a"ions in Ahih !oa!
s"aBeho!de&s D!a% an a"iCe &o!e Je1g1# as
sa!a&ied s"a''# Be% adCiso&s# eCa!ua"o&sK
Doumen"s and minu"es o'
mee"ings 'o& $uan"i"a"iCe da"aO
5enn Diag&am Ai"h 'ous
g&ouDs 'o& De&eD"ions1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >>
Carry o!t t<e #arti=i#atory sit!ation ana"ysis,
%oa" and a=tion ana"ysis
You haCe noA &eahed one o' "he &ihes" and mos" in"ensiCe s"ages o' "he Da&"iiDa"o&%
eCa!ua"ion# du&ing Ahih "he Co&e Team and &e!eCan" a"o&s &e'!e" on?
Aha" "he% haCe !ea&n" aGou" "hei& PA goCe&nane s%s"emO
hoA Ae!! i" is De&'o&ming agains" Be% &i"e&ia and india"o&sO
hoA Ae!! "he% Aou!d !iBe i" "o Ge De&'o&ming agains" "hese &i"e&ia in "he sho&"#
medium and !ong<"e&mO and
Aha" ini"ia"iCes a&e neessa&% 'o& "hem "o ahieCe "hese goCe&nane goa!s1
Figu&e 4 deDi"s a simD!e g&aDhi &eD&esen"a"ion o' hoA "his "%De o' ana!%sis an he!D %ou
"o moCe a&oss "he :gaD; Ge"Aeen "he u&&en" si"ua"ion and hoA %ou Aou!d !iBe "he PA
goCe&nane si"ua"ion "o Ge1
,'$%re +: Grap/'! sr%!%re of a# a!'o# a#al-s's Jmodi'ied '&om +&aham# -../K

SIT(ATION ANALYSIS
*he&e a&e Ae noA0
Legi"ima% T 5oie
Di&e"ion
Pe&'o&mane
Aoun"aGi!i"%
Fai&ness
+OAL ANALYSIS
*he&e Ae Aan" "o Ge0
Legi"ima% T 5oie
Di&e"ion
Pe&'o&mane
Aoun"aGi!i"%
Fai&ness
ACTION ANAL.&I&
HoA do Ae ge" "he&e0
A"iCi"ies# A"o&s# Means
The +aD
HoA do Ae s"a% "he&e0
Sus"ainaGi!i"%
HoA do Ae maBe su&e Ae ge"
"he&e0 ImD!emen"a"ion

Partici$atory Situation and Goa# Ana#ysis
The Da&"iiDa"o&% si"ua"ion ana!%sis D&oCides "he oDDo&"uni"% 'o& "he o!!a"ed da"a "o Ge
sha&ed and ana!%sed G% "he di''e&en" Da&"iiDan"s in a main 'eedGaB mee"ing1 As
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >9
men"ioned aGoCe# a&e'u! "hough" shou!d go in"o hoA "he da"a shou!d Ge D&esen"ed mos"
e''e"iCe!% "o a!!oA 'o& disussion and ana!%sis1 5e&Ga! &eDo&"s a&e "he simD!es" 'o&m o'
ommunia"ion# a&e de!iCe&ed 'ae<"o<'ae and haCe "he adCan"age o' a!!oAing 'o&
immedia"e $ues"ions and 'eedGaB1 The% an Ge disD!a%ed G% a!! so&"s o' Cisua! and
g&aDhi suDDo&"s# Ahih a&e he!D'u! "o omDa&e and on"&as" &esu!"s# i!!umina"e
omD!eHi"% and D&omo"e a &ih disussion1 *&i""en &eDo&"s shou!d aomDan% an% Ce&Ga!
D&esen"a"ion as "he% a&e indisDensaG!e 'o& 'u"u&e &e'e&ene and AidesD&ead sha&ing1

A'"e& "he D&esen"a"ion o' "he &eDo&"s# and a'"e& a "ime 'o& !a&i'ia"ion o' $ues"ions and
ansAe&s# a numGe& o' me"hods and "oo!s an Ge used "o he!D "he &e!eCan" a"o&s "o d&aA
"he neessa&% on!usions aGou" hoA "hei& PA goCe&nane s%s"em is 'un"ioning and "o
iden"i'% Aha" hange and &emedia! a"ion need "o "aBe D!ae1 Me"hods ma% in!ude
G&ains"o&ming# s"&u"u&ed G&ains"o&ming# sma!! g&ouD Ao&B# &anBing and so&ing eHe&ises
and# Ce&% use'u! a" "his Doin" S*OL Js"&eng"hs# AeaBnesses# oDDo&"uni"ies# !imi"a"ionsK
eHe&ises# Ahih a!!oA an in deD"h eHD!o&a"ion o' "he s"&eng"hs# AeaBnesses# oDDo&"uni"ies
and !imi"a"ions o' a giCen asDe" o' PA goCe&nane o& oD"ion "o imD&oCe i"
29
1 The simD!e
omDa&ison o' CieAs he!d G% di''e&en" g&ouDs ma% Ge "he s"a&"ing Doin" o' a good
disussion and "he memGe&s o' "he Co&e Team ma% enou&age "his G% asBing some
ons"&u"iCe $ues"ions1
TaG!e = des&iGes "he ana!%"ia! D&oess Ahe&eG% "he Da&"iiDan"s in "he eCa!ua"ion d&aA
on!usions as "o "he s"&eng"hs and AeaBnesses o' "he eHis"ing goCe&nane s%s"em Ai"h
&esDe" "o Be% goCe&nane &i"e&ia and india"o&s1 Co!!e"iCe!%# "he Da&"iiDan"s "hen ag&ee
Aha" imD&oCemen"s "he% Aou!d !iBe "o see in "hei& goCe&nane s%s"em i1e1 Ahe&e "he%
Aou!d !iBe "o Ge in "e&ms o' "hese same &i"e&ia and india"o&s in "he sho&"# medium and
!ong<"e&m1 Fo& ins"ane# i' "he D&iniD!e o' 7Da&"iiDa"ion8 has Geen se!e"ed as imDo&"an"
and i' "he 7'ai& &eD&esen"a"ion o' in"e&es"s and one&ns8 has Geen &e<a''i&med as a
&i"e&ion# "hen one o' "he sho&"<"e&m goa!s "o Ge Du&sued G% "he PA goCe&nane s%s"em
ou!d Ge 7a" !eas" >.U o' mee"ings o' "he goCe&ning Godies deCe!oD an agenda
o!!aGo&a"iCe!% Ai"h Ca&ious one&ned a"o&s81 The Da&"iiDan"s "hen iden"i'% india"o&s
and :Aa&ning '!ags; as Da&" o' a 'u"u&e moni"o&ing D!an "o he!D "hem assess Ahe"he& "hese
imD&oCemen"s a&e haDDening in D&a"ie1 A 7Aa&ning '!ag8 'o& "his Da&"iu!a& eHamD!e
migh" Ge 7a se&ies o' / o& mo&e mee"ings o' "he goCe&ning Godies in Ahih no i"em in "he
agenda had Geen disussed o& ag&eed uDon Ai"h &e!eCan" soia! a"o&s81
Ta*le ++1
PARTICIPATOR6 SITUATION ANAL6SIS a#" GOAL ANAL6SIS
TA&' 'ey I!estionF
statements
*et<odo"o%i=a" too"s 'ey res!"ts
ReDo&" on D&e!imina&%
&esu!"s o' india"o&
ana!%sis
P!ease &eDo&" on "he &esu!"s
o' "he D&io&i"% india"o&s
%ou haCe assessed and on
"he me"hods %ou haCe used
in "he assessmen"1
*o&BshoD ga"he&ing a!! "he
Be% &e!eCan" a"o&s1 The
ones Aho Ae&e in ha&ge
o' assessing "he D&io&i"%
india"o&s &eDo&" on "hei&
ComDosi"e Gase!ine
da"ase" 'o& "he ag&eed
Be% goCe&nane
india"o&s 'o& "he PA a"
s"aBe
29
5a&ious me"hods "o ag&ee on a ommon ou&se o' a"ion an Ge 'ound in Bo&&ini<Fe%e&aGend e" a!1# -...1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >@
&esu!"s1 The o"he&s o''e&
ommen"s and $ues"ions1
Iden"i'ia"ion o'
S"&eng"hs o'
goCe&nane s%s"em
Ai"h &esDe" "o Be%
&i"e&ia and india"o&s
*ha" do %ou aDD&eia"e
aGou" %ou& u&&en" PA
goCe&nane s%s"em Ai"h
&esDe" "o sDei'i
goCe&nane &i"e&ia0
*ha" a&e i"s Doin"s o'
s"&eng"h0 *ha" a&e i"s main
ahieCemen"s0 *ha"
oDDo&"uni"ies does i"
D&esen"0
B&ains"o&ming o&
s"&u"u&ed G&ains"o&ming in
a Ao&BshoD se""ing JS*OT
ana!%sisK and es"ima"ion o'
"&ends
Lis" o' De&eiCed
s"&eng"hs and
ahieCemen"s o' "he
u&&en" PA goCe&nane
s%s"em Ai"h &esDe" "o
sDei'i goCe&nane
&i"e&ia
Iden"i'ia"ion o'
*eaBnesses o'
goCe&nane s%s"em
Ai"h &esDe" "o Be%
&i"e&ia and india"o&s
*ha" a&e "he AeaBnesses
o' "he goCe&nane s%s"em
so 'a&0 *ha" has i" no"
ahieCed o& has i" 'ai!ed "o
ahieCe0
A&e "he&e "h&ea"s Ae shou!d
Ge aAa&e o'0
Lis" o' De&eiCed
AeaBnesses and
D&oG!ems o' u&&en"
s%s"em# and "h&ea"s "o
i"# Ai"h &esDe" "o
sDei'i goCe&nane
&i"e&ia1
Iden"i'ia"ion o' goa!s
'o& imD&oCing "he
goCe&nane s%s"em
Ai"h &esDe" "o "hese
&i"e&ia
HoA Aou!d %ou !iBe "he
PA goCe&nane s%s"em "o
Ge De&'o&ming Ai"h &esDe"
"o Be% &i"e&ia0
*ha" a&e %ou& goa!s 'o&
imD&oCing "he s%s"em in
"he sho&"# medium and
!ong<"e&m0
5isioning eHe&ises1
B&ains"o&ming o& s"&u"u&a!
G&ains"o&ming# as aGoCe
Lis" o' sho&"# medium#
and !ong "e&m goa!s
'o& imD&oCing "he PA
goCe&nane s%s"em
Iden"i'ia"ion o'
india"o&s and Aa&ning
'!ags "o assess D&og&ess
"oAa&ds "hese goa!s1
Fo& eah one o' "he
iden"i'ied goa!s# Aha"
india"o&s shou!d Ae
moni"o& "o unde&s"and
Ahe"he& Ae a&e maBing
D&og&ess0
*ha" ou!d in'o&m us "ha"
Ae a&e in dange& o' no"
&eahing "he goa!s a" a!!0
P!ena&% disussion o'
se!e"ed goa!s#
G&ains"o&ming and Noin"
ana!%sis o' india"o&s and
7Aa&ning '!ags81
Lis" o' sDei'i
india"o&s and
7Aa&ning '!ags8 'o& "he
goa!s iden"i'ied
Partici$atory Action Ana#ysis
PA goCe&nane eCa!ua"ion is no" a one<"ime da"a o!!e"ion eHe&ise Ai"h no D&a"ia!
onse$uene1 I" is &i"ia! "ha" "he soia! a"o&s Aho a&&ied ou" "he eCa!ua"ion a!so
iden"i'% some &e!eCan" o&&e"iCe a"ion "o enaG!e "hem "o ahieCe "hei& goa!s 'o&
imD&oCing goCe&nane in "he sho&"# medium and !ong<"e&m# as Ae!! as "o &emain inCo!Ced
in "he 'o!!oA<uD1 TaG!e = shoAs hoA "he Da&"iiDa"o&% a"ion ana!%sis an Ge unde&"aBen
Ai"hin "he same Ao&BshoD se""ing as "he Da&"iiDa"o&% si"ua"ion and goa! ana!%sis1 Among
"he on!usions d&aAn G% "he g&ouD du&ing "he Da&"iiDa"o&% si"ua"ion ana!%sis Ai!! Ge
D&oG!ems Ai"h one o& mo&e asDe"s o' goCe&nane# in Da&"iu!a& unsa"is'a"o&%
De&'o&mane Ai"h &esDe" "o one o& mo&e &i"e&ia &e'e&&ing "o "he Gasi D&iniD!es o' good
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >E
goCe&nane1 The imDo&"an" e!emen" is "ha" Ahen a D&oG!em is iden"i'ied "he &e!eCan"
a"o&s a&e a!so engaged in D&oDosing and disussing so!u"ions1 A" "imes "hese 7iden"i'ied
D&oG!ems8 need "o Ge ana!%sed in some deD"h# DossiG!% G% some sma!! g&ouDs o' &e!eCan"
a"o&s# o&# i' "he ma""e&s inCo!Ced a&e Ce&% suGs"an"ia!# G% ad<ho Ao&Bing ommissions1
The D&odu" sough" '&om suh Ao&Bing g&ouDs) ommissions Aou!d Ge sDei'i
&eommenda"ions 'o& 'easiG!e &emedia! a"ions1
I" is no" eas% "o deCise Aa%s "o imD&oCe a goCe&nane s%s"em1 Ini"ia"iCes shou!d in!ude?
HoA "o suDDo&" and main"ain "he eHis"ing Dosi"iCe ondi"ionsO
HoA "o "aBe adCan"ages o' oDDo&"uni"ies "ha" a&e D&esen"O
HoA "o imD&oCe Aha" needs "o Ge imD&oCedO
HoA "o aCe&" o& de'end agains" "he "h&ea"s "ha" a&e D&esen"1
Some oD"ions 'o& a"ion "ha" Ae&e "&ied ou" in &ea! 'ie!d si"ua"ions a&e o!!e"ed in AnneH
21 O"he& ideas an Ge 'ound in "he gene&a! !i"e&a"u&e
2@
1 Di''e&en" oD"ions 'o& a"ion shou!d
Ge omDa&ed "o one ano"he& and a hoie among "hem shou!d Ge made on "he Gasis o'
sDei'i eHDe"a"ions and &i"e&ia Jsee AnneH -K1 Some D&oDosed ini"ia"iCes Ai!! Ge simD!e
"o aeD" and imD!emen" Je1g1 Geing oDen "o sugges"ions in deCe!oDing "he agenda o'
mee"ings o' "he goCe&ning Godies# di''using "he no"es o' "hose mee"ings# e"1K Gu" o"he&s
Ai!! &e$ui&e a sDei'i and mo&e !eng"h% 'o!!oA<uD Je1g1# hanges in !oa! &u!es o' aess
"o &esou&es# Gudge"a&% a!!oa"ionsK1 EHDe&iene sugges"s "ha" an aDD&oD&ia"e numGe& o'
'!eHiG!e# 7Di!o"8# in&emen"a!<hange ini"ia"iCes in "he sDi&i" o' adaD"iCe managemen" a&e
D&e'e&aG!e oCe& G&oad# sAeeDing and un"es"ed hanges1
The memGe&s o' "he Co&e Team a&e !iBe!% "o haCe "hei& oAn in"e&D&e"a"ion o' "he o!!e"ed
in'o&ma"ion and "hei& oAn 'aCou&i"e oD"ions 'o& a"ion1 The% ma% Aish "o o''e& "hem 'o&
onside&a"ion Gu" i" is imDo&"an" "o &e'&ain '&om Geing oCe&DoAe&ing# as a g&ea"e& sense o'
oAne&shiD# &esDonsiGi!i"% and aoun"aGi!i"% Ai!! Ge 'os"e&ed Ahen "he DeoD!e Aho an
e''e" hange a&e "he ones Aho iden"i'% i" as neessa&%1 I' "he Da&"iiDan"s o' "he mee"ing
'ai! "o men"ion some"hing "ha" "he memGe&s o' "he Co&e Team Ge!ieCe i" is imDo&"an"# "he%
an a!Aa%s Dose some sDei'i $ues"ions and in"&odue "he &e!eCan" ideas1
One "he ini"ia"iCes haCe Geen D&e!imina&i!% iden"i'ied and ag&eed uDon# "he Da&"iiDan"s
in "he eCa!ua"ion shou!d deCe!oD a D&oDosed "ime '&ame and assign "he &esDonsiGi!i"ies 'o&
a&&%ing ou" "he &e!eCan" a"iCi"ies1 Ag&eemen" shou!d Ge &eahed on Ahih india"o&s
"he% Ai!! BeeD moni"o&ing "o measu&e D&og&ess and eHa"!% Ahen "his Ai!! haDDen1 I'
some in'o&ma"ion gaDs s"i!! eHis"# "hese shou!d Ge no"ed and 'i!!ed in du&ing "he 'o!!oA<uD
"o "he eCa!ua"ion1
Ta*le +21
2@
See# 'o& eHamD!e# Bo&&ini<Fe%e&aGend# 433@ and Sha"e&# -...1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ >3
TA&'3 PARTICIPATOR. ACTION ANAL.&I&
TA&' 'ey I!estionsF statements *et<odo"o%i=a" too"s E?#e=ted res!"ts
Iden"i'ia"ion o'
ini"ia"iCes "o enaG!e
PA s%s"em "o
aomD!ish i"s goa!s
'o& imD&oCing
goCe&nane Ai"h
&esDe" "o Be% &i"e&ia
*ha" do Ae need "o do "o ahieCe
"he PA goCe&nane imD&oCemen"
goa!s Ae haCe iden"i'ied0 *ha"
hanges sha!! Ae maBe in "he
u&&en" s%s"em and Aha" hanges
sha!! Ae D&omo"e in i"s su&&ounding
7on"eH"80 A&e "he&e sDei'i
oDDo&"uni"ies Ae an "aBe adCan"age
o'0 A&e "he&e oGs"a!es# !imi"a"ions#
"h&ea"s Ae need "o Ge aAa&e o'0
SDei'ia!!%# Aho shou!d do Aha"0
*i"h Aha" means0 B% Ahen0 *ha"
ondi"ions needs "o Ge D&esen" 'o&
us "o sueed0
*o&B in sma!! g&ouDs#
'o!!oAed G%
D&esen"a"ions and
$ues"ions)ansAe&s)
disussion) adNus"men"
o' D!ans1
ComDa&a"iCe ana!%ses o'
oD"ions 'o& a"ion and
s%n"hesis in"o a !is" o'
D&io&i"% ini"ia"iCes1
A !is" o' D&io&i"%
ini"ia"iCes#
sDei'%ing Aho Ai!!
do Aha"# Ai"h Aha"
means# G% Ahen# in
o&de& "o ahieCe "he
ag&eed goCe&nane
goa!s1
SDei'ia"ion o' "he
india"o&s and
Aa&ning '!ags "o Ge
moni"o&ed "h&ough
"ime1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9.
Phase ---. TA7-NG ACT-ON and *EARN-NG 34 DO-NG
-%$#e%ent the initiati!es to i%$ro!e o!ernance
The Da&"iiDa"o&% eCa!ua"ion is a !ong<"e&m ommi"men" "o imD&oCing "he goCe&nane o'
"he D&o"e"ed a&ea o' %ou& one&n1 I" is &i"ia! "ha"# 'o!!oAing "he &eDo&"ing and
!ea&ning)D!anning s"eDs %ou imD!emen" "he ag&eed oD"ions 'o& a"ion1 Fo& "ha"# "he
sDei'i means Jadminis"&a"iCe# 'inania! and !ogis"ia!K "o imD!emen" hange and "he
&e!eCan" &esDonsiGi!i"ies shou!d Ge !ea&!% iden"i'ied D&io& "o "he end o' "he Da&"iiDa"o&%
eCa!ua"ion mee"ings1 This is one o' "he mos" de!ia"e and imDo&"an" "asBs "o Ge 'o!!oAed
G% "he Co&e Team and i" ou!d Ge unde&!ined G% some e&emon% o& Aide& ommunia"ion
eCen"1 I' aDD&oD&ia"e# du&ing "he !as" mee"ing o' "he eCa!ua"ion D&oess some Nou&na!is"s#
ommunia"ion o''iia!s '&om goCe&nmen" agenies# N+Os# and !oa! au"ho&i"ies and
o&ganiIa"ions ou!d Ge inCi"ed1 The Be% a"o&s Aho Da&"iiDa"ed in "he eCa!ua"ion ou!d
D&esen" "o "he inCi"ed gues"s Aha" has Geen !ea&n" du&ing "he eCa!ua"ion and "he main
&eso!u"ions "aBen "o &emed% "he iden"i'ied D&oG!ems1 As aDD&oD&ia"e# mee"ings in mo&e
D&iCa"e se""ings an Ge a!so o&ganised Ai"h Be% hange agen"s suh as Minis"e&s and
dono&s1 The&e an a!so Ge D&ess &e!eases aomDanied G% G&ohu&es# DamDh!e"s# and
audioCisua!s1 The &e!eCan" &eDo&"s ou!d a!so Ge Dos"ed on "he In"e&ne"1
8onitor $roress throuh ti%e and #earn by doin
$onitoring progress on initiatives through time
A &i"ia! asDe" in aomD!ishing "he o!!e"iCe!% ag&eed goCe&nane goa!s Ai!! Ge "he
moni"o&ing o' "he iden"i'ied india"o&s and Aa&ning '!ags# so "ha" D&og&ess "oAa&ds "he
eHDe"ed and desi&ed hanges an Ge assessed "hough "ime1 Du&ing "he iden"i'ia"ion o'
"he india"o&s and '!ags# ag&eemen"s shou!d Ge made as "o Aho Ai!! Ge &esDonsiG!e 'o&
Ahih 'o!!oA<uD a"iCi"%# Ai"h Ahih 'unds and !ogis"ia! suDDo&" e"1 See TaG!e =
E$ua!!% imDo&"an"# "he goCe&nane india"o&s iden"i'ied as mos" in"e&es"ing and &eCea!ing
Ai!! need "o Ge moni"o&ed "h&ough "ime1 The Co&e Team ma% haCe deCe!oDed a sense o'
ommi"men" "o "he &esu!"s o' "he eCa!ua"ion and so Ge Ai!!ing "o "aBe on "he &esDonsiGi!i"%
'o& 'o!!oA<uD1 O& "he&e ma% Ge o"he& &e!eCan" a"o&s Aho haCe Co!un"ee&ed o& shoAn "o
haCe sDeia! sBi!!s and omDa&a"iCe adCan"ages 'o& a&&%ing ou" Da&" o' "he moni"o&ing1
,eflecting on evaluation-s overall ob.ectives
Du&ing "he 'ina! A&aD<uD mee"ing# "he Co&e Team shou!d "aBe "his oDDo&"uni"% "o haCe a
de<G&ie'ing aGou" "hei& eHDe&ienes du&ing "he eCa!ua"ion e1g1 Aha" "he% haCe !ea&n" and
hoA i" has a''e"ed "hem e"1 This is a!so "he oDDo&"uni"% 'o& "hem "o &eCisi" "he oCe&a!!
oGNe"iCes o' "he eCa!ua"ion Ahih "he% had iden"i'ied a" "he Geginning o' "he P!anning
and T&aining *o&BshoD1 These oGNe"iCes ma% haCe in!uded "he 'o!!oAing?
!ea&ning aGou" goCe&nane#
!ea&ning hoA "o ondu" a Da&"iiDa"o&% goCe&nane eCa!ua"ion
!ea&ning aGou" hoA "hei& oAn PA goCe&nane s%s"em is De&'o&ming# and
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 94
G&inging aGou" needed hange "o imD&oCe "hei& goCe&nane s%s"em1
The Co&e Team shou!d disuss %ou& De&eD"ions and "hose o' o"he&s JAhih Ai!! haCe
eme&ged du&ing "he di''e&en" Dhases o' "he eCa!ua"ionK "o asses "o Aha" eH"en" "he
eCa!ua"ion has me" "hese oGNe"iCes1 You shou!d iden"i'% "he s"&eng"hs and AeaBnesses o'
"he design hosen and i"s imD!emen"a"ion and %ou shou!d maBe &eommenda"ions 'o&
'u"u&e eCa!ua"ions1 In "his Aa%# %ou a&e !ea&ning G% doing and he!Ding "o on"inua!!%
imD&oCe %ou& goCe&nane eCa!ua"ion1
Improving evaluation effectiveness
*hen iden"i'%ing "he s"&eng"hs and AeaBnesses o' "he eCa!ua"ion# "he Co&e Team ma%
iden"i'% Aa%s "o imD&oCe "he goCe&nane eCa!ua"ion design1 OGCious!%# "he&e is a need "o
main"ain onsis"en% and omDa&aGi!i"% o' "he da"a oCe& "ime Gu" !essons !ea&ned '&om "he
eCa!ua"ion ma% shoA Ge""e& Aa%s in Ahih "o o!!e" "he same in'o&ma"ion1 Suh !essons
ma% in!ude "he need 'o& a D&og&amme o' on"inuous !oA<!eCe! da"a ga"he&ing on some
goCe&nane a"iCi"ies1 EHDe&iene Ai!! haCe shoAn "he imDo&"ane o' Geing aG!e "o aess
in'o&ma"ion aGou" Aha" has Geen haDDening on a da%<"o<da% Gasis Ai"hin "he goCe&nane
s%s"emO 'o& eHamD!e# "he mee"ings and a"iCi"ies o' "he goCe&ning God%1 This Bind o'
in'o&ma"ion is eH"&eme!% imDo&"an" 'o& eCa!ua"ion Du&Doses and is simD!e "o ga"he& on a
dai!% GasisO hoAeCe&# i" is &a&e "ha" a goCe&ning God% a"ua!!% &eo&ds and s"o&es "his
in'o&ma"ion s%s"ema"ia!!%1 A on"inuous "&aBing &eo&d shou!d Ge BeD" o' "he goCe&ning
God%;s mee"ings and a"iCi"ies1 Someone ou!d Ge iden"i'ied as &esDonsiG!e 'o& BeeDing
"&aB in a simD!e "aG!e Jon "he omDu"e& i' DossiG!eK o' in'o&ma"ion suh as numGe& and
'&e$uen% o' mee"ings# "&ends in a""endane# numGe& o' "imes "ha" "he agenda is
deCe!oDed o!!aGo&a"iCe!%# numGe& o' g&ass&oo"s D&oDosa!s "ha" a&e aDD&oCed a" highe&
!eCe!s# De&en"age o' deisions "ha" a&e &eahed G% onsensus e"1 Suh in'o&ma"ion
D&oCides &ih $uan"i"a"iCe da"a aGou" Aha" is haDDening in D&a"ie1 Du&ing "he neH"
eCa!ua"ion# "his $uan"i"a"iCe in'o&ma"ion Aou!d "hen Ge omDa&ed Ai"h "he $ua!i"a"iCe
da"a Ahih measu&es Aha" a"o&s De&eiCe "o Ge haDDening Ai"hin "he goCe&ning Godies1
/in+ing evaluation of governance process and impact
I" is a!so imDo&"an" "o !inB %ou& eCa!ua"ion# Ahih 'oused on goCe&nane D&oess# Ai"h a
managemen" e''e"iCeness eCa!ua"ion# Ahih 'ouses on "he imDa"s o' goCe&nane1
(sua!!% "he eCa!ua"ion o' "he managemen" e''e"iCeness 'o& a D&o"e"ed a&ea is done
seDa&a"e!% '&om an% goCe&nane eCa!ua"ion1 The 'o&me& ma% in!ude india"o&s o'
su&Cei!!ane e''o&"# numGe& o' in'&a"ions# os"s De& numGe&s o' Da"&o!# e"1 These and
o"he& india"o&s o' e''e"iCeness# hoAeCe&# a&e Ce&% !ose!% &e!a"ed "o goCe&nane issues#
and i" maBes g&ea" sense "o eHamine "hem "oge"he&1 ConCe&se!%# some o' "he in'o&ma"ion
&e!a"ed "o "he 'un"ioning o' %ou& goCe&ning s%s"em ma% Ge aCai!aG!e '&om managemen"
e''e"iCeness eCa!ua"ions1 B% omGining "he "Ao "%Des o' in'o&ma"ion %ou an assess
hoA# and "o Aha" deg&ee# "he 'un"ioning o' %ou& goCe&nane s%s"em on"&iGu"es di&e"!%
o& indi&e"!% "o ahieCing "he desi&ed ou"omes J"he managemen" oGNe"iCesK o' "he
D&o"e"ed a&ea o' %ou& one&n1 To D!an an in"eg&a"ed goCe&nane<managemen"
e''e"iCeness eCa!ua"ion# Ae sugges" ho!ding a D!anning session Ai"h "he Be% a"o&s in "he
Ca&ious deDa&"men"s o' "he D&o"e"ed a&ea agen%1 You Ai!! !iBe!% need "o adCoa"e 'o&
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9-
in"e&<deDa&"men"a! o!!aGo&a"ion and "he in"eg&a"ion o' eCa!ua"ion D&og&ammes1 To
s"&eng"hen %ou& ase# onside& D&esen"ing a on&e"e D&oDosa! shoAing hoA "he
moni"o&ing o' omD!emen"a&% india"o&s ou!d Ge a&&ied ou" "oge"he&1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9/
Re>eren=es
AGGo" ,1 and I1 +uiN" J433EK1 Changing views on change. $articipatory approaches to monitoring
the environment1 London# (K# "he In"e&na"iona! Ins"i"u"e 'o& EnCi&onmen" and
DeCe!oDmen" JIIEDK1
AG&ams# P1 J-...K1 OCe&oming OGs"a!es "o ImD!emen"ing Communi"%<Gased Co!!aGo&a"iCe
+oCe&nane o' Na"u&a! Resou&es? "he Case o' "he C!a%o$uo" Sound Cen"&a! Region
Boa&d1 Mas"e&;s "hesis1 5anouCe&# Canada# Simon F&ase& (niCe&si"%1
Au"ho&0 7NunaCu" M Changing "he MaD o' Canada8 J%ea&00K Insigh"s000 M PuG!i Se"o&
Managemen" in Canada# 5o!ume /# NumGe& 21
Ba&"on# T1# +1 Bo&&ini<Fe%e&aGend# A1 de She&Ginin and P1 *a&&en# J433EK ?ur $eople5 ?ur
@esources# I(CN# +!and JSAi"Ie&!andK1 ACai!aG!e a!so in F&enh and SDanish and '&om
h""D?))AAA1iun1o&g)"hemes) sDg)oDo&)oDo&1h"m!
Bo&&ini<Fe%e&aGend# +1# M1 PimGe&"# M1T1 Fa&Ca&# A1 Ko"ha&i and Y1 Rena&d# :haring $owerA
7earning by 3oing in Co<management of Batural @esources throughout the World# IIED
and I(CN)CEESP)CM*+# 'o&"homing J-../K1
Bo&&ini<Fe%e&aGend# +? J-../K# Community Conserved 'reas CCC'sD and Co<managed $rotected
'reas CC2$'sD Atowards eEuitable and effective conservation in the conte%t of global
change# TILCEPA d&a'" &eDo&" "o EPP D&oNe"#
h""D?))AAA1iun1o&g)"hemes)eesD)*BgVg&D)TILCEPA)ommuni"%1h"mWs%n"hesis
Bo&&ini<Fe%e&aGend# +1 J-..-K# 7Indigenous and !oa! ommuni"ies and D&o"e"ed a&eas?
&e"hinBing "he &e!a"ionshiD in"e&CieA Ai"h Ta&i$ Banu&i# Taghi Fa&Ca&# Ken"on Mi!!e&
and Ad&ian Phi!!iDs5 $arks 4- J-K? > M 4>1 +!and JSAi"Ie&!andK# I(CN)*CPA and CEESP#
h""D?))iun1o&g)"hemes)ADa)DuGs)Da&Bs1h"m
Bo&&ini<Fe%e&aGend# +1 and M1 T1 Fa&Ca& J-..4K1 $articipatory *valuation of the $articipatory
2anagement of the 4alapagos 2arine @eserve C*cuadorD. "1 'ugust F 5 :eptember
&--"1 Mission ReDo&"1 I(CN Commission on EnCi&onmen"a!# Eonomi and Soia!
Po!i%1
Bo&&ini<Fe%e&aGend# +1# M1T1 Fa&Ca&# ,1C1 Nguingui&i and 51 Ndangang J-...K1 Co<management
of Batural @esources. ?rganising5 Begotiating and 7earning by 3oing# +TX and I(CN#
KasDa&eB 5e&!ag# Heide!Ge&g J+e&man%K1 A!so aCai!aG!e in SDanish and F&enh1
h""D?))n&m1masse%1a1nI)hange!inBs)mn&1h"m!
Bo&&ini<Fe%e&aGend# +1 Jed1K# J433@K1 9eyond !ences. :eeking :ocial :ustainability in
Conservation# +!and JSAi"Ie&!andK# I(CN1 *eGsi"e?
h""D?))AAA1iun1o&g)"hemes)sDg)Ge%ondV'enes)Ge%ondV'enes1h"m!
B&iggs# D1# Tan"&am# D1 and P1 So"" J4339K1 (mproving information for management and decision
making in national parks. +he report of the $(2: development project. No&"hamD"on#
(K# Nene Cen"&e 'o& Resea&h# Nene Co!!ege o' Highe& Edua"ion1
B&uh1 C1 and S1 King J-..-K# 7Cons"i"u"iona! D&oedu&a! &igh"s? enhaning iCi! soie"% &o!e in
good goCe&nane8# in B&uh# C1 Jed1K# +he Bew /$ublic0Athe 4lobalisation of $ublic
$articipation# EnCi&onmen"a! LaA Ins"i"u"e# *ashing"on DC1
Cen"&e 'o& Coas"a! Managemen" J433/K1 2onitoring the efficiency and effectiveness of the Wet
+ropics 2anagement $lan1 Lismo&e# The (niCe&si"% o' NeA Eng!and<No&"he&n RiCe&s1
ChamGe&s# R1 J43E/K# @ural 3evelopment. $utting the 7ast !irst# Longman# London1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 92
ChamGe&s# R1 J433-K1 Pa&"iiDa"o&% Ru&a! ADD&aisa!sO Pas"# P&esen" and Fu"u&e1 !orests5 +rees and
$eople Bewsletter 4>)49? DD 2 M 31
ChamGe&s# R1 and Pa&"iiDa"ion +&ouD# Ins"i"u"e o' DeCe!oDmen" S"udies JIDSK J-..-K1 @ela%ed
and $articipatory 'ppraisal. Botes on $ractical 'pproaches and 2ethods for
$articipants in $@'G$7' related !amiliari;ation Workshops1 SusseH# (1K1# IDS
(niCe&si"% o' SusseH# (K1 J!inBed "o? h""D?))AAA1e!dis1o&g)Da&"iiDa"ion)indeH1h"mK
Ci'uen"es# M and A1 IIu&ie"a J4333K1 *valuation of $rotected 'rea 2anagement *ffectiveness.
'nalysis of $rocedures and ?utline for a 2anual1 PaDe& D&eDa&ed 'o& I(CN Managemen"
E''e"iCeness TasB Fo&e mee"ing# The B&oads Au"ho&i"%# (1K1
C!a%o$uo" Sound Cen"&a! Region Boa&d J-...K1 The C!a%o$uo" Sound Cen"&a! Region Boa&d
AeGsi"e? h""D?))AAA1is!and1ne")Y&G)indeH1h"m
Commission o' "he Eu&oDean Communi"ies# J-..4K# *=@?$'. :ummaries of 7egislation
h""D?))eu&oDa1eu1in")sadD!us)!eg)en)indeH .41h"m
Co&ne!!# S1 and ,1 P1 Ka!" J433-K1 @eloading the 3ice. (mproving the Chances for *conomic
3evelopment on 'merican (ndian @eservations5 Ha&Ca&d P&oNe" on Ame&ian Indian
DeCe!oDmen"1 Bos"on# MA1# ,ohn F1 Kenned% Shoo! o' +oCe&nmen"# Ha&Ca&d
(niCe&si"%1
Cou&&au# ,1 J4333K1 :trategy for 2onitoring the 2anagement of $rotected 'reas in Central
'merica. PROARCA)CAPAS D&og&amme# The Na"u&e Conse&Can%1
ELDIS J-../K1 *ldis $articipation @esearch 4uide. $articipatory 2onitoring and *valuation1
h""D?))AAA1e!dis1o&g)Da&"iiDa"ion)Dme)indeH1h"m
Fe""e&man# D1M1# S1 Ka'"a&ian# and A1 *ande&sman# J4339K# *mpowerment *valuation.
Hnowledge and +ools for :elf<assessment and 'ccountability# SA+E# Thousand OaBs#
Ca!i'o&nia J(SAK1
+&aham# ,# B1 Amos and T1 P!umD"&ee# J-../K# 4overnance $rinciples for $rotected 'reas in the
&"
st
Century# Disussion PaDe&# Phase -# Ins"i"u"e on +oCe&nane in o!!aGo&a"ion Ai"h
Pa&Bs Canada and CIDA1
+uiN"# I1 and ,1 +aCen"a# J433EK# (3: $olicy 9riefing "&# Ins"i"u"e o' DeCe!oDmen" S"udies#
B&igh"on J(KK1
He%!ings# P and M1 B&aCo# Jin D&eDK1 +oCe&nane o' "he +a!aDagos Ma&ine Rese&Ce1
ECa!ua"ing hoA o<managemen" is 'un"ioning in a maNo& ma&ine D&o"e"ed a&ea1 To
Ge DuG!ished in ?cean and Coastal 2anagement1
He%!ings# P1 and M1 B&aCo J-...K. :urvival of the !ittest? Challenges !acing the Co<
management 2odel for the 4alapagos 2arine @eserve. Co<Managemen" NeAs# Issue >1
-..41 I(CN1
He%!ings# P1 and F1 C&uI J433EK. Common $roperty5 Conflict and $articipatory 2anagement in
the 4alapagos (slands# P&oeedings o' C&ossing Bounda&ies# "he seCen"h annua!
on'e&ene o' "he In"e&na"iona! Assoia"ion 'o& "he S"ud% o' Common P&oDe&"%#
5anouCe&# B&i"ish Co!umGia# Canada# ,une 4.<421
HoBings# M1# S"o!"on# S1 and N1 Dud!e% J-...K1 *valuating *ffectiveness. ' !ramework for
'ssessing the 2anagement of $rotected 'reas. +!and# SAi"Ie&!and and CamG&idge# (K1#
I(CN1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9>
Ins"i"u"e o' DeCe!oDmen" S"udies JIDSK J-../K1 $articipation >ome $age# Pa&"iiDa"ion +&ouD#
IDS# (niCe&si"% o' SusseH# (1K1 h""D?))AAA1ids1a1uB)ids)Da&"iiD)
Ins"i"u"e on +oCe&nane J-..-K1 4overnance $rinciples for $rotected 'reas in the &"
st
Century1
Disussion DaDe& 'o& Pa&Bs Canada1 O""aAa# Canada1
In"e&na"iona! DeCe!oDmen" Resea&h Cen"&e JIDRCK# J-../K Communi"% Based Na"u&a! Resou&e
Managemen" Soia! Siene Resou&e Ki"#
h""D?))AAA1id&1a)Gn&m)doumen"s)DuG!ia"ions)5o!/Main1h"m
In"e&na"iona! Ins"i"u"e o' Ru&a! Reons"&u"ion JIIRRK J4339K1 @ecording and =sing (ndigenous
Hnowledge. ' 2anual5 see section I>ow to draw a sample)5 Phi!iDDines# IIRR?
h""D?))AAA1Danasia1o&g1sg)ii&&)iBmanua!)samD!e1h"m
,aBson# *1 ,1# and A1 *1 Ing!es J433EK1 $articipatory +echniEues for Community !orestry. '
!ield 2anual. +!and# SAi"Ie&!and T CamG&idge# (1K1 I(CN and *o&!d *ide Fund 'o&
Na"u&e1
Ma&go!uis# R1 and N1 Sa!a'sB% J433EK1 2easures of :uccess. 3esigning5 2anaging and
2onitoring Conservation and 3evelopment $rojects1 *ashing"on# D1C1# Is!and P&ess1
MuBhe&Nee# N1 J433>K1 $articipatory @ural 'ppraisal and Juestionnaire :urvey. Comparative
!ield *%perience and 2ethodology (nnovations1 NeA De!hi# ConeD" PuG1 Co1
MusBAa<KehiBa Managemen" A&ea J-..-K1 The MusBAa<KehiBa Managemen" A&ea AeGsi"e?
http.GGwww.muskwa<kechika.comGhome.html
Os"&om# E1 J433.K1 4overning the Commons. +he *volution of (nstitutions for Collective 'ction.
London# (1K1# CamG&idge (niCe&si"% P&ess1
OCiedo# P1 J4333K1 The +a!aDagos Is!ands? Con'!i" Managemen" in Conse&Ca"ion and Sus"ainaG!e
Resou&e Managemen"# in D1 BuB!es Jed1K Cultivating $eace. Conflict and
Collaboration in Batural @esource 2anagement1 *ashing"on# D1C1# IDRC)*o&!d BanB1
Pa&Bs Canada J-..-aK# unDuG!ished Ao&B G% B1 Amos and ,1 ,ohns"on1
Pa&Bs Canada J-..-GK# Pa&Bs Canada +Aaii Haanas AeGsi"e?
http.GGparkscan.harbour.comGgwaiiGmnge.htm
Pa"haB# N1 and 51 +ou&<B&oome J-..4K1 +ribal :elf<@ule and Batural @esource 2anagement.
Community 9ased Conservation at 2endha<7ekha5 2aharashtra5 (ndia1 Communi"%
Based Conse&Ca"ion in Sou"h Asia? Theme PaDe& No1 31 NeA De!hi# India# Ka!DaC&iBsh
and "he In"e&na"iona! Ins"i"u"e o' EnCi&onmen" and DeCe!oDmen"1
PimGe&"# M1 and T1 *aBe'o&d J-..4K# 7OCe&CieA M de!iGe&a"iCe demo&a% and i"iIen
emDoAe&men"8# in 3eliberative 3emocracy and Citi;en *mpowerment. Pa&"iiDa"o&%
!ea&ning and a"ion JD!aK no"es 2.? -/<-E1 London# (1 K1# In"e&na"iona! Ins"i"u"e 'o&
EnCi&onmen" and DeCe!oDmen"1
h""D?))AAA1iied1o&g)sa&!)D!aVno"es)D!aVGaBissues)de"ai!V/4V2.1h"m!W2.
Ro"hman# ,# J433@K ZA"ion<ECa!ua"ion and Con'!i" Reso!u"ion T&aining? Theo&%# Me"hod and
Case S"ud%#Z (nternational Begotiation# -# DD1 2>4<2@.1
Sam&a# ,1S1# and A1S1 Mish&a Jeds1K J433EK1 $articipatory @ural 'ppraisal for Watershed
2anagement. Case :tudies. NeA De!hi# Cen"&a! Soi! and *a"e& Conse&Ca"ion Resea&h
and T&aining Ins"i"u"e1
San!on# ,1 J-..-K1 P+oCe&nane and P&o"e"ed A&eas? "he 5ision "o Du&Gan# P&esen"a"ion AGs"&a"#
NoCemGe& -..-P
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 99
Ma&B Sha"e&# J-...K# When 'ccountability !ails. ' !ramework for 3iagnosis and 'ction5
AAA1iog1a 1
Se!ene&# D1# Enda&a# N1 and ,1 Ca&CaNa! J4333K1 $articipatory @ural 'ppraisal and $lanning.
Workbook1 Fui"o# Euado&# In"e&na"iona! Ins"i"u"e o' Ru&a! Reons"&u"ion1
Sou'&ie&e Ma&ine Managemen" Assoia"ion J-..-K? Sou'&ie&e Ma&ine Managemen" Assoia"ion
AeGsi"e? h""D?))AAA1smma1o&g1!)"es"u'')"eindeH1h"m
SDa&&oA# M1 J-...K1 +he @egulatory Craft# Couni! 'o& EHe!!ene in +oCe&nmen"# *ashing"on#
D1C1# B&ooBings Ins"i"u"ion P&ess1
S"eenBamD# C1 J-../ unDuG!ishedK1 @estitution of the 2akuleke lands. >egemony5 harmony and
nightmares in a :outh 'frican case study of conservation and transformation.
S"eenBamD# C1 J-..- unDuG!ishedK1 +he intended and the unintended. K3evelopmentK and
KmodernisationK in a Community<9ased Batural @esource 2anagement case study < +he
2akuleke of the Borthern $rovince5 :outh 'frica1
S"einme"I# R1 J-...K1 *cological surveys5 monitoring5 and the involvement of local people in
protected areas of 7ao $.3.@..# ECa!ua"ing Eden Se&ies# Disussion PaDe& No1 4/1
London# (1K1# In"e&na"iona! Ins"i"u"e 'o& EnCi&onmen" and DeCe!oDmen"1
S"i&!ing# A1 J-..4K? In!usiCe De!iGe&a"ion and Sien"i'i EHDe&"ise? P&eau"ion# diCe&si"% and
"&ansDa&en% in "he goCe&nane o' &isB# in 3eliberative 3emocracy and Citi;en
*mpowerment. Pa&"iiDa"o&% !ea&ning and a"ion JD!aK no"es 2.1 London# (1 K1#
In"e&na"iona! Ins"i"u"e 'o& EnCi&onmen" and DeCe!oDmen"1
SAi'"# ,1 J433>K1 D%nami eo!ogia! s%s"ems and "he adminis"&a"ion o' Das"o&a! deCe!oDmen"# in
Soones# I1 Jed1K# 7iving with =ncertainty. Bew 3irections in $astoral 3evelopment in
'frica .London# Eng!and# In"e&media"e Tehno!og% PuG!ia"ions L"d1
Theis# ,1 and H1 M1 +&ad% J4334K1 $articipatory @apid 'ppraisal for Community 3evelopment. '
+raining 2anual 9ased on *%periences in the 2iddle *ast and Borth 'frica1 London#
(1K1# In"e&na"iona! Ins"i"u"e 'o& EnCi&onmen" and DeCe!oDmen"1
T&easu&% Boa&d o' Canada J433-K1 ' :trategic 'pproach to 3eveloping Compliance $olicies5
$arts ( and ((1
(ni"ed Na"ions DeCe!oDmen" P&og&amme J433@K1 4overnance and :ustainable >uman
3evelopment.
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9@
ANNEC +: SUGGESTED INDICATORS ,OR E2ALUATING
PA GO2ERNANCE
*e o''e& Ge!oA some eHamD!es o' 7goCe&nane india"o&s8# !is"ed ao&ding "o "hei& assoia"ed
&i"e&ia and D&iniD!e o' good goCe&nane1 *e s"&ong!% sugges" "ha" %ou do no" DiB and use
&ead%<made india"o&s '&om "he !is" Ge!oA Gu"# &a"he&# d&aA '&om "he !is" ideas "o deCe!oD "he
india"o&s "ha" Ges" sui" %ou& assessmen" needs1 Fo& eHamD!e# %ou ma% Aan" "o eCa!ua"e "he
$ua!i"% and De&'o&mane 7o' one sDei'i managemen" God%8 among seCe&a! "ha" eHis" in "he
goCe&nane s%s"em o' %ou& D&o"e"ed a&ea# o& "he '&e$uen% o' on'!i"s "ha" "ooB D!ae 7Ai"h
&ega&d "o a sDei'i issue8# and so on1
P!ease no"ie "ha" Ae in!ude Ge!oA Go"h $uan"i"a"iCe and $ua!i"a"iCe india"o&s# and "ha" some
india"o&s ma% o''e& in'o&ma"ion on mo&e "han one &i"e&ia o& D&iniD!e1 Fo& $ua!i"a"iCe india"o&s
%ou shou!d es"aG!ish %ou& oAn 7sa!e81 Fo& ins"ane# 'o& 7&ange o' &eD&esen"ed in"e&es"s8 %ou
ma% haCe 7!a&ge8 i' mo&e "han 'iCe a&e &eD&esen"ed# 7medium8 i' '&om "h&ee "o 'iCe and 7!oA8 i'
on!% one o& "Ao di''e&en" in"e&es"s a&e &eD&esen"ed1 Fo& 7!eCe! o' s"aBeho!de& aDD&oCa!8 %ou ma%
haCe a sa!e '&om 7Ce&% Doo&8 "o 7eHe!!en"8 and asB "he s"aBeho!de& &eD&esen"a"iCes "o D&oCide
"hei& Ca!ues1 I" is imDo&"an" "ha" "he sa!e is eHD!ii"# unamGiguous and s"o&ed "oge"he& Ai"h "he
da"a1
*e use "he "e&m 7'&e$uen%8 "o india"e ou&&enes oCe& a sDei'ied "ime and du&ing a giCen
De&iod# e1g1# "he %ea&!% '&e$uen% o' hange o' memGe&shiD in a goCe&ning God% is "he numGe& o'
"imes "he memGe&shiD o' "ha" God% has hanged du&ing "he Das" %ea& o&# i' "he da"a is aCai!aG!e#
"he aCe&age numGe& o' "imes De& %ea& du&ing "he Das" seCe&a! %ea&s1
*e use "he "e&m 7s"aBeho!de&8 "o india"e an% &e!eCan" a"o& in"e&es"ed in haCing a &o!e in "he
goCe&nane o' "he D&o"e"ed a&ea and 7goCe&ning Godies8 "o india"e "he o&ganisa"ions Je1g1 Goa&ds
o' di&e"o&s# onsu!"a"iCe ouni!s# eHeu"iCe ommi""ees and "he !iBeK "ha" deCe!oD "he &e!eCan"
"ehnia! deisions# ag&ee uDon "hem and ensu&e "ha" "he% a&e en'o&ed1 In "his sense "he
7goCe&ning Godies8 omD&ise onsu!"a"iCe Jin'!ueningK# deisions<maBing and eHeu"iCe
o&ganisa"ions1
Indi=ators re"ated to t<e #rin=i#"e o> Le%itima=y and Voi=e
Re#resentation o> staCe<o"der interests3
numGe& o' di''e&en" soia! a"o&s Ai"h memGe&shiD on "he goCe&ning GodiesO
&ange o' in"e&es"s &eD&esen"ed G% "he goCe&ning Godies; memGe&sO
a""endane G% e!e"ed)se!e"ed memGe&s a" goCe&ning Godies; mee"ings JDe&en"age o'
mee"ings a""ended oCe& "he "o"a!KO
!eCe! o' s"aBeho!de&s aDD&oCa! o' "he omDosi"ion o' "he goCe&ning GodiesO
!eCe! o' s"aBeho!de& aDD&oCa! o' "he e!e"ion)se!e"ion D&oesses D&oDe& "o eah goCe&ning
God%O
numGe& o' !aims 'o& "he &igh" o' o"he& s"aBeho!de&s "o Ge memGe&s and D&oDo&"ion
aeD"ed)unaeD"edO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 9E
eHis"ene and use o' mehanismJsK "ha" D&omo"e DoAe& sha&ing among "he s"aBeho!de&s Je1g1 a
&o"a"ing hai& 'o& "he mee"ings o' "he goCe&ning Godies;KO
eHis"ene and !eCe! o' use o' mehanisms "o hand!e sensi"iCe issues and on'!i"s among
goCe&ning Godies; memGe&s Je1g1 media"o& o& omGudsDe&son ag&eed uDon G% a!! memGe&sKO
agendas o' "he mee"ings o' "he goCe&ning Godies deCe!oDed o!!aGo&a"iCe!% Ai"h a Ca&ie"% o'
s"aBeho!de&s JDe&en"age o' mee"ings 'o& Ahih "he agenda Aas deCe!oDed o!!aGo&a"iCe!%O
!eCe! o' s"aBeho!de&s; sa"is'a"ion aGou" "he on"en" o' "he goCe&ning Godies; mee"ings agenda
J"hei& in"e&es"s Geing oCe&edKO
o&igin o' "ehnia! D&oDosa!s disussed a" goCe&ning Godies; mee"ings JDe&en"age o' "ehnia!
D&oDosa!s o&igina"ing '&om "he s"aBeho!de&sKO
!eCe! o' sa"is'a"ion o' "he memGe&s o' "he goCe&ning Godies Ai"h?
41 "hei& oAn aGi!i"% "o on"&iGu"e "o "he mee"ings#
-1 "he $uan"i"% and $ua!i"% o' on"&iGu"ions '&om o"he& memGe&s#
/1 "he goCe&ning God%;s aGi!i"% "o hand!e sensi"iCe issues and on'!i"s among memGe&sO
De&en"age o' "he goCe&ning Godies; mee"ings in !oa"ions "ha" 'aCou& !oa! ons"i"uenies J'o&
ins"ane in &emo"e# &u&a! enCi&onmen"s Ce&sus mee"ings a" Pa&B Head$ua&"e&sKO
eHis"ene and use o' mehanismJsK G% goCe&ning Godies 'o& ga"he&ing di&e" in'o&ma"ion '&om
"he s"aBeho!de&s JesDeia!!% g&ass&oo"s and ma&gina!iIed g&ouDsK aGou" "hei& oAn in"e&es"s and
oDinionsO
eH"en" o' s"aBeho!de& sa"is'a"ion Ai"h "he aGi!i"% o' memGe&s o' goCe&ning Godies "o
&eD&esen" and nego"ia"e "hei& in"e&es"s au&a"e!%# &e!iaG!% and ons"&u"iCe!%O
numGe& o' on'!i"s Ge"Aeen "he memGe&s o' "he goCe&ning Godies and "he ons"i"uenies "he%
&eD&esen"O
numGe& o' !aims and no"es deDosi"ed $ues"ioning "he !egi"ima% o' a memGe&)&eD&esen"a"iCe1
Parti=i#ation o> staCe<o"ders3
eHis"ene and !eCe! o' a"iCe engagemen"s o' o&ganiIa"ions and &eD&esen"a"iCes aDaG!e o'
onCe%ing "he s"aBeho!de&s; CieAs# in"e&es"s and one&nsO
numGe& and &ange o' s"aBeho!de&s unde&s"anding "he PA onsu!"a"ion and deision<maBing
D&oesses and aG!e "o Da&"iiDa"e in "hemO
DuG!i a""endane a" "he &egu!a& mee"ings o' "he goCe&ning Godies Ji' a!!oAedKO
DuG!i a""endane a" "he oDen onsu!"a"iCe mee"ings a!!ed G% "he goCe&ning GodiesO
numGe& o' in"e&na! D&e<nego"ia"ion mee"ings ini"ia"ed G% s"aBeho!de&s "hemse!CesO
aDD&eia"ion o' !oa! BnoA!edge G% "he goCe&ning Godies J'&e$uen" o& &a&e onsu!"a"ion and
use0KO
'&e$uen% and "%De o' Da&"iiDa"ion o' s"aBeho!de&s in "he design# gene&a"ion# ana!%sis and
&eDo&"ing o' "ehnia! in'o&ma"ionO
amoun" and "%De o' s"aBeho!de&s; &esou&es ommi""ed "o Da&"iiDa"ing in and main"aining "he
goCe&ning Godies; o!!aGo&a"iCe D&oesses Je1g1 "he s"aBeho!de& &eD&esen"a"iCe is suDDo&"ed G%
i"s oAn ons"i"uen% "o "&aCe! "o "he mee"ingKO
deg&ee o' s"aBeho!de& sa"is'a"ion Ai"h "hei& aGi!i"% "o Da&"iiDa"e in onsu!"a"ion and deision<
maBing 'o&umsO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 93
!eng"h o' "ime s"aBeho!de& g&ouDs)o&ganiIa"ions haCe main"ained &e!a"ionshiDs Ai"h "he
goCe&ning GodiesO
numGe& o' s"aBeho!de&s inCo!Ced in goCe&ning Godies; "&aining D&og&ammes and a"iCi"ies
Je1g1# !eade&shiD "&aining# eCa!ua"ion o' managemen" a"iCi"iesKO
numGe& and "%Des o' D&o"e"ed a&ea oDe&a"ions in Ahih !oa! s"aBeho!de&s D!a% an a"iCe &o!e
Je1g1# as sa!a&ied s"a''# Be% adCiso&s# eCa!ua"o&sK1
Commitment to m!"ti-#arty #ro=esses3
eHis"ene and '&e$uen% o' 'o&a 'o& DuG!i inDu" on goCe&ning Godies; Do!iies and oDe&a"ionsO
eHis"ene and '&e$uen% o' &eDo&"s di''used G% "he goCe&ning Godies "oAa&ds "hei&
ons"i"uenies a" !a&geO
eHis"ene and use o' an JuDda"edK s"aBeho!de& ana!%sisO
eHis"ene and "%De o' sDei'i Da&"ne&shiDs 'o&ged G% goCe&ning Godies Ai"h s"aBeho!de&s Je1g1
'inania! inen"iCes D&oCided "o "&adi"iona!# enCi&onmen"a!!%<'&iend!% D&odu"ion
"ehno!ogiesK O
eH"en" o' goCe&ning Godies; suDDo&" "o o!!aGo&a"iCe D&oesses in "he 'o&m o'?
41 "ime deCo"ed "o D!anning# imD!emen"a"ion and eCa!ua"ion#
-1 'inania! &esou&es#
/1 "&aining ini"ia"iCes oDen "o non<PA s"a''#
21 ma"e&ia! &esou&es#
>1 s"a'' "ime "o &e!a"e Ai"h s"aBeho!de&s1
eHis"ene and use o' mehanismJsK De&mi""ing addi"iona! s"aBeho!de&s o& a"o&s "o Ge inCo!Ced
in sDei'i deision and Do!i%<maBing D&oesses# i' neessa&%1
&!bsidiarity3
"he&e eHis" a nes"ed s%s"em o' goCe&nane 'o& "he na"iona! PA s%s"em 'o&eseeing di''e&en"
deisions "o Ge "aBen a" di''e&en" !eCe!sO
"he aGoCe s%s"em shoAs a "enden% "o deen"&a!ise) de!ega"e) deCo!Ce deisions as aDai"ies
a&ue a" !oAe& !eCe! &a"he& "han en"&a!ise and &e"ain DoAe&O
!oa! s"aBeho!de& es"ima"e "o Ge aG!e "o in'!uene "he PA deisions "ha" one&n "hem "hough
aDD&oD&ia"e 'o&a and ins"i"u"ions1
C<e=Cs and ba"an=es?
EHis"ene o' ases in Ahih iCi! soie"% g&ouDs and "he indeDenden" media haCe oDen!%
$ues"ioned "he PA Do!i"ia! !eade&s and manage&s1
EHis"ene o' ases in Ahih iCi! soie"% g&ouDs and "he indeDenden" media haCe managed "o
modi'% &u!es o& deisions a'"e& haCing oDen!% $ues"ioned "he PA Do!i"ia! !eade&s and
manage&s1
&!##ort to staCe<o"ders; or%anizationa" =a#a=ity3
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @.
numGe&s o' !oa! o&ganiIa"ions &eeiCing o&ganisa"iona! suDDo&" Je1g1 'unding# "&ainingK '&om
"he PA goCe&ning GodiesO
eH"en" o' suDDo&" '&om goCe&ning Godies "o s"aBeho!de& o&ganiIa"ions in "he 'o&m o'?
41 'inania! &esou&es#
-1 "&aining#
/1 ma"e&ia! &esou&es#
21 "ehnia! assis"ane Je1g1# seonded o& dedia"ed s"a''KO
deg&ee o' s"aBeho!de& sa"is'a"ion Ai"h "he suDDo&" &eeiCed '&om goCe&ning GodiesO
eHis"ene and use o' mehanismJsK deCe!oDed and &un G% s"aBeho!de&s "o D&omo"e "hei&
in"e&na! ommunia"ion# onsu!"a"ion and o&ganising on issues "o Ge nego"ia"ed# on deisions
Nus" "aBen# e"1 O
"&end o' s"aBeho!de& aDai"% "o in'!uene PA deision<maBing Je1g1 "&ends in De&en"age o'
deisions "he s"aBeho!de& haCe e''e"iCe!% in'!uenedK1
Variety o> instit!tions3
Lega! &eogni"ion o' Ca&ious 'o&ms o' PAs as Da&" o' "he na"iona! PA s%s"em# in!uding
Communi"% Conse&Ced A&eas Je1g1 "he Aus"&a!ia;s Indigenous P&o"e"ed A&easK# P&iCa"e PAs#
Co<managed PAs1
The goCe&nmen" and soie"% in gene&a! D&oCide suDDo&" "o Ca&ious 'o&ms o' onse&Ca"ion
Ai"hin a na"iona! s%s"emi s"&a"egi aDD&oah1 1
Res#onsi:eness to #oAer s<arin%3
eHis"ene o' PA goCe&ning Godies using onsensus deision<maBing D&oessesO
numGe& and "%De o' PA goCe&ning Godies "ha" haCe a Do!i% and)o& !ega! &e$ui&emen" "o use
onsensus deision<maBing D&oessesO
numGe& and &ange o' s"aBeho!de&s e''e"iCe!% inCo!Ced in designing "he PA goCe&ning Godies
and "hei& manda"eO
eHis"ene o' !ega! '&ameAo&B &eogniIing s"aBeho!de& &igh"s "o Da&"iiDa"e in Do!i% and
deision<maBing D&oessesO
eHis"ene o' o&ganiIed g&ouDs &eD&esen"ing s"aBeho!de& in"e&es"sO
eHis"ene o' sDei'i deisions and ag&eemen"s in Ahih "he s"aBeho!de&s; inDu" !ed "o "he
e''e"iCe deen"&a!isa"ion# de!ega"ion o& deCo!u"ion o' goCe&ning DoAe&sO
De&en"age o' s"aBeho!de&<ini"ia"ed D&oDosa!s 'u&"he& nego"ia"ed and "&ans!a"ed in"o !ega!!%<
Ginding managemen" &egu!a"ionsO
!eCe! o' s"aBeho!de& sa"is'a"ion Ai"h DoAe& sha&ing G% goCe&ning Godies Je1g1# De&eD"ion "ha"
"he% an e''e"iCe!% in'!uene PA<&e!eCan" deisionsK1
!eCe! o' s"aBeho!de& sa"is'a"ion Ai"h DoAe& sha&ing G% goCe&ning Godies Je1g1# g&ass&oo"s
De&eiCe "ha" managemen" &egu!a"ions a&e Gased on "hei& D&oDosa!sK1
E>>e=ti:e =onsens!s #ro=esses3
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @4
eHis"ene o' !ea& PA goa!s and oGNe"iCes ag&eed G% onsensus G% a!! s"aBeho!de&sO
De&en"age o' deisions ag&eed uDon G% onsensus Ce&sus deisions ag&eed uDon G% Co"eO
eHis"ene and use o' !ea& D&oedu&es "o guide "he goCe&ning Godies in onsensus deision<
maBing D&oesses JAho is "o Da&"iiDa"eO Ai"h Aha" s"a"us Re1g1# Da&"iiDan"# oGse&Ce&#
'ai!i"a"o&SO Ai"h Aha" &esDonsiGi!i"iesO hoA issues a&e "o Ge disussedO hoA oD"ions a&e "o Ge
deCe!oDedO hoA deisions a&e "o Ge suGmi""ed 'o& aDD&oCa!# modi'ied# ag&eed uDonO e"1KO
e''e"iCe use o' inen"iCes "o &eah onsensus on Ca&ious deisions JDo!i% and D&a"ieKO
eHis"ene and '&e$uen% o' in"&a< and in"e&<s"aBeho!de& D&e<nego"ia"ion mee"ingsO
eHis"ene and use o' aDD&oD&ia"e suDDo&" Jma"e&ia! and 'inania! &esou&es# dedia"ed s"a'' and
"&ainingO aommoda"ion o' D&oedu&esK "oAa&ds e''e"iCe and in'o&med deision<maBing
D&oesses Je1g1 adCane dis"&iGu"ion o' doumen"s and guide!ines# in Da&"iu!a& !ea&!%
&eDo&"ing D&oDosa!s and &eommenda"ionsO aDD&oD&ia"e "iming o' mee"ingsO "ime!% D&oCision
o' "ehnia! inDu"sO in'o&ma"ion# "&aining in nego"ia"ion and on'!i" managemen" sBi!!s# e"1KO
D&esene o' sBi!!ed 'ai!i"a"o&s Aho neCe& en"e& in"o "he suGNe" ma""e&s o' disussion and !imi"
"hemse!Ces "o 'ai!i"a"ing ommunia"ion and "he deCe!oDmen" o' ag&eemen"s in "he PA
goCe&ning Godies?
!eCe! o' s"aBeho!de& BnoA!edge o' onsensus D&oesses as aDD!ied in "he mee"ings onCened
G% goCe&ning Godies Je1g1# BnoA!edge o' onsensusMseeBing D&iniD!es and D&a"ies# "he
issues "o Ge disussed# "he sDei'i ag&eemen"s &eahedK1
deg&ee "o Ahih in'o&ma"ion D&oCided a" mee"ings is De&eiCed G% s"aBeho!de&s as Ga!aned
and imDa&"ia!O
deg&ee o' Da&"iiDan" sa"is'a"ion Ai"h "he goCe&ning Godies; onsensus D&oesses1
Credibi"ity3
De&en"age o' goCe&ning Godies; ag&eemen"s Je1g1# Do!i% deisions# &u!e maBingK honou&ed G%
D&o"e"ed a&ea manage&s and o"he& s"aBeho!de&sO
deg&ee "o Ahih ag&eemen"s a&e De&eiCed G% s"aBeho!de&s as Geing honou&edO
De&en"age o' goCe&ning Godies; ag&eemen"s imD!emen"ed G% a!! "he &esDonsiG!e Da&"iesO
De&en"age o' goCe&ning Godies; ag&eemen"s &eNe"ed G% s"aBeho!de&s JDossiG!% eCen a'"e& an
ini"ia! aDD&oCa! G% "hei& &eD&esen"a"iCe# i' an%# in "he goCe&ning GodiesKO
eH"en" o' s"aBeho!de&s; &esou&es ommi""ed "o suDDo&"ing and imD!emen"ing goCe&ning
Godies; deisions and &u!esO
numGe& o' !and and &esou&e use on'!i"s &eso!Ced using "he goCe&ning Godies; oAn on'!i"
&eso!u"ion mehanismsO
deg&ee "o Ahih s"aBeho!de&s De&eiCe "ha" goCe&ning Godies; D&oesses a&e 'ai& and e''e"iCe?
deg&ee "o Ahih s"aBeho!de&s De&eiCe "ha" goCe&ning Godies; D&oesses a&e Gene'iia! "o "hei&
se"o&O
numGe& o' PA goCe&ning Godies; mee"ings o& a"iCi"ies Go%o""ed o& dis&uD"ed G% omD!ain"s
&ega&ding "he !egi"ima% o' "he goCe&ning D&oesses) a"ionsO
numGe& o' a""emD"s "o &emoCe e&"ain s"aBeho!de&s '&om goCe&ning Godies o& dis&edi" "hei&
inDu"sO
"&ends in numGe& o' on'&on"a"iona! s"&a"egies emD!o%ed G% s"aBeho!de&sO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @-
De&en"age o' s"aBeho!de&s; on'&on"a"iona! s"&a"egies "ha" managed "o hange "he deisions
D&eCious!% made G% "he PA goCe&ning GodiesO
deg&ee "o Ahih s"aBeho!de&s De&eiCe "ha" "he% haCe ahieCed in&eased in'!uene oCe& "he
PA goCe&ning Godies; deision<maBing D&oesses "h&ough o!!aGo&a"ion as oDDosed "o
on'&on"a"ionO
deg&ee "o Ahih s"aBeho!de&s De&eiCe "ha" "he deision<maBing G% "he PA goCe&ning Godies is
undu!% in'!uened G% eH"e&na! 'o&es Je1g1 G% Do!i"iians# "he D&iCa"e se"o&# dono&s#
in"e&na"iona! !oGG%ing# e"1KO
De&en"age o' s"aBeho!de&s sa"is'ied Ai"h "he goCe&ning Godies; aGi!i"% "o honou&
ommi"men"sO
e''e"iCe e''o&"s made "o eHD!ain "o "he &e!eCan" s"aBeho!de&s hoA and Ah% e&"ain
ommi"men"s haCe no"# o& no" %e"# Geen honou&edO
De&en"age o' s"aBeho!de&s sa"is'ied Ai"h "he goCe&ning Godies; dis"&iGu"ion o' "he os"s and
Gene'i"s '&om "he D&o"e"ed a&ea1
Contin!ity in *embers<i# o> t<e Go:ernin% Bodies3
'&e$uen% o' hange in "he memGe&shiD o' "he goCe&ning GodiesO
eHis"ene and use o' o&ien"a"ion mehanisms 'o& "he neA memGe&s o' "he goCe&ning GodiesO
numGe& o' D&io& ag&eemen"s &eonside&ed and &ean"ed G% neA memGe&sO
numGe& o' mee"ings "ha" needed "o &e<add&ess issues Nus" 'o& "he saBe o' one o& mo&e neA
memGe&JsK in "he goCe&ning Godies1
Indi=ators re"ated to t<e #rin=i#"e o> A==o!ntabi"ity
A##ro#riate Ro"es and Res#onsibi"ities3
eH"en" "o Ahih "he &o!es and &esDonsiGi!i"ies ag&eed "o Ge he!d G% "he goCe&ning Godies and
s"aBeho!de&s a&e Geing a&&ied ou" and honou&edO
sa"is'a"ion o' s"aBeho!de&s aGou" "he 'easiGi!i"%# 'ai&ness and aDD&oD&ia"eness o' "he &o!es and
&esDonsiGi!i"ies assigned "o "hem1
C"arity o> Ro"es and Res#onsibi"ities3
eHis"ene o' doumen"s Je1g1# on"&a"s# memo&anda o' unde&s"anding# !aAs# manda"esK
!ea&!% es"aG!ishing "he &igh"s# en"i"!emen"s# &o!es# &esDonsiGi!i"ies# au"ho&i"% and
aoun"aGi!i"ies o' goCe&ning Godies;# "hei& memGe&s and s"aBeho!de&s a" !a&ge in "he
goCe&nane o' "he D&o"e"ed a&eaO
deg&ee o' &eogni"ion and unde&s"anding among "he goCe&ning Godies; memGe&s and
s"aBeho!de&s &ega&ding "hei& &igh"s# en"i"!emen"s# &o!es# &esDonsiGi!i"ies# au"ho&i"% and
aoun"aGi!i"ies 'o& goCe&ning "he D&o"e"ed a&ea# in!uding onse&Ca"ion and sus"ainaG!e use
issues Je1g1# eHa" "iming and !eCe!s o' a!!oAed uses o' &esou&es# sha&ing o' "ou&ism
&eCenues# e"1K# and D&oesses issues Je1g1# in on'!i" &eso!u"ion 'o& a# in "he mee"ings o' "he
goCe&ning GodiesKO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @/
deg&ee o' o&&esDondene Ge"Aeen "he &o!es and &esDonsiGi!i"ies he!d G% "he goCe&ning Godies
and s"aBeho!de&s as De&eiCed G% eah memGe& o& s"aBeho!de& and as &eo&ded in o''iia!
doumen"s O
eHis"ene o' and adhe&ene "o &u!es o' oDe&a"ion 'o& "he goCe&ning Godies; in"e&na! D&oesses1
E>>e=ti:e Re#ortin% &ystem3
eHis"ene and use o' mehanismJsK 'o& &eDo&"ing on PA managemen" oDe&a"ions and a"iCi"ies
and in'o&ming "he DuG!i a" !a&geO
!eCe! o' sa"is'a"ion o' "he PA oCe&seeing God% Ai"h "he $ua!i"% and "ime!iness o' &eDo&"s
suGmi""edO
deg&ee o' DuG!i o& s"aBeho!de& sa"is'a"ion Ai"h "he &ange and "%De o' in'o&ma"ion
ommunia"ed G% "he PA goCe&ning Godies1

G!aranteed A==ess to In>ormation3
eHis"ene and use o' !aAs)&egu!a"ions gua&an"eeing aess "o in'o&ma"ion aGou" "he
'un"ioning and &esu!"s o' "he PA goCe&ning GodiesO
!eCe! o' s"aBeho!de& sa"is'a"ion Ai"h "he $ua!i"% o' "he aessiG!e in'o&ma"ion# and in
Da&"iu!a& Ai"h i"s?
41 "ime!iness#
-1 &e!eCan%#
/1 omD&ehensiCeness#
21 au&a%#
>1 &e!iaGi!i"%1
eH"en" o' inCes"men" G% goCe&ning Godies "o maBe "ehnia! in'o&ma"ion aessiG!e "o a!!
s"aBeho!de&sO
eHis"ene and use o' mehanismJsK "o ensu&e "ha" a!! a"o&s &eeiCe in'o&ma"ion in "ime# e1g1#
"ehnia! &eDo&"s# in'o&ma"ion aGou" 'o&"homing issues "o Ge hand!edO
De&en"age o' "ehnia! &eDo&"s o& issue)GaBg&ound DaDe&s D&esen"ed a" mee"ings "ha" Ae&e
dis"&iGu"ed D&eCious!%O
eH"en" o' use o' "ehnia! in'o&ma"ion Je1g1 $uo"a"ions '&om sDeia!ised Nou&na!sK G%
s"aBeho!de&s) goCe&ning God% memGe&s in "hei& D&oDosa!s and a&gumen"sO
unde&s"anding among s"aBeho!de&s aGou" "he goCe&ning Godies; manda"e# on"a"s and
ons"i"u"ion# e1g1 "he &u!es on "he numGe&# se!e"ion and &eD!aemen" o' goCe&ning o&
managemen" God% memGe&sO
unde&s"anding among s"aBeho!de&s &ega&ding "he dis"&iGu"ion o' "he PA os"s and Gene'i"sO
eHis"ene and '&e$uen% o' omD!ain"s aGou" Doo& aess "o in'o&ma"ion1
P!b"i= Con=ern and )emand3
oDen disussion o' PA<&e!a"ed issues Ai"hin iCi! soie"% and)o& "he mediaO
demands 'o& enhaned aoun"aGi!i"% '&om "he D&o"e"ed a&ea;s goCe&ning Godies Coied G%
s"aBeho!de&s and "he media1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @2
Per>orman=e E:a"!ation3
eHis"ene and use o' an ongoing Da&"iiDa"o&% PA eCa!ua"ion D&og&amme Je1g1 'o& goCe&nane
o& 'o& managemen" e''e"iCenessKO
deg&ee "o Ahih s"aBeho!de&s a&e inCo!Ced in "he eCa!ua"ion Je1g1 in i"s design# in'o&ma"ion
gene&a"ion# ana!%sis# Ca!ida"ion# D&esen"a"ion# and o&&e"iCe a"ionKO
eHis"ene and use o' De&'o&mane eCa!ua"ion ini"ia"iCes 'o& "he memGe&s o' goCe&ning GodiesO
eHis"ene o' !ea& eCa!ua"ion &i"e&ia and D&oedu&es Jin!uding 'eedGaBK 'o& "he De&'o&mane
assessmen" o' PA s"a''O
!eng"h o' "ime "he De&'o&mane eCa!ua"ion D&og&amme haCe Geen oDe&a"ingO
eH"en" o' Dosi"iCe o&&e"iCe a"ions "aBen as a &esu!" o' De&'o&mane eCa!ua"ionsO
"%Des and use o' me"hods 'o& sha&ing in'o&ma"ion on eCa!ua"ion &esu!"s Ai"h s"aBeho!de&s1
Inde#endent Instit!tions >or A==o!ntabi"ity3
eHis"ene o' indeDenden" DuG!i ins"i"u"ions o' aoun"aGi!i"% Je1g1 a God% in ha&ge o'
suDe&Cising "he 'inania! aoun"s o' "he PA eHeu"iCe GodiesKO
eHis"ene o' &eDo&"s in!uding &eommenda"ions and oDe&a"ing o&de&s '&om "hese ins"i"u"ionsO
demons"&a"ed 'o!!oA<uD "o suh &eDo&"s on "he Da&" o' "he PA goCe&ning Godies1
ReAards and &an=tions+
EHis"ene o' on&e"e and aDD&oD&ia"e &eAa&ds and san"ions "o omDensa"e good o& neg!igen"
a"ion G% "he PA goCe&ning Godies# s"a'' and use&s?
(se o' eHis"ing &eAa&ds and san"ions in onsis"en" Aa%s &esDonding "o 'ai& assessmen" o'
GehaCiou& and me" o& unme" &esDonsiGi!i"ies1
Indi=ators re"ated to t<e #rin=i#"e o> Per>orman=e
Ca#a=ity3
eHis"ene o' an e''e"iCe design and oCe&a!! D!an 'o& "he PA Je1g1 in "e&ms o' &e!eCan"
GioDh%sia! and u!"u&a! 'ea"u&esKO
eHis"ene and use o' s"&a"egi D!anning D&oessO
eHis"ene o' aDD&oD&ia"e PA in'&as"&u"u&eO
eHis"ene and use o' on'!i" &eso!u"ion mehanisms 'o& "he PA goCe&ning GodiesO
o&&esDondene Ge"Aeen gua&an"eed mu!"i<%ea& PA 'unding and D!anned oDe&a"iona! Gudge"O
De&en"age o' annua! Gudge" a!!oa"ed "o 'iHed os"s Jsa!a&ies# Gene'i"s# &en"sK Ce&susoDe&a"ing
os"s Jommunia"ions and u"i!i"ies# suDD!ies and e$uiDmen"# "&aCe! eHDenses# mu!"i<Da&"%
D&oesses# suDDo&" "o managemen"# suDDo&" "o s"aBeho!de&s# &eCenue gene&a"ing ini"ia"iCes#
and o"he& a"iCi"iesKO
De&en"age o' annua! &eCenue ea&ned di&e"!% G% "he PA '&om 'ees# !ienses# se&Cies#g&an"s
'&om ou"side Godies# in<Bind on"&iGu"ions# e"1O
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @>
eHis"ene and use o' &e&ui"men" D&oedu&es 'o& "he goCe&ning Godies; memGe&s and "he PA
s"a''O
!eCe! o' s"aBeho!de& sa"is'a"ion Ai"h "hose D&oedu&esO
use o' ou"side eHDe&"ise G% goCe&ning Godies "o 'i!! gaDs in in'o&ma"ion and sBi!!sO
use o' De&'o&mane eCa!ua"ion 'o& PA s"a'' Jin!uding manage&sK1
Pro%ramme )esi%n3
eH"en" o' &e!a"iCe a""en"ion and &esou&es D&oCided G% goCe&ning Godies "o &esea&h#
inCen"o&ies# D!anning# ou"&eah# en'o&emen"# moni"o&ing# eCa!ua"ion and D&oG!em<so!Cing
a"iCi"iesO
eHis"ene o' "ime!% and e''e"iCe deisions "aBen G% "he PA goCe&ning Godies in &esDonse "o
neA in'o&ma"ion Je1g1 s"aBeho!de& onsu!"a"ions# moni"o&ing da"a# neA enCi&onmen"a!
haIa&ds# soio<eonomi D&oG!emsK1
eHis"ene o' managemen" a"iCi"ies "ha" &esDond and sa"is'% a" "he same "ime onse&Ca"ion
oGNe"iCes and oGNe"iCes &e!a"ed "o sus"ainaG!e !iCe!ihoods and o"he& soia! Ca!ues and goa!s1
Co-ordination3
eHis"ene o' Noin" ini"ia"iCes Ge"Aeen "he PA and o"he& Godies a" &egiona! and na"iona! !eCe!
Je1g1 &oss<Go&de& ini"ia"iCes# D&oNe"s Ai"h D&iCa"e Gusinesses and ommuni"% o&ganiIa"ions#
in"e&<se"o&a! dia!ogue Ai"h 'o&es"&%# mining# hea!"h# emD!o%men"# "ou&ism# 'ishe&ies agenies#
e"1KO
eHis"ene and use o' an ins"i"u"iona! ana!%sis eHamining "he omDa"iGi!i"% o' %ou& goCe&ning
Godies; D&oess Ai"h o"he& D&oesses and ag&eemen"s a" !oa!# na"iona! and in"e&na"iona! !eCe!s
Jin!uding in"e&na"iona! onCen"ionsKO
'&e$uen% o' goCe&ning Godies; deisions suDDo&"ed# oCe&&u!ed o& on"&adi"ed G% o"he&
Godies a" !oAe& o& highe& !eCe! o& Ai"h oCe&!aDDing Nu&isdi"ionsO
!eCe! o' s"aBeho!de&s sa"is'a"ion Ai"h "he PA goCe&ning Godies; aGi!i"% "o oo&dina"e
e''e"iCe!% Ai"h o"he& &e!eCan" a"o&s1
Cost E>>e=ti:eness and E>>i=ien=y3
os" omDa&isons 'o& simi!a& a"iCi"ies as a&&ied ou" G% o"he& D&o"e"ed a&easO
eHDe&" e&"i'ia"ion o' "he e''e"iCeness and e''iien% o' PA sDen" &esou&esO
"&ends in "ime neessa&% G% "he PA goCe&ning Godies "o &eah ag&eemen" on on"&oCe&sia!
deisionsO
eHis"ene and use o' se!'<'inaning mehanisms "o oCe& os"s o' deision<maBing D&oesses1
"&ends in in'&a"ions o' PA &u!es and &egu!a"ionsO
eHis"ene and use o' inen"iCes "o D&omo"e e''iien% and "ime!% en'o&emen" o' deisionsO
De&en"age o' Gudge"a&% eHDendi"u&es dedia"ed "o en'o&emen" os"s1
Attainment o> *ana%ement ObBe=ti:es3
eHis"ene and use o' a De&'o&mane eCa!ua"ion D&oedu&es 'o& "he PA goCe&ning GodiesO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @9
deg&ee "o Ahih a!! e!emen"s o' goCe&ning Godies; D!ans a&e !ea&!% and !ogia!!% !inBed "o "he
PA onse&Ca"ion oGNe"iCesO
deg&ee o' imD!emen"a"ion o' "he goCe&ning Godies; D!anned a"iCi"ies# e1g1 'o&?
innoCa"iCe Do!iies Je1g1# 'o& s"aBeho!de& Da&"iiDa"ion# in"eg&a"ion o' onCen"iona! siene
and "&adi"iona! eo!ogia! BnoA!edgeK
imD&oCing in'&as"&u"u&e and human &esou&es
&eCenue gene&a"ion Je1g1# '&om ga"e 'ees# hun"ing and oDe&a"o& !iensesK
&e!eCan" Da&"ne&shiDs Je1g1# Ai"h &esou&e use& ommuni"ies# D&iCa"e Gusinesses# !oa!
au"ho&i"iesK#
soia! ommunia"ion Je1g1# di''using and disussing neA &egu!a"ionsK
en'o&emen" Je1g1# o' &u!es 'o& Cisi"o& GehaCiou&# omme&ia! deCe!oDmen"# eH"&a"iCe use
o' &esou&esK1
Per>orman=e In>ormation to t<e P!b"i=3
amoun" and Ca&ie"% o' in'o&ma"ion on "he De&'o&mane o' goCe&ning Godies aessiG!e "o a!!
s"aBeho!de&sO
!eCe! o' use G% "he PA goCe&ning Godies o' soia! ommunia"ions ini"ia"iCes# 'o& eHamD!e "o
dissemina"e &esu!"s o' mee"ingsO
!eCe! o' s"aBeho!de& sa"is'a"ion Ai"h "he amoun" and $ua!i"% o' in'o&ma"ion D&oCided G%
goCe&ning Godies on a!! asDe"s o' "hei& De&'o&mane1
eHis"ene and e''e"iCe oDe&a"ion o' &eDo&"ing mehanisms 'o& ho!ding deision<maBe&s
aoun"aG!e1
Res#onsi:eness3
De&en"age o' omD!ain"s and DuG!i &i"iism o' goCe&ning Godies; deisions and oDe&a"ions
e''e"iCe!% ansAe&ed and add&essedO
numGe& o' hanges "he goCe&ning Godies made in &esDonse "o needs o& eHDe"a"ions eHD&essed
G% s"aBeho!de&s Je1g1# &ega&ding &u!es o' aess "o &esou&es# ha&Ces"ing $uo"as# emD!o%men"
oDDo&"uni"ies# onsu!"a"ion in Do!i% and deision<maBing D&oessesKO
!eCe! o' s"aBeho!de& o& DuG!i sa"is'a"ion Ai"h "he PA goCe&ning Godies; aDai"% "o hange in
&esDonse "o $ues"ions and &i"iismsO
numGe& o' un&eso!Ced omD!ain"s aGou" "he oDe&a"ion and deisions o' goCe&ning Godies1
Interna" E:a"!ations3
use o' &egu!a& in"e&na! PA managemen" eCa!ua"ions and goCe&nane eCa!ua"ionsO
eHis"ene and use o' mehanisms ensu&ing "ha" "he &esu!"s o' in"e&na! eCa!ua"ions a&e D&oDe&!%
"aBen in"o aoun"O
hanges "o D!ans# D&og&ammes o& deisions Gased on &esu!"s '&om goCe&ning Godies; in"e&na!
eCa!ua"ions1
Rob!stness and Resi"ien=e3
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @@
numGe& o' %ea&s "he goCe&ning Godies o' "he D&o"e"ed a&ea haCe Geen in 'un"ionO
eHis"ene o' a !ega! Gase 'o& eah D&o"e"ed a&ea goCe&ning God% and)o& Be% o&ganiIa"ion in
"he goCe&nane s%s"emO
hanges "o !aA o& Do!i% "ha" s"&eng"hened one o& mo&e o' "he goCe&ning Godies JeHis"ene o'
suh hanges and e''o&"s sDen" G% "he PA s"aBeho!de&s in "ha"KO
eH"en" o' D&oG!ems &ea"ed G% !egis!a"ion o& &egu!a"ions D&eCen"ing "he goCe&ning Godies '&om
ahieCing "hei& oGNe"iCesO
numGe& and "%De o' "h&ea"s and hanges Ai"hin "he oDe&a"ing enCi&onmen" "ha" "he goCe&ning
Godies haCe Geen aG!e "o endu&e Je1g1# hanges in e!e"o&a! s%s"ems# Do!i"ia! saGo"age#
eonomi inen"iCes Ao&Bing as onse&Ca"ion disinen"iCes# d&oD in 'inania! suDDo&"KO
eHis"ene and use o' &isB managemen" s"&a"eg% "o 'ae maNo& "h&ea"sO
ins"anes o' &ema&BaG!e '!eHiGi!i"% o' goCe&ning Godies Je1g1 demons"&a"ions o' Geing aG!e "o
eHDe&imen" and adoD" noCe! so!u"ionsKO
eH"en" o' "h&ea"s e''e"iCe!% dea!" Ai"h G% "he PA goCe&ning GodiesO
numGe& and na"u&e o' &eCisions "o "he goCe&ning Godies; &isB managemen" s"&a"eg% Gased on
!essons !ea&ned '&om dea!ing Ai"h "h&ea"sO
!eCe! o' deDendene o' goCe&ning Godies on ou"side eHDe&"ise Je1g1# 'o& oo&dina"ion#
deCe!oDmen" o' "ehnia! D&oDosa!sKO
numGe& o' "imes s"aBeho!de&s haCe "aBen di&e" &esDonsiGi!i"% 'o& o&ganiIing 'o&ma! and
in'o&ma! mee"ings o' goCe&ning GodiesO
deg&ee "o Ahih s"aBeho!de&s De&eiCe "ha" main"aining "he 'un"ioning o' "he PA goCe&ning
Godies is a Noin" &esDonsiGi!i"%1
E>>e=ti:e Ad:o=a=y and O!trea=<3
a"iCe in"e&a"ion Ge"Aeen "he PA goCe&ning Godies and 8ou"side a!!ies8, in!uding suDDo&"e&s
Ai"hin highe& goCe&ning Godies# Aho an assis" in mee"ing "he goCe&ning Godies; oGNe"iCesO
De&en"age o' suess o' goCe&ning Godies; !oGG%ing e''o&"s Je1g1# numGe& o' 'aCou&aG!e
deisions ou" o' a!! deisions De&"aining "o %ou& D&o"e"ed a&ea "aBen G% o"he& en"i"ies Ahih
"he goCe&ning Godies had sough" "o in'!uene "h&ough Ca&ious aCenues and meansKO
(nde&s"anding o' imDo&"an" asDe"s o' "he PA goCe&nane si"ua"ion de"e"ed as a di&e" &esu!"
o' ou"&eah a"iCi"ies1
Po"i=y Learnin%3
ins"anes Ahe&eG% "he PA goCe&ning Godies in"eg&a"e !essons !ea&ned '&om eHDe&ienes in"o
"hei& Do!i% deCe!oDmen"O
use o' in'o&ma"ion sha&ing and eHhange Cisi"s "o D&omo"e !ea&ningO
numGe& o' hanges "o goCe&ning Godies; Do!iies eHD!ii"!% Gased on !essons !ea&ned1
Indi=ators re"ated to t<e #rin=i#"e o> Fairness
)e=en=y
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @E
Ins"anes and &eDo&"s o' DeoD!e Jin!uding "&ansg&esso&s o' PA &u!esK Geen "&ea"ed ha&sh!%#
humi!ia"ed o& eHDosed in &ue! and u!"u&a!!% unusua! Aa%s1
ComD!ain"s G% human &igh"s o&ganisa"ions Je1g1 Geause o' 'o&ed o& unomDensa"ed
&ese""!emen" o' PA &esiden"s1
R!"e o> LaA3
EHis"ene and aessiGi!i"% o' A&i""en &u!es and &egu!a"ions 'o& "he PA1
ComD!ain"s aGou" soia! dis&imina"ion in "he hea&ing and Nudgemen"s &e!a"ed "o "he PA &u!es
and &egu!a"ions1
S"a"is"ia! ana!%ses o' PA &u!e o''ende&s and &e!a"ed san"ions
EHis"ene o' aDDea! mehanism 'o& "he "&ansg&esso&s o' "he PA &u!es and &egu!a"ions1
&<ared de=ision maCin%3
EHis"ene o' onsu!"a"ion and nego"ia"ion 'o& a a" Ca&ious e!Ce!s Ahe&e PA<&e!eCan" deisions
an Ge disussed# shaDed and onsen"ed uDon G% a Ca&ie"% o' one&ned soia! a"o&s and G%
indigenous and !oa! ommuni"ies in Da&"iu!a&1
F&e$uen% o' u"i!isa"ion o' suh mehanisms
ComD!ain"s aGou" "he ondu"ion) 'ai!i"a"ion o' suh mehanisms
Sa"is'a"ion o' Ca&ious &e!eCan" a"o&s aGu" "hose mehanisms
Fair mana%ement o> =on>"i=ts and #ast inB!sti=es
EHis"ene o' 'ai& aCenues 'o& "he managemen" PA<&e!eCan" on'!i"# as muh as DossiG!e
ino&Do&a"ing !oa!# "&adi"iona! means and ins"i"u"ions
EHis"ene o' aCenues o' non dis&imina"o&% &eou&se "o Nus"ie in ase o' 'ai!u&e o'
D&e!imina&% 'o&ms o' &eoni!ia"ion1
EHis"ene o' due D&oesses 'o& &eogniIing and dea!ing Ai"h Das" inNus"ies &esu!"ing '&om "he
es"aG!ishmen" o' PAs
The &e!eCan" a"o&s a&e sa"is'ied Ai"h "he Aa% Das" inNus"ies haCe Geen &ed&essed1
O##ort!nities3
s"aBeho!de&s &eeiCe &esou&e and)o& !and Gene'i"s "o omDensa"e "hei& PA<&e!a"ed os"s Je1g1
'ishing $uo"as# hun"ing !ienses# guiding onessions# Gui!ding De&mi"s# aess and !and use
ag&eemen"sKO
De&en"age o' PA &eCenues di&e"!% a&uing "o en"i"!ed s"aBeho!de&sO
numGe& o' onse&Ca"ion and deCe!oDmen" ini"ia"iCes !aunhed and)o& main"ained G% en"i"!ed
s"aBeho!de& g&ouDs Ai"h "he goCe&ning Godies; suDDo&" Je1g1 D&oNe"s 'o& diCe&si'ia"ion o'
inome# "&ee<D!an"ing# "&aining o' D&ima&% hea!"h D&a"i"ione&sKO
amoun" o' 'unding and in<Bind on"&iGu"ions D&oCided G% "he PA goCe&ning Godies "o suDDo&"
s"aBeho!de&s; onse&Ca"ion and deCe!oDmen" ini"ia"iCesO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ @3
numGe& o' goCe&ning Godies; memGe&s and PA s"a''# Dosi"ions he!d G% !oa! and indigenous
DeoD!eO
eH"en" o' !oa! ou"<mig&a"ion due "o &edued aess "o na"iona! &esou&es and o"he&s
onse&Ca"ion<&e!a"ed D&og&ammes1
Non-dis=rimination and =onsisten=y3
D&oDo&"ion o' PA goCe&ning Godies; memGe&s and PA s"a'' Dosi"ions he!d G% Aomen and
unde&<D&iCi!eged g&ouDsO
ins"anes o' D&oDosa!s D&esen"ed G% Jo& 'o&K Aomen and unde&<D&iCi!eged g&ouDs "o add&ess
"hei& one&nsO
D&oDo&"ion o' PA goCe&ning Godies; mee"ing agendas de"e&mined o!!aGo&a"iCe!% Ai"h
Aomen;s and unde&<D&iCi!eged g&ouDs; o&ganiIa"ionsO
numGe& o' Aomen and unde&<D&iCi!eged g&ouDs &eeiCing PA goCe&ning Godies; D&og&amme
suDDo&" o& &esou&e en"i"!emen"sO
eH"en" and na"u&e o' suDDo&" J'inania! &esou&es# "&aining# ma"e&ia!# "ehnia! assis"aneK
assigned G% PA goCe&ning Godies "o Aomen and unde&<D&iCi!eged g&ouDs "o imD&oCe "hei&
Da&"iiDa"ion in Do!i% and deision<maBing 'o&umsO
hanges in !aAs# on"&a"s# &egu!a"ions o& &u!es "o in!ude non<dis&imina"ion !auses#
measu&es and D&og&ammesO
eHis"ene o' '&eedom o' assoia"ion and gua&an"eed '&eedom o' sDeehO
!ega! &eogni"ion o' o!!e"iCe &igh"s and &esDonsiGi!i"ies o' indigenous and !oa! ommuni"ies
in ag&eemen" Ai"h "hei& us"oma&% !aA
deg&ee o' sa"is'a"ion '&om Aomen and unde&<D&iCi!eged g&ouDs aGou" "he PA :s non<
dis&imina"ion D&og&ammes and ini"ia"iCes# "he Ga!aned &eD&esen"a"ion o' soia! in"e&es"s in
"he goCe&ning Godies and "he oCe&a!! sha&e o' os"s and Gene'i"s de&iCing '&om "he PAO
)istrib!tiona" EI!ity3
eHis"ene and use o' &egu!a"o&% '&ameAo&B de'ining D&oDe&"% and aess &igh"s "o D&o"e"ed
a&ea &esou&esO
men"ioning o' :e$ui"%; as one o' "he goCe&ning Godies; o&e Ca!uesO
eHis"ane o' sDei'i mehanisms Je1g1 'ees# 'ines# &eCenue dis"&iGu"ion# sDei'i &esou&e
en"i"!emen"s# $uo"as# &u!esK1"o omDensa"e 'o& PA<&e!a"ed os"s inu&&ed G% s"aBeho!de&sO
deg&ee o' s"aBeho!de& sa"is'a"ion Ai"h "he goCe&ning Godies; dis"&iGu"ion o' "he os"s and
Gene'i"s o' "he D&o"e"ed a&ea
R!"e o> LaA3
eHis"ene o' A&i""en PA &u!es and &egu!a"ion# easi!% aessiG!e "o a!!O
deg&ee "o Ahih &e!eCan" a"o&s Jin!uding human &igh"s g&ouDsK De&eiCe "he PA goCe&ning
Godies a&e e$ui"aG!% aDD!%ing "he &u!e o' !aAO
omDa&a"iCe numGe& o' &eD&essiCe and Duni"iCe a"ions "aBen G% "he PA goCe&ning Godies
Ai"h &esDe" "o "he same numGe& and "%De o' in'&a"ion G% di''e&en" s"aBeho!de&s1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E.
Inte%rity in &ta>> *ana%ement3
o&&esDondene Ge"Aeen &eAa&ds giCen "o goCe&ning Godies; memGe&s and PA s"a'' and
De&'o&mane eCa!ua"ion &esu!"sO
ins"anes o' D&o"es"s 'o& un'ai& "&ea"men" o' s"a''1
Indi=ators re"ated to t<e #rin=i#"e o> )ire=tion
Leaders<i#3
eH"en" o' innoCa"ion ini"ia"ed and suDDo&"ed G% "he PA goCe&ning Godies Je1g1# neA
Da&"ne&shiD ag&eemen"s# "&ans<Gounda&% nego"ia"ions# maNo& ou"&eah eCen"sKO
eH"en" o' s"aBeho!de&<ini"ia"ed innoCa"ions suDDo&"ed G% "he PA goCe&ning GodiesO
eHis"ene o' sDei'i ini"ia"iCes and mehanisms Je1g1# sDei'i s"udies and &esea&h
ini"ia"iCes# soia! ommunia"ion# adaD"iCe managemen" ini"ia"iCesK "ha" demons"&a"e "he
a"iCe Jand no" on!% &ea"iCeK &o!e o' "he PA goCe&ning Godies Ai"h &esDe" "o on<going
soia!# eonomi and eo!ogia! ha!!enges1
Co""aborati:e Learnin%3
eHis"ene and use o' in"e&na! &u!es o' oDe&a"ion 'o& goCe&ning Godies "ha" D&omo"e
o!!aGo&a"iCe !ea&ningO
eHis"ene o' D&og&ammes "o D&omo"e &oss<'e&"i!iIa"ion and !essons !ea&ned in goCe&nane o'
D&o"e"ed a&eas# e1g1 &egiona! in'o&ma"ion sha&ing# in"e&na"iona! eHhanges# !inBages Ai"h
G&oade& ins"i"u"ions)o&ganiIa"ionsO
numGe& and na"u&e o' !ea&ning Da&"ne&shiDs &ea"ed o& adhe&ed "o G% "he goCe&ning GodiesO
numGe& and na"u&e o' !ea&ning "oo!s "he goCe&ning Godies a&e using# e1g1 eHhange Cisi"s#
na"iona! on'e&enes# s"a'' &e'&eshe& ou&ses# e"1 1
Po"i=y )ire=tion3
eHis"ene and use o' Do!iies s"a"emen"s on Be% issues o' one&n 'o& "he PA goCe&ning
Godies# D&o"e"ed a&ea s"a'' and s"aBeho!de&sO
deg&ee o' sa"is'a"ion o' &e!eCan" Da&"ies on "he !a&i"% and use'u!ness o' "he goCe&ning
Godies; Do!iies1
Va"!es3
eHis"ene and !eCe! o' use o' ag&eed Ca!ues "o guide PA goCe&nane Jand onse&Ca"ion in
gene&a!KO
!eCe! o' unde&s"anding and sa"is'a"ion o' "he goCe&ning Godies Ca!ues among "hei& memGe&s#
and Ai"h s"aBeho!de&s1
Vision3
eHis"ene and use o' PA Cision s"a"emen"s among i"s goCe&ning GodiesO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E4
!eCe! o' s"aBeho!de& and DuG!i aDD&oCa! o' "he goCe&ning Godies; Cision s"a"emen"s 'o& "he
PA# e1g1# deg&ee o' ommon di&e"ion and)o& oGNe"iCesO
on&e"e suDDo&" DuG!i!% ha&nessed G% "he PA 'o& "he a""ainmen" o' "he Cision1
Consisten=y betAeen Va"!es and Pra=ti=e3
numGe& o' omD!ain"s "o goCe&ning Godies o& omGudsDe&sons Geause "he PA goCe&ning
Godies haCe no" &esDe"ed "he guiding Ca!ues "ha" aDDea& in "hei& ha&"e&)ons"i"u"ion and
Do!iiesO
deg&ee o' s"aBeho!de& sa"is'a"ion Ai"h "he onsis"en% Ge"Aeen "he goCe&ning Godies; Ca!ues
and D&a"ies1
&<ared Pers#e=ti:e on Good Go:ernan=e3
eHis"ene o' a sha&ed De&sDe"iCe among "he goCe&ning Godies and s"aBeho!de&s on "he Cision
and D&a"ies o' PA goCe&nane# and i"s neessa&% ondi"ions 'o& imD!emen"a"ionO
eHis"ene and use o' in'o&ma"ion on PA goCe&nane G% "he gene&a! DuG!i1
Consisten=y Ait< Internationa" Ob"i%ations3
EHis"ene o' in"e&na"iona!# na"iona! and !oa! omD!ain"s Doin"ing a" a dis&eDan% Ge"Aeen
"he PA di&e"iCes and in"e&na"iona! oG!iga"ions1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E-
ANNEC 2: ON DUALITATI2E MET5ODS AND TOOLS
JadaD"ed '&om Ba&"on e" a!1#433@O Bo&&ini<Fe%e&aGend#433@ and Bo&&ini<Fe%e&aGend e" a!1# -...K
Docu%ent Ana#ysis
This inCo!Ces iden"i'%ing &uia! in'o&ma"ion and &eo&ds among eHis"ing A&i""en doumen"s#
suh as !egis!a"ion and Do!i%# us"oma&% !aAs# D!ans and &egu!a"ions 'o& PA managemen"# o!d
D!ans and adas"&a! maDs and "he !iBe# Gu" a!so ensus da"a# hea!"h da"a# soio<eonomi da"a as
Ae!! as enCi&onmen"a! &esea&h DaDe&s and &eDo&"s1 Some o' "hese doumen"s ma% no" Ge Ae!!
BnoAn o& easi!% aCai!aG!e and i" Ai!! Ge a ha!!enge "o a!! "he Da&"iiDan"s in "he eCa!ua"ion "o
ga"he& and use "hem# as needed1 CoDies o' &e!eCan" doumen"s shou!d Ge made aCai!aG!e 'o& "he
&e!eCan" a"o&s "o onsu!" seDa&a"e!%# as neessa&%1
'ie#d !isits
The Co&e Team memGe&s# usua!!% aomDanied G% some &eD&esen"a"iCe o' &e!eCan" a"o&s# ge" "o
"he PA !oa"ion o& in i"s De&iDhe&% and eHD!o&e 'ea"u&es# GehaCiou&s and Dhenomena# Ahi!e
mee"ing DeoD!e in sDon"aneous Aa%s1 Some"imes "his is done G% a&&%ing ou" a "&anse"
oGse&Ca"iona! Aa!Bs# i1e1 &ossing an a&ea in a hane<de"e&mined di&e"ion# adding an e!emen" o'
&andomness "o "he D&oess1 The "eam memGe&s ma% a!so a""end o''iia! mee"ings Je1g1 "he PA
Managemen" Boa&dK and ommuni"% ga"he&ings and e&emonies1 The% an oGse&Ce PA s"a'' in
"hei& NoGs and D&oNe" a"iCi"ies and seeB "o unde&s"and "he ommunia"ion '!oAs Ge"Aeen
agenies and !oa! DeoD!e1 In a!! o' "he aGoCe# "he Team memGe&s a&e oDen aGou" "he &easons o'
"hei& Cisi"s and D&esene and '&ee!% engage "he !oa! a"o&s in da"a o!!e"ion and D&e!imina&%
ana!%sis1
-nter!ie&s
In"e&CieAing is a D&oess o' in$ui&ing in"o "he De&eD"ions o' ano"he& De&son o& De&sons aGou" a
Da&"iu!a& issue o& se" o' "oDis1 I" an in!ude eHD!o&ing "hei& BnoA!edge# 'ee!ings# a""i"udes#
oDinions# Das" eHDe&ienes and eHDe"a"ions 'o& "he 'u"u&e1 TAo main in"e&CieA aDD&oahes a&e
gene&a!!% used? !osed<ended and oDen<ended in"e&CieAing1 C!osed ended in"e&CieAing inCo!Ces
a s"anda&diIed se$uene o' $ues"ions Ahose ansAe& a&e a D!ain :%es; o& :no; s"a"emen"# a
nume&ia! 'igu&e Je1g1# 4> %ea&sK o& a a"ego&ia! Nudgmen" Je1g1# :good; o& :Gad;K1 This is usua!!%
done "h&ough $ues"ionnai&es adminis"e&ed "o 'ai&!% !a&ge numGe& o' DeoD!e1 The ansAe&s a&e !a"e&
oded and s"a"is"ia!!% ana!%sed1 ODen<ended in"e&CieAs a&e Gased on a !ess s"anda&diIed and
mo&e oDen se$uene o' $ues"ions Ahose ansAe&s a&e eHDe"ed "o Ge &ihe& and mo&e omD!eH1
ODen<ended in"e&CieAs aim a" disoCe&ing e!emen"s o' "he inside&s; De&eD"ions o' "he "oDi unde&
inCes"iga"ion in!uding some "ha" ma% Ge en"i&e!% unBnoAn "o "he in"e&CieAe&1 The in"e&CieAe& is
'&ee "o &eDh&ase $ues"ions as aDD&oD&ia"e and "o D&oGe deeDe& in"o issues Ahe&e neessa&% Je1g1# G%
sa%ing 7Te!! me mo&e aGou" "ha"# D!ease8 and using $ues"ions suh as 7*ho08 7*he&e08
7*hen08 7*h%08 and 7HoA08K1 ODen<ended in"e&CieAing is a DoAe&'u! means "o a"h
:$ua!i"a"iCe in'o&ma"ion; Gu" a!so# and mos" imDo&"an"!%# is one o' "he mos" DoAe&'u! means o'
engaging a numGe& o' DeoD!e in"o an issue1 Choosing "he D&oDe& &esDonden"s is Ce&% imDo&"an"1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E/
Some &esDonden"s ou!d Ge se!e"ed Geause "he% haCe sDeia! BnoA!edge aGou" "he "oDi and
"hose a&e a!!ed 7Be% in'o&man"s81 O"he&s migh" Ge se!e"ed Geause "he% &eD&esen" some in"e&es"
g&ouDs# o& haCe a sDeia! s"a"us Jas a ma""e& o' 'a" o'"en "he &esDonden"s Ai!! Ge se!e"ed as "he%
haCe Geen iden"i'ied as a 7&e!eCan" one&ned a"o&8 in "he PA goCe&naneK1
ODen<ended $ues"ions an a!so Ge add&essed "o a g&ouD o' &esDonden"s1 Suh g&ouDs ma% Ge
sDon"aneous Je1g1# 'a&me&s Ao&Bing in "hei& 'ie!ds# "ou&is"s Cisi"ing "he PA# Ci!!age&s me" a" "he
!oa! ma&Be"# e"1K o& onCened G% "he in"e&CieAe& on "he Gasis o' a ommon 'ea"u&e Je1g1 PA s"a''
a" a giCen !eCe!# 'a&me&s Ahose 'ie!ds Go&de& "he PA Gounda&ies# ha&oa! maBe&s# hun"e&s#
memGe&s o' a !oa! mino&i"% g&ouD# Aomen# e"K1 The 'i&s" "%De o' g&ouDs a&e usua!!% a!!ed
7na"u&a! g&ouDs8 and "he seond 7'ous g&ouDs81 Fo& "he 'ous g&ouDs# i' "he Doo! o' DossiG!e
Da&"iiDan"s is !a&ge# Da&"iiDan"s a&e a" "imes hosen G% means o' samD!ing D&oedu&es1 Mo&e
o'"en# "he% a&e asua!!% hosen1
A Ce&% in"e&es"ing "Ais" on "he me"hod ou&s Ahen "he in"e&CieA is a"ua!!% a&&ied ou" by a
group o' &e!eCan" a"o&s1 In "his ase i" is "he g&ouD "o Dose "he $ues"ions "o one o& mo&e
indiCidua!s on a giCen suGNe"1 La"e& "he g&ouD mee"s "o d&aA and &eo&d "he &e!eCan"
on!usions1 +&ouD in"e&CieAs ou!d Ge a&&ied ou" Ai"h "he same De&son o& De&sons G% di''e&en"
g&ouDs o' a"o&s Je1g1 "he Be% manage& in "he PA ou!d Ge in"e&CieAed G% "he &eD&esen"a"iCes o'
"he men in "he !oa! ommuni"%# "hen G% "he &eD&esen"a"iCes o' "he Aomen# "hen G% "he
&eD&esen"a"iCes o' "he "&adi"iona! au"ho&i"ies# G% "he &eD&esen"a"iCes o' "he PS s"a''# e"1K1 A'"e&
seDa&a"e ana!%sis o' "he in'o&ma"ion# "he g&ouDs ou!d eHhange and omDa&e "hei& on!usions1
ODen ended in"e&CieAs o' a g&ouD o& G% a g&ouD M usua!!% in!uding '&om Ce&% 'eA uD "o "Aen"%
o& "hi&"% indiCidua!s a&e D&oCide a &ih oDDo&"uni"% 'o& o!!e"iCe disussion and ana!%sis o'
issues &e!eCan" 'o& "he PA goCe&nane1 The Co&e "eam shou!d maBe su&e "ha" "he mee"ing
enCi&onmen" is D!easan" and &esDe"'u! and "ha" "he deGa"e is Gased on 'a"s &a"he& "han on
unon'i&med s"a"emen"s1 The suess o' an oDen<ended in"e&CieA deDends Ce&% muh on "he
ommunia"ion sBi!!s o' "he in"e&CieAe&JsK# Ahih a&e needed "o BeeD "he disussion as a &e!aHed
dia!ogue1 These sBi!!s in!ude he!Ding "he in"e&CieAee J&esDonden"# Da&"iiDan"K 'ee! a" ease#
Dh&asing $ues"ions in !ea& Gu" no" !eading Aa%s Ji1e1# no" sugges"ing "he :o&&e"; o& :eHDe"ed;
ansAe&# as in "he $ues"ion :Do %ou Ge!ieCe "ha" onse&Cing na"u&a! &esou&es is good 'o& %ou&
ommuni"%0;K# and in"&oduing D&oGing $ues"ions aDD&oD&ia"e!% Je1g1# asBing 'o& 'u&"he& de"ai!s
Ahen &esDonden"s giCe gene&a! ansAe&sK1
C!osed ended in"e&CieAs "hough adminis"e&ed $ues"ionnai&es a&e s"i!! muh 'ashionaG!e among
some soia! sien"is"s Ahi!e o"he&s
2E
sha&e a Ce&% &i"ia! CieA o' "hem# main"aining "ha" "he% a&e
&a&e!% aomDanied G% a &i"ia! disussion o' me"hodo!ogia! D&oG!ems and "oo o'"en Doo&!%
&e!iaG!e and Ca!id J$ues"ionnai&es "end "o Ge oCe&s"u''ed Ai"h $ues"ions and Doo&!% unde&s"ood G%
&esDonden"sO in"e&CieAe&s an adminis"e& "hem mehania!!% and enou&age asua! &eD!ies# A&i"e
doAn ansAe&s in Giased Aa%s# e"1K1 In addi"ion# $ues"ionnai&e in"e&CieAs a&e usua!!% !eng"h% and
os"!%1 *e do no" enou&age "hem as Da&" o' a Da&"iiDa"o&% eCa!ua"ion un!ess Ce&% !a&ge numGe&s
o' DeoD!e need "o Ge inCo!Ced and a sDei'i D&oGing is &e$ui&ed aGou" issues iden"i'ied as
imDo&"an" Ai"h o"he& means1
3rainstor%in and structured brainstor%in
This is a &uia! "ehni$ue emD!o%ed "o ga"he& "he CieAs and De&eD"ions o' a g&ouD o' DeoD!e on
a sDei'i suGNe"1 I" is Gased on a '&eeAhee!ing o''e&ing o' ideas s"a&"ed G% an oDen<ended and
someAha" D&oCoa"iCe $ues"ion Du" 'o&Aa&ds G% "he 'ai!i"a"o&# suh as 7*ha" a&e "he Be%
2E
See ChamGe&s# 433-
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E2
ini"ia"iCes Ae ou!d Du&sue "o imD&oCe aoun"aGi!i"% &ega&ding ou& PA08 ODening s"a"emen"s and
$ues"ions shou!d Ge gene&a! and non<!eading# i1e1# shou!d no" s"&ess o& oCe&emDhasiIe a Doin" o'
CieA "ha" ou!d Gias "he Da&"iiDan"s1 I" shou!d Ge !ea& "ha" G&ains"o&ming is a '&ee and non<
ommi""a! Aa% o' eHD!o&ing ideas# i1e1# no one ommi"s him o& he&se!' "o some"hing simD!%
Geause he)she men"ioned i" in a G&ains"o&ming session1 (sua!!% DeoD!e o''e& ideas o&a!!%# one
a'"e& ano"he&# and "he 'ai!i"a"o& d&aAs &e!eCan" Di"u&es o& A&i"es "he ideas uD on a Goa&d1 The
!a&i'%ing# g&ouDing and &e<Dh&asing o' "hese ideas is "hen done "h&ough gene&a! disussion1 The
&esu!" is a onso!ida"ed and hoDe'u!!% ohe&en" and eHhaus"iCe !is" o' i"ems JD&oG!ems# &esou&es#
e"1K I' a!! "he Da&"iiDan"s in "he eHe&ise a&e !i"e&a"e# i" is a!so DossiG!e "o u"i!ise a s"&u"u&ed
G&ains"o&ming eHe&ise1 In "his ase "he 'ai!i"a"o& asBs "he $ues"ion# !eaCes "ime 'o& DeoD!e "o
"hinB indiCidua!!% and "hen asBs "hem "o A&i"e "hei& &eD!ies in !a&ge !e""e&s on o!ou& a&ds and "o
des&iGe "hem# one G% one# "o "he &es" o' "he g&ouD1 A'"e& eah idea a&d has Geen D&esen"ed# i" is
Dinned uD on "he Aa!! and "he g&ouD deides Ahe&e i" shou!d Ge se"# "o !us"e& Ai"h &e!a"ed ideas1
The 'ina! &esu!" is a se&ies o' 7a&d !us"e&s8# eah dea!ing Ai"h a main suGNe"1 Eah !us"e& an
!a"e& Ge assigned "o a suG<g&ouD# Ahih Ai!! !a&i'% i"# &eDh&ase i" and eHD!o&e i" in de"ai!1
Visua# techni5ues
5isua! "ehni$ues a&e an essen"ia! 'ea"u&e o' mee"ings inCo!Cing mo&e "han Nus" a 'eA DeoD!e1
The% in!ude d&aAings# Dos"e&s# Di"u&es and s!ides as Ae!! as oDen<ended s"o&ies# DoDu!a& "hea"&e
and ommuni"%<di&e"ed Cideos JAhih an a!! Ge an eHe!!en" en"&% Doin"s 'o& g&ouD disussionsK#
g&aDhi &eD&esen"a"ions G% means o' Die ha&"s o& Ga& ha&"s# Di"og&ams used "o des&iGe and
ana!%Ie "ime "&ends# e"1
5isua! "ehni$ues "end "o 'ous "he a""en"ion o' "he audiene and an Ge used as a 7on"&o!!ing
"oo!8 oCe& i"1 The% Geome muh mo&e emDoAe&ing Ahen "he Cisua! &eD&esen"a"ions a&e no"
D&eDa&ed and de!iCe&ed G% "he o&ganise&s o' "he mee"ing Gu" a"ua!!% D&eDa&ed and D&esen"ed G%
"he Da&"iiDan"s "hemse!Ces1 Fo& ins"ane# "he Di"u&es and s!ides an Ge sho" and deCe!oDed in
adCane o' "he mee"ing G% "he Da&"iiDan"s "hemse!Ces1 DisDosaG!e ame&as an Ge used "o "he
Du&Dose# and "he Da&"iiDan"s an Ge asBed "o shoo" "he imDo&"an" PA 'ea"u&es "ha" "he% Aish "o
ana!%se and disuss Ai"h &e!a"ion "o "he goCe&nane "heme1
5isua! "ehni$ues on"&o!!ed G% "he Da&"iiDan"s in!ude a!! so&"s o' g&ouD<'i!!ed ma"&iHes o& a&d<
Gased disussions# Ai"h 7idea<a&ds8 D&eDa&ed G% "he Da&"iiDan"s Das"ed on a Aa!! and !a"e&
so&"ed# g&ouDed and s%n"hesiIed o!!e"iCe!%1 So&"ing# oun"ing and &anBing eHe&ises an Ge
done in A&i""en 'o&ms Gu" a!so G% using eCe&%da% oGNe"s# suh as seeds# s"ones o& simD!e sBe"hes
on sma!! s!iDs o' DaDe&1 Time !ines and "&anse" &eD&esen"a"ions inCo!Ce "he Di"o&ia! se$uening
o' eCen"s o& 'ea"u&es o' "he !andsaDe1 Mo&e ana!%"ia! Cisua! "oo!s in!ude D&oG!em<ause<e''e"
"&ees o& se$uenes o' auses# D&oG!ems and so!u"ions1 5isua! &eD&esen"a"ions Ai"h a&ds# a&&oAs
and s%mGo!s an Ge &ea"ed "o &eD&esen" an ins"i"u"iona! se""ing# a deision<maBing s"&u"u&e o& "he
Da""e&ns o' &e!a"ionshiD among di''e&en" a"o&s and DoAe&s as De&eiCed G% "he Da&"iiDan"s in "he
eHe&ise1 These d&aAings an Ge made on '!iDha&"s# ha!BGoa&ds o& on !a&ge shee"s o' B&a'"
DaDe&# Ahih is &a"he& s"u&d% and an Ge &eadi!% "&ansDo&"ed1
8a$$in
MaDDing is a g&ea" Cisua! eHe&ise# usua!!% emD!o%ed in onNun"ion Ai"h a g&ouD in"e&CieA1 The
Da&"iiDan"s in "he eHe&ise J!oa! ommuni"% memGe&s Gu" a!so PA s"a''# Gu&eau&a"s# Do!i"iians#
Gusiness DeoD!ean% &e!eCan" a"o&s a" an% !eCe!K d&aA a simD!e maD o' "he !oa! "e&&i"o&% and
&esou&e# in!uding "he &e!eCan" PA# &eo&ding a Ca&ie"% o' in'o&ma"ion aGou" !oa! na"u&a!
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E>
&esou&es and soia! ondi"ions1 The maD ma% 'i&s" Ge d&aAn on "he g&ound# on a G!aBGoa&d o&
!a&ge shee" o' DaDe& and !a"e& &eDo&"ed in"o mo&e "&ansDo&"aG!e means1 The maD assemG!es "he
imDo&"an" e!emen"s as seen G% "he &e!eCan" a"o&s inCo!Ced# Ahih ma% in!ude "he PA;s
Gounda&ies# "he Gounda&ies o' "he ommuni"%;s "e&&i"o&ies# s"&eams and &idges# 'a&m!ands# Aa"e&
sou&es# ommuni"% sa&ed a&eas and &esou&es# shoo!s# hu&hes and mos$ues# DuG!i Gui!dings#
'o&es"s# !agoons# Ae"!ands# Be% a&eas 'o& "he use o' na"u&a! &esou&es# Da"hAa%s# u!"u&a! o&
sDi&i"ua! si"es and "he eHis"ing Ci!!ages Ai"h numGe&s o' househo!ds1 EHis"ing "oDog&aDhi maDs
an Ge used as a &e'e&ene1 A se&ies o' maDDing eHe&ises 'o& "he Das" Je1g1# Aha" Aas "he&e
"Aen"% %ea&s agoK# "he D&esen" JAha" is "he&e noAK and "he 'u"u&e JAha" Ai!! Ge "he&e "Aen"% %ea&s
'&om noA i' u&&en" "&ends Ai!! on"inueK is a!!ed his"o&ia! maDDing1 Besides shoAing hoA "he
Da&"iiDan"s see "he !oa! si"ua"ion and Aha" "he% De&eiCe "o Ge i"s mos" imDo&"an" e!emen"s# a
o!!e"iCe!% Gui!" maD is a g&ea" si"ua"ion oCe& Ahih "o "a!B and eHD!o&e a Ca&ie"% o' issues o'
ommon one&n1
Rankin and scorin e"ercises
RanBing and so&ing eHe&ises a&e a DoDu!a& "oo! "o o&de& and de"e&mine "he &e!a"iCe imDo&"ane
o' Da&"iu!a& 'a"o&s# i"ems# ondi"ions o& De&eD"ions1 The% a&e usua!!% done G% d&aAing a "aG!e
and haCing on one dimension Ca&ious oD"ions o& asDe"s o' giCen Dhenomenon and on "he o"he&
one o& mo&e &i"e&ia1 The De&son o& g&ouD in"e&CieAed so&es o& &anBs eah oD"ion ao&ding "o
eah &i"e&ion in o&de& o' D&e'e&ene1 This an Ge done G% assigning &anBs J'i&s" in o&de& o'
imDo&"ane# seond# "hi&d# e"1 "o 'i'"h i' "he&e a&e 'iCe oD"ionsK o& G% assigning a 7so&e8 "o eah
oD"ion o& Dosi"ioning di''e&en" numGe&s o' oGNe"s# suh as !eaCes o& DeGG!es1 The &easons 'o&
assigning a giCen &anB o& so&e shou!d Ge oDen!% disussed# o"he&Aise "he eHe&ise an Geome
&a"he& mehania! and use!ess1 A" "he end# "he so&es 'o& eah oD"ion J&oAK a&e added uD#
D&oCiding an oCe&a!! CieA oCe& seCe&a! &i"e&ia1
Sa%$#in. statistica#9 $ur$osefu# and se#f6se#ected
To gene&a"e in'o&ma"ion on "he eCa!ua"ion;s india"o&s# %ou an ei"he& in!ude all o' "he
indiCidua!s o& i"ems %ou a&e in"e&es"ed in# Ahih is &e'e&&ed "o as 7ensus8 o' "he DoDu!a"ion8# o&
in!ude on!% a specific subset o' "he indiCidua!s o& i"ems1 7SamD!ing8 is "he D&oess G% Ahih
%ou iden"i'% "he suGse"1 Fo& ins"ane# %ou ma% Aish "o in"e&CieA "he he&de&s in "he su&&oundings
o' a Da&"iu!a& PA o& "he PA s"a'' in a giCen oun"&%1 You an iden"i'% a 7samD!e8 o' "hese DeoD!e
Gased ei"he& on Nudgmen"a! JDu&Dose'u!K &i"e&ia o& on &andom hane1 S"a"is"ia! samD!ing is
Gased on &andomness# so "ha" &esea&he&s an on'iden"!% d&aA s"a"is"ia! D&oGaGi!i"ies '&om a
sma!! samD!e "o a !a&ge& DoDu!a"ion1 This &e$ui&es some 'ami!ia&i"% Ai"h s"a"is"ia! me"hods and
"oo!s Jsee AnneH /K1 Pu&Dose'u! samD!ing is Ce&% di''e&en"1 I"s DoAe& !ies in se!e"ing
in'o&ma"ion<&ih ases 'o& in<deD"h ana!%sis &e!a"ed "o "he en"&a! issues Geing s"udied
23
1 I"
in!udes?
EH"&eme ase samD!ing# Ahih 'ouses on ases "ha" a&e &ih in in'o&ma"ion Geause "he% a&e
unusua! o& sDeia! in some Aa% Je1g1# "he on!% ommuni"ies "ha" Gene'i" '&om PA<&e!a"ed
"ou&ismK
23
See Pa""on# 43E@1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E9
Sen"ine! samD!ing# Ahih se!e"s on a sma!! and manageaG!e numGe& o' indiCidua!s esDeia!!%
sensi"iCe "o some 'a"o& o& ha&a"e&is"i o' Da&"iu!a& imDo&"ane "o "he eCa!ua"ion Je1g1
!and!ess Deasan"s in "he Ciini"% o' "he PAK1
MaHimum Ca&ia"ion samD!ing# Ahih aims a" aD"u&ing and des&iGing "he en"&a! "hemes o&
D&iniDa! ou"omes "ha" u" a&oss Da&"iiDan" o& D&og&am Ca&ia"ions Je1g1# De&sons o' di''e&en"
ages# gende&# eonomi !eCe! in "he ommuni"%K1
Homogeneous samD!es# Ahih DiB a sma!! samD!e Ai"h simi!a& ha&a"e&is"is "o des&iGe
some Da&"iu!a& suG<g&ouD in deD"h Je1g1# 'i&eAood u""e&s o& ha&oa! maBe&s in a sDei'i
a&eaK1
T%Dia! ase samD!ing# Ahih uses one o& mo&e "%Dia! ases "o D&oCide a !oa! D&o'i!e1 These
ases JindiCidua!s# 'ami!ies)househo!ds# ommuni"ies# e"1K a&e se!e"ed Ai"h "he o<oDe&a"ion
o' Be% in'o&man"s# suh as PA s"a'' o& BnoA!edgeaG!e Da&"iiDan"s# Aho an he!D iden"i'% Aha"
is "%Dia!1
C&i"ia! ase samD!ing# Ahih !ooBs 'o& &i"ia! ases "ha" an maBe a Doin" $ui"e d&ama"ia!!%
o& "ha" a&e# 'o& some &eason# Da&"iu!a&!% imDo&"an" in "he sheme o' "hings Je1g1# "he !i'e
his"o&% o' a Doahe&K1
SnoAGa!! o& hain samD!ing# Ahih moCes '&om in'o&man" "o in'o&man" G% asBing? :*ho
BnoAs a !o" aGou"=0 *ho shou!d I "a!B "o0; This samD!e ge"s easi!% !a&ge and is use'u! "o
iden"i'% sDei'i Binds o' ases Je1g1# &i"ia!# "%Dia!# eH"&eme# e"1K1
C&i"e&ion o& $uo"a samD!ing# Ahih is done G% se!e"ing a!! indiCidua!s o& ases "ha" mee"
some D&e<se" &i"e&ion o' imDo&"ane Je1g1# oAne&s o' ho"e!s !a&ge& "han a e&"ain siIeK1 These
ases a&e !a"e& omDa&ed "o o"he&s "ha" !aB "he Da&"iu!a& ha&a"e&is"i o' in"e&es"1
Las" Gu" no" !eas" is se!'<se!e"ed samD!ing# Ahih is a!so a!!ed &eD&esen"a"ion1 The &e!eCan"
DoDu!a"ion Je1g1 "he he&de&s in "he su&&ounding o' "he sDei'i PA o& "he PA s"a'' in "he oun"&%K
deide among "hemse!Ces Aho a&e "he DeoD!e "o onCe% "hei& o!!e"iCe CieAs on Da&"iu!a& issues
and ome "o "a!B Ai"h %ou in "he mee"ings %ou o&ganise This is oGCious!% "he mos" emDoAe&ing o'
"he samD!ing me"hods# Gu" shou!d Ge aomDanied G% some assu&ane "ha" "he in"e&na! D&oedu&es
o' ana!%sis o' issues and &eD&esen"a"ion o' "he o!!e"iCe oDinions a&e indeed 'ai&1
Ana#ysin strenths9 &eaknesses9 o$$ortunities and
threats:#i%itations
This eHe&ise# usua!!% &e'e&&ed "o as S*OT ana!%sis# is a DoAe&'u! "oo! a g&ouD an use "o assess
an issue o' one&n# 'o& ins"ane PA goCe&nane1 Basia!!%# i" is a g&ouD G&ains"o&ming on "he
Dosi"iCe 'a"o&s Js"&eng"hsK# "he nega"iCe 'a"o&s JAeaBnessesK# "he DossiG!e imD&oCemen"s
JoDDo&"uni"iesK and "he ons"&ain"s J"h&ea"s and !imi"a"ionsK &e!a"ed "o "he issue a" s"aBe1 (sua!!%
"he &esu!"s o' "he session a&e !is"ed on a 'ou&<o!umn ma"&iH# d&a'"ed on '!iDha&"s on a Aa!!1 A"
"imes# Da&"iiDan"s haCe di''e&en" oDinions o& eHD&ess on"&adi"o&% s"a"emen"s1 In suh ases# "he
'ai!i"a"o& an asB 'u&"he& $ues"ions "o deeDen "he a&gumen"s# Gu" a onsensus among g&ouD
memGe&s is no" neessa&%1 Con"&as"ing CieAs and a!"e&na"iCe oD"ions an Ge !is"ed on "he same
o!umn in "he ma"&iH1 In Da&"iu!a& i&ums"anes# i" ma% Ge neessa&% "o ga"he& mo&e in'o&ma"ion
one "he mee"ing is oCe&# in'o&ma"ion "ha" Ai!! Ge ommunia"ed "o "he Aho!e g&ouD in "he neH"
mee"ing1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E@
Co%$arin a#ternati!e o$tions
A!"e&na"iCe oD"ions 'o& a"ion an Ge eHamined on "he Gasis o' Ca&ious =riteria# suh as
e''e"iCeness# 'easiGi!i"%# os" in human# ma"e&ia! and 'inania! &esou&es# eHDe"ed Gene'i"s and
imDa"s Jin Da&"iu!a& imDa"s in "e&ms o' enCi&onmen" and soia! e$ui"%K# sus"ainaGi!i"%# and so
on1 The oDen omDa&ison o' a!"e&na"iCe oD"ions is a Ce&% use'u! "oo! "o he!D a g&ouD deide Ahih
oD"ion i" shou!d se!e" '&om amongs" "he man% aCai!aG!e1 The disussion an easi!% Ge
summa&ised on a Goa&d# Ai"h a!"e&na"iCe oD"ions !is"ed in &oAs and &i"e&ia in o!umns1 Fo& a!! "he
&i"e&ia hosen G% "he g&ouD "he a!"e&na"iCe oD"ions an Ge so&ed# and "he ma"&iH Ai!! "hen o''e& a
G&oad omDa&a"iCe CieA o' oD"ions and so&es1 I" is "o Ge s"&essed "ha" "he so&es shou!d no" Ge
assigned '&om "he "oD o' "he head# Gu" on!% a'"e& a disussion o' on&e"e issues1 Fo& eHamD!e#
Ai"h &ega&d "o 'easiGi!i"%# Aho is &ead% "o "aBe on "he maNo& &esDonsiGi!i"% 'o& eah a!"e&na"iCe
oD"ion0 In Aha" "ime '&ame0 (sing Ahih ma"e&ia! and 'inania! &esou&es0 *i"h &ega&d "o
imDa"# Aha" a&e "he eHDe"ed enCi&onmen"a! Gu" a!so "he soia! and eonomi onse$uenes o'
"he D&oDosed oD"ions0 *ha" deg&ee o' e&"ain"% a&e Ae dea!ing Ai"h in "hose D&eCisions0
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ EE
ANNEC 4: ON DUANTITATI2E MET5ODS AND TOOLS
JadaD"ed '&om Ma&go!uis and Sa!a'sB%# 433EK
Census and statistica# sa%$#in techni5ues
To gene&a"e in'o&ma"ion 'o& %ou& eCa!ua"ion;s india"o&s# %ou an ei"he& in!ude all o' "he
indiCidua!s o& i"ems %ou a&e in"e&es"ed in < "he DoDu!a"ion < o& a specific subset o' "he indiCidua!s
o& i"ems < a g&ouD1 Censusing inCo!Ces oun"ing a!! indiCidua!s and)o& i"ems in "he DoDu!a"ion#
and samD!ing inCo!Ces measu&ing a suGse" o' indiCidua!s and)o& i"ems in "he DoDu!a"ion1
Cens!sin%
Fo& some asDe"s o' %ou& eCa!ua"ion# i" ma% Ge eas% "o moni"o& a!! "he indiCidua!s o& i"ems in a
DoDu!a"ion1 Fo& eHamD!e# i' %ou Aan" "o gene&a"e in'o&ma"ion aGou" mee"ings o' a goCe&ning
God%# i" ma% Ge &e!a"iCe!% eas% "o ondu" in"e&CieAs Ai"h eah and eCe&% memGe& o' "he God%1
LiBeAise# i' %ou a&e in"e&es"ed in doumen"ing hoA o'"en Da&"iu!a& s"aBeho!de& issues a&e
add&essed du&ing mee"ings o' a goCe&ning God%# %ou an eHamine a!! o' "he minu"es D&odued
'&om eCe&% mee"ing1 *hen %ou oun" and in!ude a!! "he indiCidua!s and)o& i"ems in a giCen
DoDu!a"ion# "his is a!!ed a ensus1 (sing a ensus has "he adCan"age "ha" %ou& in'o&ma"ion Ai!!
ade$ua"e!% &eD&esen" "he en"i&e DoDu!a"ion sine %ou haCe o!!e"ed da"a '&om a!! indiCidua!s
and)o& i"ems1
&tatisti=a" sam#"in%
*hen %ou a&e in"e&es"ed in gene&a"ing in'o&ma"ion Ai"h muh !a&ge& DoDu!a"ions# e1g1# a !a&ge
Ci!!age o& man% &eo&d GooBs# and %ou haCe !imi"ed "ime and &esou&es# i" is Ge""e& "o iden"i'% and
engage a suGg&ouD o' "he indiCidua!s and)o& i"ems1 I" is imDo&"an" "o iden"i'% a suGg&ouD %ou "hinB
Ai!! &eD&esen" "he Aho!e DoDu!a"ion1 This suGg&ouD is BnoAn as a sample and "he D&oedu&e
inCo!Ced in se!e"ing "his g&ouD is a!!ed sampling1 I' %ou& samD!e is a good &eD&esen"a"ion o' a!!
"he indiCidua!s and)o& i"ems %ou a&e in"e&es"ed in# "hen %ou an "aBe "he india"o& &esu!"s '&om "he
samD!e and aDD!% "hem D&oDo&"iona"e!% "o "he Aho!e DoDu!a"ion1 Fo& eHamD!e# i' %ou& samD!e is
-. DeoD!e '&om a "o"a! DoDu!a"ion o' 4..# and 4> DeoD!e in %ou& samD!e haCe &eeiCed "ime!% and
omD!e"e in'o&ma"ion aGou" a &een" ag&eemen"# "his is @>U o' %ou& samD!e1 You an "hen !aim
JAi"h a e&"ain ma&gin o' e&&o&K "ha" @>U o' "he 4.. DeoD!e# o& @> DeoD!e haCe &eeiCed "he
in'o&ma"ion1
The main adCan"ages o' samD!ing oCe& ensusing !ie in "he &edued os" and g&ea"e& sDeed o'
measu&emen" made DossiG!e G% gene&a"ing in'o&ma"ion Ai"h a suGse" o' indiCidua!s and)o& i"ems
&a"he& "han Ai"h "he en"i&e DoDu!a"ion1 The disadCan"age o' samD!ing is "ha" i" &e$ui&es using
statistics "o de"e&mine "o Aha" eH"en" %ou& samD!e da"a &eD&esen" "he DoDu!a"ion1
The&e a&e "h&ee main onside&a"ions in se!e"ing a samD!e?
41 :i;e1 +ene&a!!%# "he !a&ge& "he samD!e siIe < "he !ose& i" aDD&oahes "he "o"a! DoDu!a"ion
siIe < "he mo&e !iBe!% i" is "ha" %ou& &esu!"s '&om "he samD!e Ai!! "&u!% aDD!% "o "he oCe&a!!
DoDu!a"ion1 As a &u!e# "he mo&e diCe&se %ou& indiCidua!s o& i"ems# "he siIe o' %ou& samD!e
shou!d in&ease1
-1 :ampling frame1 A samD!ing '&ame is a des&iD"ion o' "he se" o' a!! DossiG!e indiCidua!s
and)o& i"ems %ou ou!d samD!e1 You& samD!ing '&ame Ai!! des&iGe "hese ei"he& as sDei'i
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ E3
uni"s o& in gene&a! "e&ms1 Fo& eHamD!e# i' %ou a&e in"e&es"ed in in"e&CieAing -. De&en" o'
"he househo!ds in a Ci!!age# %ou& samD!ing '&ame migh" onsis" o' a!! "he househo!ds in
"he Ci!!age1 I' %ou a&e in"e&es"ed in measu&ing /.U o' "he GooBBeeDing en"&ies o' 'inania!
suDDo&" D&oCided G% a goCe&ning God% "o Aomen;s o&ganiIa"ions in "he !as" %ea&# %ou&
samD!ing '&ame migh" onsis" o' a!! "he 'inania! suDDo&" sen" "o Aomen;s o&ganiIa"ions
in "he !as" %ea&1
/1 :election method1 A samD!e mus" Ge se!e"ed in a Aa% "ha" ensu&es "ha" i" ade$ua"e!%
&eD&esen"s "he !a&ge& DoDu!a"ion '&om Ahih i" Aas d&aAn and aCoids an% Gias1 The&e a&e
"Ao Gasi Aa%s o' se!e"ing samD!es?
Probabi"ity &am#"in%+
This 'o&m o' samD!ing is assoia"ed Ai"h $uan"i"a"iCe in'o&ma"ion gene&a"ion and ana!%sis1 He&e#
eCe&% indiCidua! o& i"em in "he DoDu!a"ion has an e$ua! hane o' Geing se!e"ed 'o& "he samD!e1
TAo o' "he mos" ommon!% used "%Des a&e simple random sampling and stratified random
sampling1 In simD!e &andom samD!ing "he g&ouD o' indiCidua!s is se!e"ed &andom!% '&om a !is" o'
"he DoDu!a"ion1 S"&a"i'ied &andom samD!ing is simi!a&# eHeD" "he DoDu!a"ion is 'is" diCided in"o
di''e&en" suGg&ouDs# o& s"&a"a# Gased on some ha&a"e&is"i Jsuh as age# seH# e"hni g&ouD in a
househo!d su&Ce%# se"o&a! in"e&es" in a 'unding su&Ce%K# and "hen a &andom samD!e is se!e"ed
Ai"hin eah s"&a"um1 The s"&a"i'ied aDD&oah giCes %ou a samD!e '&om eah s"&a"um# &ea"ing a
mo&e au&a"e &eD&esen"a"ion o' "he di''e&en" suGg&ouDs Ai"hin "he DoDu!a"ion1 HoAeCe&# %ou need
su''iien" in'o&ma"ion aGou" "he DoDu!a"ion '&om "he s"a&" o' "he eCa!ua"ion "o au&a"e!% assign a!!
indiCidua!s o& i"ems "o "he aDD&oD&ia"e s"&a"a1
>.

Example: S'mple a#" Sra'f'e" Ra#"om Sampl'#$
You Aan" "o measu&e "he deg&ee "o Ahih s"aBeho!de&s '&om a Da&"iu!a& Ci!!age De&eiCe a goCe&ning
God%;s deision<maBing onsensus D&oess is Gene'i"ing "hem1 5i!!age &eo&ds india"e "he&e a&e 4-9
househo!ds1 The eCa!ua"ion "eam de"e&mines "he% Aan" "o su&Ce% /. De&en" o' "hese househo!ds1
&im#"e Random &am#"in%
To do a simD!e &andom samD!e# %ou an A&i"e "he name o' eah head o' househo!d on a s!iD o' DaDe&# Du" a!!
"he s!iDs in"o a ha"# miH "hem uD# and hoose /E names J/. De&en" o' 4-9 househo!dsK1
&trati>ied Random &am#"in%
You unde&s"and "ha" Ci!!age &esiden"s a&e engaged in "h&ee a"iCi"ies using D&o"e"ed a&ea &esou&es? 'ood
'ishing# omme&ia! 'ishing and "ou&ism1 In 'a"# mos" 'ami!ies a&e suGsis"ene 'ishing and Ce&% 'eA a&e
engaged in omme&ia! 'ishing o& "ou&ism1 You Aan" "o Ge su&e %ou haCe in!uded "he mino&i"% househo!ds
engaged in omme&ia! 'ishing and "ou&ism in %ou& samD!e in o&de& "o haCe a s"&a"i'ied &andom samD!e1 To
do "his# %ou !ooB a" "he dis"&iGu"ion o' "he 'ami!ies Ge"Aeen "he "h&ee a"ego&ies and 'ind "ha" "he&e a&e @@
suGsis"ene 'ishing 'ami!ies# -3 omme&ia! 'ishing 'ami!ies# and -. 'ami!ies inCo!Ced in "ou&ism1
You s"i!! Aan" an oCe&a!! samD!e o' /.U so %ou "aBe -2 suGsis"ene 'ishing 'ami!ies J/. De&en" o' @@#
Ahih is &ea!!% -/14 Gu" a!Aa%s &ound uDK# 3 omme&ia! 'ishing 'ami!ies J/. De&en" o' -3K# and 9 'ami!ies
inCo!Ced in "ou&ism J/. De&en" o' -.K 'o& a "o"a! o' /3 'ami!ies J"his is one mo&e 'ami!% "han "he samD!e 'o&
simD!e &andom samD!ing due "o &ounding uDK1 You "hen se!e" a random samD!e o'? -2 'ami!ies '&om %ou&
!is" o' @@ suGsis"ene 'ishing 'ami!iesO 3 'ami!ies '&om %ou& !is" o' -3 omme&ia! 'ishing 'ami!iesO and 9
'ami!ies '&om %ou& !is" o' -. "ou&ism 'ami!ies1 This Ai!! giCe %ou %ou& "o"a! samD!e 'o& "he Ci!!age1
>.
Fo& ano"he& eHamD!e o' d&aAing a s"&a"i'ied &andom samD!e# see AeGsi"e 'o& IIRR# 43391
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3.
/and#in and storin infor%ation
As in'o&ma"ion '&om %ou& india"o&s is Geing gene&a"ed# i" Ai!! Ge &uia! "o hand!e and s"o&e i" as
e''iien"!% and e''e"iCe!% as DossiG!e1 The 'o!!oAing a&e siH s"eDs "ha" Ai!! enaG!e %ou "o ahieCe
"his?
41 Code your information. As %ou& in'o&ma"ion a&&iCes '&om "he 'ie!d# %ou Ai!! need a D&oess "o
de'ine hoA %ou Aan" "o &eD&esen" and &eo&d i"1 Eah Diee o' in'o&ma"ion %ou gene&a"e
shou!d Ge &eo&ded using a onsis"en" and sDei'i ode "ha" &eD&esen"s eah ha&a"e&is"i %ou
a&e measu&ing1 Coding shou!d Ge 'u!!% in"eg&a"ed Ai"h "he design o' %ou& ins"&umen"s and
'ie!d "es"ed a!ong Ai"h %ou& me"hods1 Fues"ions in a 'o&ma! su&Ce% a&e usua!!% !osed o& oDen
ended1 C!osed $ues"ions haCe a D&ede"e&mined &ange o' DossiG!e ansAe&s# 'o& eHamD!e# 7%es8#
7no8# 7don;" BnoA8# o& a !is" o' sou&es o' in'o&ma"ion on goCe&ning God% deisions1 The
in"e&CieAe& i&!es "he oD"ions men"ioned G% "he &esDonden"1 ODen<ended $ues"ions a&e !e'"
'o& "he &esDonden" "o ansAe& Ai"hou" haCing "o giCe a D&e<de"e&mined &esDonse1 SDei'i
in'o&ma"ion oding "ehni$ues an Ge suGdiCided in"o "hose used 'o& $uan"i"a"iCe and
$ua!i"a"iCe in'o&ma"ion?
Juantitative? in'o&ma"ion is usua!!% !assi'ied in one o' "Ao Aa%s1 Fi&s"# as a numGe& Ai"h
an un!imi"ed amoun" o' DossiG!e ou"omes Je1g1# "he numGe& o' "imes "he agenda o' "he
PA goCe&ning Goa&d dea!" Ai"h "ou&ism issues#K1 This "%De o' in'o&ma"ion is &e'e&&ed "o as
a on"inuous Ca&iaG!e and is measu&ed a!ong a nume&ia! sa!e1 The seond Aa%# is
&eo&ding nume&ia! in'o&ma"ion "ha" has a !imi"ed numGe& o' DossiG!e !assi'ia"ions
Je1g1# "%De o' suDDo&" &eeiCed G% s"aBeho!de&s '&om goCe&ning God%? 7mone%8# 7"ehnia!
eHDe&"ise8# 7o''ie e$uiDmen"8K1 This in'o&ma"ion is &e'e&&ed "o as a a"ego&ia! Ca&iaG!e#
and is &eo&ded in dis&e"e in"e&Ca!s o& as g&ouDs1 *hen oding on"inuous Ca&iaG!es
JnumGe&s# dis"anes# inomesK i" is Ges" "o en"e& "he Ca&iaG!es di&e"!%# maBing su&e "ha" i"
is in a ommon uni" Je1g1# me"e&s# DesosK1 *hen oding a"ego&ia! Ca&iaG!es# maBe su&e
"ha" "he same a"ego&ies a&e used onsis"en"!% 'o& eah &esDonden"1 You ma% Aish "o
g&ouD in'o&ma"ion in"o meaning'u! a"ego&ies du&ing %ou& in'o&ma"ion ana!%sis1 This is
Da&"iu!a&!% use'u! 'o& oDen<ended $ues"ions 'o& Ahih %ou an de"e&mine aDD&oHima"e
a"ego&ies a'"e& %ou haCe gene&a"ed %ou& in'o&ma"ion1
As %ou deCe!oD "he odes 'o& %ou& &esDonses and in'o&ma"ion# %ou Ai!! Aan" "o BeeD a
&eo&d o' "hese odes and Aha" eah Ca!ue means1 C&ea"e a odeGooB 'o& eah
in'o&ma"ion gene&a"ion ins"&umen" %ou use1 CodeGooBs a&e gene&a!!% deCe!oDed 'o&
$ues"ionnai&es and heB!is"s "ha" a&e omDosed D&ima&i!% o' !osed $ues"ions1 A
odeGooB is a &e'e&ene guide "ha" !is"s eah $ues"ion o& Diee o' in'o&ma"ion %ou a&e
gene&a"ing# "he DossiG!e &esDonses 'o& eah $ues"ion o& Diee o' in'o&ma"ion# and "he
odes %ou haCe assigned "o eah DossiG!e &esDonse1 The odeGooB se&Ces as a &eo&d o'
hoA %ou oded %ou& da"a so "ha" %ou o& an%one e!se an ode and in"e&D&e" "he same
ins"&umen" in a s"anda&d manne& in "he 'u"u&e1 I" is a!so a good idea "o in!ude a sDei'i
ode 'o& missing da"a 'o& eah $ues"ion in %ou& odeGooB1 Missing da"a &e'e&s "o D!aes in
%ou& ins"&umen" Ahe&e# 'o& Aha"eCe& &eason# %ou Ae&e unaG!e o& 'o&go" "o gene&a"e o&
&eo&d "he neessa&% in'o&ma"ion1
Jualitative1 This "%De o' in'o&ma"ion is usua!!% &eo&ded as a Ce&Ga! s"a"emen"1 Ins"ead o'
designing a da"aGase and odeGooB M as %ou do 'o& $uan"i"a"iCe in'o&ma"ion M 'ous on
o&ganiIing "he "&ans&iGed s"a"emen"s '&om %ou& onCe&sa"ions# 'ous g&ouDs#
Da&"iiDa"o&% maDDing# e"1 Iden"i'% and eH"&a" Be% oneD"s eHD&essed G% %ou&
&esDonden"s o& 'ound in doumen"s "ha" a&e &e!eCan" "o %ou& eCa!ua"ion1 Then g&ouD
s"a"emen"s and o"he& in'o&ma"ion unde& "hese Doin"s o' CieA o& a"ego&ies1 The Be% in
oding $ua!i"a"iCe in'o&ma"ion is "o D&ese&Ce DeoD!e;s Ao&ds in "hei& D&oDe& on"eH"# Ahi!e
a!so iden"i'%ing and eH"&a"ing Be% oneD"s1 DeCe!oD an e''e"iCe oding s%s"em "ha"
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 34
enaG!es %ou "o o&ganiIe %ou& in'o&ma"ion in a Aa% "ha" Ai!! suDDo&" %ou& suGse$uen"
ana!%sis1
-1 @eview your information1 As in'o&ma"ion omes in '&om "he 'ie!d# heB "hem 'o& an%
oGCious &eo&ding e&&o&s and gaDs1 I' %ou 'ind G!anBs in &esDonse a&eas o' %ou& ins"&umen"
and %ou anno" go GaB "o "he sou&e o' "he in'o&ma"ion "o 'i!! "he gaD# Ge""e& "o &eo&d i" as
missing da"a1
/1 +ranscribing your information1 This D&oess inCo!Ces s%s"ema"ia!!%# onsis"en"!% and !ea&!%
&eo&ding %ou& in'o&ma"ion in some D&ede"e&mined 'o&ma"1 I" is esDeia!!% use'u! 'o&
o&ganiIing 'ie!d no"es and oDen<ended &esDonses1 Some me"hods do no" need "his s"eD# e1g1#
'o&ma! su&Ce%s# sine &esDonses a&e &eo&ded di&e"!% on"o "he ins"&umen"s "hemse!Ces1
T&ans&iD"ion o' 'ous g&ouDs# Be% in'o&man" in"e&CieAs and o"he& $ua!i"a"iCe in'o&ma"ion is
Ce&% imDo&"an" as i" a!!oAs %ou "o Gegin "o assemG!e in'o&ma"ion in an o&ganiIed and
s%s"ema"i manne&1 T&ans&iGing in'o&ma"ion '&om 'ous g&ouDs and in"e&CieAs o'"en inCo!Ces
!is"ening "o "he &eo&ded "aDes o' eah session and "%Ding o& A&i"ing "hem uD Ao&d 'o& Ao&d1
Fo& "his ase# "his s"eD ou&s Ge'o&e %ou deCe!oD %ou& oding guide1 I" is a!so imDo&"an" "o
"&ans&iGe 'ie!d no"es and in'o&ma!!% gene&a"ed in'o&ma"ion so %ou haCe a seu&e &eo&d o'
"his in'o&ma"ion1 T&ans&iGing %ou& in'o&ma"ion a!so D&oCides %ou Ai"h a GaB<uD oD% o'
%ou& Ca!uaG!e in'o&ma"ion1
21 *ntering and organi;ing your information. A'"e& "&ans&iGing %ou& in'o&ma"ion# %ou a&e &ead%
"o en"e& i" in"o %ou& in'o&ma"ion hand!ing s%s"em1 This D&oess an Ge "ime<onsuming and
"edious# Gu" i" is imDo&"an" "ha" i" is done au&a"e!%# and "ha" %ou &oss<heB %ou& en"&ies
Ahe&e DossiG!e1 The&e a&e sDei'i in'o&ma"ion hand!ing "ehni$ues 'o& $uan"i"a"iCe and
$ua!i"a"iCe in'o&ma"ion?
Juantitative1 Mos" $uan"i"a"iCe in'o&ma"ion gene&a"ed using $ues"ionnai&es o& heB!is"s
a&e en"e&ed o& a&hiCed in some Bind o' da"aGase# Ahih is a "aG!e o& a&hiCe "ha" on"ains
a!! "he in'o&ma"ion %ou haCe gene&a"ed1 This a&hiCe an Ge BeD" on DaDe& o& in omDu"e&
'i!es using a sD&eadshee" J!iBe EHe!K# da"aGase D&og&amme o& s"a"is"ia! DaBage1 The
da"aGase o& sD&eadshee" is gene&a!!% diCided in"o &eo&ds J&oAsK and 'ie!ds Jo!umnsK Ai"h
"he s"&u"u&e d&aAn di&e"!% '&om %ou& ins"&umen" odeGooB1 Eah &eo&d Jo& &oA doAn
"he side o' "he shee"K &eD&esen"s a neA samD!e uni"# suh as a Be% in'o&man" in"e&CieA#
goCe&nmen" !og# s"aBeho!de& g&ouD o& minu"es '&om a goCe&ning God% mee"ing1 Eah 'ie!d
Jo& o!umn a&oss "he "oD o' "he shee"K on"ains one sDei'i "%De o' da"a# suh as da"e#
in"e&CieAe&# &esDonden";s name Jin"e&CieA numGe&K# sou&e o' inome# s"aBeho!de&
a''i!ia"ion# agenda i"em# "%De o' &esou&e Je1g1# mone%# o''ie e$uiDmen"K1 The 'ie!ds
shou!d o&&esDond di&e"!% "o "he $ues"ions o& a"ego&ies in "he ins"&umen"s odeGooB#
eHeD" 'o& in'o&ma"ion "ha" Aas no" oded Gu" used as &e'e&ene in'o&ma"ion in ase %ou
haCe "o &e"u&n "o "his sou&e o' in'o&ma"ion1
Jualitative1 This "%De o' in'o&ma"ion M gene&a"ed '&om 'ous g&ouDs# oDen<ended Be%
in'o&man" in"e&CieAs# e"1 M is no" ommon!% en"e&ed in"o a da"aGase1 None"he!ess# i" is
&i"ia! "o &eCieA "his in'o&ma"ion and deCe!oD a de"ai!ed ou"!ine o' hoA %ou Ai!! Aan" "o
o&ganiIe and o!!a"e i"1 *i"h "his ou"!ine and %ou& a!&ead% oded in'o&ma"ion# %ou an go
"h&ough %ou& &esu!"s again1 EH"&a" and g&ouD &e!eCan" in'o&ma"ion Jusing u""ing and
Das"ingK# &ea&&anging i" so "ha" i" 'o!!oAs %ou& ou"!ine1
>1 9acking up your information. One %ou haCe oded# "&ans&iGed# en"e&ed and o&ganiIed %ou&
in'o&ma"ion# s"o&e "he o&igina!s in a sa'e# oo! and d&% D!ae# seDa&a"e '&om %ou& Ao&Bing
Ce&sions1 As soon as DossiG!e# and a" &egu!a& in"e&Ca!s# maBe a" !eas" "Ao GaBuD se"s o' %ou&
mos" &een" Ce&sions1 This ma% "aBe "he 'o&m o' neA 'i!es in %ou& omDu"e& and on '!oDD%
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3-
diss# o& Dho"ooDies o' a!! &e!eCan" 'o&ms and doumen"s1 *hen "&aCe!!ing Ai"h in'o&ma"ion#
!eaCe one GaBuD se" a" %ou& home Gase1
91 Clearing and preparing information for analysis. C!eaning da"a is "he D&oess o' going
"h&ough %ou& in'o&ma"ion "o a"h an% e&&o&s "ha" Ae&e in"&odued du&ing "he oding and
en"e&ing D&oess1 Fo& $uan"i"a"iCe da"a# !ooB a" "he in'o&ma"ion in eah 'ie!d o' %ou&
da"aGase)sD&eadshee"1 LooB 'o& oGCious da"a Doin"s "ha" a&e ou"side o' "he eHDe"ed &ange 'o&
"he Da&"iu!a& Ca&iaG!e)ha&a"e&is"i1 DouG!e heB "hese "o ensu&e "ha" "he% &eD&esen" "he "&ue
Ca!ues as o&igina!!% &eo&ded on "he ins"&umen" in "he 'ie!d1 I' i" Aas no" a mis"aBe in en"&% o&
oding# "hen deide Ahe"he& i" is a mis"aBe in "he &eo&ding o& a "&ue Ca!ue1 You an a!so add
&oA and o!umn "o"a!s Ahe&e aDD!iaG!e and maBe su&e "he% Ao&B ou" a&oss and doAn1 Fo&
$ua!i"a"iCe in'o&ma"ion# &eCieA "he in'o&ma"ion "ha" %ou haCe eH"&a"ed and o&ganiIed#
!ooBing 'o& onsis"en%# !ogi and "ho&oughness1
-nfor%ation eneration for%ats
EHamD!es o' $ua!i"a"iCe so&ing s%s"em?
Criteria Indi=ator3 eH"en" o' D&oG!ems &ea"ed G% !egis!a"ion o&
&egu!a"ions D&eCen"ing "he goCe&ning Godies '&om
ahieCing "hei& oGNe"iCes
&=ore Comments Din="!din%
Kdon;t CnoALE
Rob!stness P&oG!ems Ai"h !egis!a"ion o& &egu!a"ions a&e a maBor
restri=tion "o ahieCing PA oGNe"iCes
.
P&oG!ems Ai"h !egis!a"ion o& &egu!a"ions a&e a si%ni>i=ant
b!t not maBor restri=tion "o ahieCing PA oGNe"iCes
4
P&oG!ems Ai"h !egis!a"ion o& &egu!a"ions a&e not a
restri=tion "o ahieCing PA oGNe"iCes
-
Legis!a"ion o& &egu!a"ions a&e "i%<t"y e>>e=ti:e in
s!##ortin% PA oGNe"iCes
/
Legis!a"ion o& &egu!a"ions a&e e>>e=ti:e in s!##ortin% PA
oGNe"iCes
2
Legis!a"ion o' &egu!a"ions a&e :ery e>>e=ti:e in
s!##ortin% PA oGNe"iCes
>
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3/
T<e PA %o:ernin% bodies
#er>orman=e at3
Poo& Less "han
sa"is'a"o&%
Sa"is'a"o&% Mo&e "han
sa"is'a"o&%
EHe!!en" Don;"
KnoA
ReD&esen"ing m% in"e&es"s
EHD!aining i"s Du&Dose
P&eCen"ing and on"&o!!ing
unAan"ed D&a"ies
SuDDo&"ing neA eonomi
ini"ia"iCes
Reso!Cing on'!i"
ons"&u"iCe!%
KeeDing ommi"men"s
S"&eng"hening i"s in'!uene
Ai"h highe& !eCe!s o'
goCe&nmen"
S!ale ,orma
Form of
stakeholder
economic activity
This form of
activity
should not be
supported at
all
Degree of governing bodys involvement (control) necessary to
support this form of activity
Full involvement
is essential (e.g.
co-management
or joint venture)
ome
involvement is
ade!uate
(e.g. advisory)
"nvolvement is
optional
(priority is lo#)
Dont kno#
Forestry
Fishery
$ining
Tourism
C/e!.)l's ,orma
No"e? "his an Ge used 'o& da"a o!!e"ion as Ae!! as "&aBing "he D&og&ess o' %ou& da"a
o!!e"ion D&oess1
Dae:
6es No No
Appl'!a*le
I#"'!aorE sepB e!1
[ [ [
The core Team is formed and operational
[ [ [
% social communication plan is being implemented
[ [ [
%ll stakeholders have been contacted and invited to take part on the
participatory evaluation.
[ [ [
The evaluation budget is covered for the current year at least
[ [ [
The evaluation plan and agenda have been agreed upon
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 32
ANNEC 81 IDEAS ,OR IMPRO2ING 6OUR
GO2ERNANCE: ,I2E CASE STUDIES
This se"ion o''e&s some ideas on hoA %ou an add&ess some goCe&nane asDe"s in need o'
imD&oCemen"1 SeCe&a! ase s"udies a&e D&esen"ed Ahe&e PA goCe&ning Godies haCe made hanges
"o imD&oCe "hei& goCe&nane1 Fo& eah ase# "he&e hanges a&e eHamined in some de"ai! and
o&ganiIed ao&ding "o "he D&iniD!es and &i"e&ia 'o& good goCe&nane D&esen"ed in se"ion - o'
"his Co!ume1 B% &eCieAing "hese ases# %ou ma% disoCe& o& on'i&m ideas 'o& imD&oCing "he
goCe&nane o' %ou& PA ao&ding "o sDei'i &i"e&ia1
Ga#a$aos 8arine Reser!e
Ba=C%ro!nd
The +a!aDagos Ma&ine Rese&Ce J+MRK omD&ises "he oas"a! and ma&ine &esou&es su&&ounding
"he +a!aDagos a&hiDe!ago1 Some 3@U o' "he a&hiDe!ago;s !and a&ea Aas de!a&ed a na"iona! Da&B
M "he +a!aDagos Na"iona! Pa&B R+NPS M in 43>3# a *o&!d He&i"age Si"e in 43@E and a (NESCO
BiosDhe&e Rese&Ce in 43E21
The +MR Aas ini"ia!!% de!a&ed a Ma&ine Resou&e Rese&Ce in 43E9 G% D&esiden"ia! de&ee1 Li""!e
e''o&" Aas made "o inCo!Ce Be% use&s o' "he &esou&e "h&ough in'o&ma"ion sha&ing# De&suasion# o&
nego"ia"ion# and no a""emD" Aas made a" omDensa"ion1 These issues# and "he 'a" "ha" "he
Rese&Ce !aBed !ega! s"anding# !ed "o 'ie&e !oa! oDDosi"ion and maNo& in'&a"ions and on'!i"s
Ai"hin i"s Gounda&ies M o'"en Ge"Aeen "he +NP and !oa! 'ishing oDe&a"o&s1
In 4339 "he na"iona! D&o"e"ed a&ea au"ho&i"ies a""emD"ed "o uni!a"e&a!!% uDg&ade "he Rese&Ce "o a
Bio!ogia! Rese&Ce Ai"hin "he s%s"em o' na"iona! D&o"e"ed a&eas1 This Aas on"es"ed G% o"he&
Minis"&ies# and# one again# Aas me" Ai"h s"&ong oDDosi"ion '&om main!and and !oa! DeoD!e1 One
o' "he main D&oG!ems Aas Euado& did no" haCe a Ma&ine Rese&Ce a"ego&% and "he&e'o&e# "he
Bio!ogia! Rese&Ce ou!d no" Ge a !ega!!% D&o"e"ed a&ea1 Mo&eoCe&# "he &u!es &ega&ding a
Bio!ogia! Rese&Ce Ae&e aDD!iaG!e 'o& "e&&es"&ia! Da&Bs on!% Je1g1 &egu!a"ing 7hun"ing 'o&
suGsis"ene8K1
In 4339# "he na"iona! D&o"e"ed a&ea au"ho&i"ies and onse&Ca"ion o''iia!s deided "o oDen a
dia!ogue aimed a" oCe&oming "he on'!i" and "o enou&age a Da&"iiDa"o&% D&oess in"ended "o
&eCise "he +MR;s Managemen" P!an1 A" "he na"iona! !eCe!# a goCe&nmen" ommission Aas
es"aG!ished "o D&eDa&e and d&a'" innoCa"iCe !egis!a"ion JBnoAn as "he 7SDeia! LaA8K 'o& "he
+a!aDagos Na"iona! Pa&B1
The Ma&ine Rese&Ce ChaD"e& o' "he SDeia! LaA Aas deCe!oDed Ai"h "he s"&ong suDDo&" and
on"&iGu"ion o' a !oa! Da&"iiDa"o&% D&oess D&omo"ed G% "he +NP# endo&sed G% "he Minis"&% o'
"he EnCi&onmen"# and Ai"h "ehnia! and !ogis"ia! suDDo&" '&om "he Cha&!es Da&Ain Resea&h
S"a"ion JCDRSK1 The D&oess# Gegun in 433@# G&ough" "oge"he& "he main soia! a"o&s in"e&es"ed
and a''e"ed G% "he managemen" o' "he &ese&Ce "o Noin"!% iden"i'% and so!Ce "hei& di''e&enes1
Thei& D&ima&% 'ous Aas "o &eCise "he +RM;s managemen" D!an1 Those inCo!Ced in "he D&oess
Ae&e !assi'ied in"o "h&ee a"ego&ies?
$articipants. di&e" use&s# suh as "he 'ishing ooDe&a"iCes# sea D&odu" me&han"s#
&eD&esen"a"iCes o' "he "ou&ism indus"&%# "he onse&Ca"ion se"o&# "he Do&" and mi!i"a&%
au"ho&i"ies# e"O
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3>
7ocal observers? !oa! au"ho&i"ies Aho Ae&e no" di&e"!% inCo!Ced J"he ma%o&s# "he
D&e'e"s# "he goCe&no&# e"1KO
Bational observers? "he mos" senio& goCe&nmen" au"ho&i"ies &esDonsiG!e 'o& "he is!and
&egion? Minis"&% o' "he EnCi&onmen"# D!us a 'eA nongoCe&nmen"a! o&ganiIa"ions1
This s"&a"eg% a!!oAed "he Ca&ious s"aBeho!de&s "o haCe "hei& oDinions hea&d1 The &ea"ion o'
7oGse&Ce&8 s"a"us 'o& "he na"iona! au"ho&i"ies s"&eng"hened "he message o' deen"&a!iIa"ion1 On "he
Da&" o' !oa! au"ho&i"ies# i" Aas an a""emD" "o main"ain "he 'ous on "he issues a" hand1 This
mehanism Aas used "o D!ae au"ho&i"ies in a Dosi"ion "o !is"en "o "he DeoD!e1 A!! Da&"iiDan"s and
!oa! use&s o' "he ma&ine &ese&Ce had "he same !eCe! o' imDo&"ane1 The main!and 'ishing in"e&es"s
Ae&e eH!uded# Geause "hei& a"iCi"ies Ae&e seen as inomDa"iG!e Ai"h "he oGNe"iCes o'
onse&Ca"ion and !imi"ed use o' ma&ine &esou&es# and "o &emain onsis"en" Ai"h "he D&oDosa! o'
eH"ending "he a&ea o' "he &ese&Ce '&om 4> "o 2. nau"ia! mi!es '&om "he Gase!ine1
To ensu&e g&ouDs Da&"iiDa"ed e''e"iCe!%# a&e'u! D&eDa&a"o&% Ao&B Aas a&&ied ou"# onsis"ing o'?
adCaned dis"&iGu"ion o' doumen"s and guide!inesO
maBing "ehnia! suDDo&" aCai!aG!eO
adCaned D&eDa&a"ion o' ommen"s# D&oDosa!s# and &eommenda"ionsO
heBs "o ensu&e ommen"s# D&oDosa!s and &eommenda"ions Ae&e !ea& and on&e"e1
P&o'essiona! 'ai!i"a"o&s Ae&e aDDoin"ed "o D&oCide oGNe"iCe he!D "o a!! Da&"ies inCo!Ced in
&eCising and &eA&i"ing "he managemen" D!an1 These 'ai!i"a"o&s a!so he!Ded d&aA uD a !ea& Ao&B
"ime"aG!e# Ai"h sDei'i goa!s and ou"omes1
A sho&"# !ea&!% 'oused and "ehnia!!% o&ien"ed eCen" Aas o&ganiIed# aimed a" &eahing gene&a!
onsensus on "he en"&a! Doin"s o' "he D!an1 To a&&% on "he D!anning D&oess a'"e& "he eCen"#
Da&"iiDan"s aDDoin"ed a o&e g&ouD o' 44 dedia"ed DeoD!e1 The g&ouD Aas omDosed o'? /
&eD&esen"a"iCes o' "he na"iona! Da&BO - eah '&om "he onse&Ca"ion# "ou&ism# and 'ishing se"o&sO 4
'&om "he 'ishe&ies diCisionO and 4 '&om "he Me&han" Ma&ine O''ie1 The g&ouD Ja!!ed "he 7+&uDo
Nu!eo8K 'oused on on"inuing "he &eCisions "o "he +MR;s managemen" D!an1 Thei& manda"e Aas
"o onCene mee"ings and !oa! disussion g&ouDs and "o ho!d &egu!a& D!ena&% sessions "o ensu&e
"he &eCised P!an Aas a onsensus<Gased doumen"1
In / mon"hs "he +&uDo Nu!eo D&odued a 'ina! onsensus &eDo&"# Gased on "h&ee Da&"s? J4K "he
D&iniD!es "ha" shou!d goCe&n managemen" o' "he D&o"e"ed ma&ine IoneO J-K "he Doin"s "ha" shou!d
Ge in!uded in "he &eCised managemen" D!anO and J/K asDe"s "ha" shou!d Ge in!uded Ai"hin a neA
!ega! '&ameAo&B 'o& a&&%ing ou" "ha" D!an1 The doumen" se&Ced as inDu" "o "he Ao&B o' "he
goCe&nmen" ommission D&eDa&ing "he SDeia! LaA1
A" "he end o' AD&i! 433@# "he Euado&ian P&esiden" G&oadened "he in"e&<ins"i"u"iona! maBe<uD o'
"he goCe&nmen" ommission1 ReD&esen"a"iCes o' "he !oa! 'ishing# "ou&ism# and onse&Ca"ion
in"e&es"s and o' muniiDa! goCe&nmen"s on "he is!ands Ae&e inCi"ed "o "aBe Da&" in "he
ommission;s Ao&B# and "he Minis"&% o' "he EnCi&onmen" Aas aDDoin"ed as oo&dina"o&1
A ommi""ed# o!!aGo&a"iCe e''o&" &esu!"ed in "he deCe!oDmen" o' Go"h "he SDeia! LaA 'o& "he
+a!aDagos and "he neA managemen" D!an 'o& "he +MR1 This Aas DossiG!e due "o "he ins"i"u"iona!
suDDo&" o' "he CDRS# "he +NP# "he *o&!d *i!d!i'e Fund# "he s"&ong Da&"iiDa"ion o' s"aBeho!de&
&eD&esen"a"iCes# and "he he!D o' man% 'ai!i"a"o&s1
In 433E# "he SDeia! LaA Aas Dassed and "he +MR Aas eH"ended in siIe and de!a&ed "he 'i&s"
Ma&ine Rese&Ce in Euado&# es"aG!ishing a neA a"ego&% o' D&o"e"ed a&eas in "he oun"&%1 In
4333# "he neA managemen" D!an en"e&ed in"o oDe&a"ion# &ea"ing "he +MR;s Da&"iiDa"o&%
managemen" Goa&d# "he ,un"a de ManeNo Pa&"iiDa"iCo J,MPK1 In -...# "he +ene&a! Regu!a"ions o'
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 39
"he LaA Ae&e issued# es"aG!ishing "he Da&"iiDa"o&% aDD&oah o' "he +RM;s managemen"1 A!!
&e!eCan" se"o&s Ae&e "o Ge inCo!Ced? onse&Ca"ion# &esea&h# a&"isana! 'ishing and "ou&ism1
Indus"&ia! 'ishing Aas "he on!% signi'ian" se"o& eH!uded1 This se"o&;s in"e&es"s Ae&e Nudged
inomDa"iG!e Ai"h "he neA onse&Ca"ion oGNe"iCes o' "he +MR1
The +MR;s goCe&nane s%s"em onsis"s o' "he ,MP# and In"e&<ins"i"u"iona! Managemen"
Au"ho&i"% JIMAK and "he +NP1 *hi!e "he ,MP is made uD o' "he Be% !oa! s"aBeho!de&s# "he IMA
omD&ises &eD&esen"a"iCes o' Minis"&ies and !oa! s"aBeho!de&s1 In "he ,MP# "he memGe&s D&esen"
D&oDosa!s one&ning &egu!a"ions o' 'ishe&ies and "ou&ism1 The% a&e a!so au"ho&iIed "o D&esen"
D&oDosa!s in "he a&eas o' onse&Ca"ion# edua"ion and &esea&h# "hough "his has %e" "o haDDen1
P&oDosa!s a&e nego"ia"ed and eCen"ua!!% ag&eed uDon G% onsensus1 The D&oDosa!s a&e "hen
suGmi""ed 'o& aDD&oCa! "o "he IMA and "hen "o "he +NP 'o& imD!emen"a"ion and on"&o!1 P&oDosa!s
"ha" haCe oG"ained onsensus in "he ,MP haCe a!mos" a!Aa%s Geen aDD&oCed G% "he IMA1
HoAeCe&# i' "he memGe&s o' "he ,MP a&e no" aG!e "o &eah onsensus# "he di''e&en" s"aBeho!de&
Dosi"ions a&e suGmi""ed "o "he IMA Ahe&e a deision is "aBen G% a maNo&i"% o' main!and
minis"e&ia! o''iia!s1 Thus# "he goCe&nane s%s"em has a s"&ong inen"iCe "o D&omo"e onsensus a"
"he !eCe! o' "he ,MP and D&eCen" unaeD"aG!e de!a%s1
DesDi"e "he o!!aGo&a"iCe na"u&e o' "he 'o&ma"ion o' "he SDeia! LaA# i" has &eeiCed ha!!enges1
Reen"!%# "he Na"iona! Tuna Fishe&man Assoia"ion JNTFAK !aimed "he SDeia! LaA Aas
unons"i"u"iona! and demanded "he ase Ge &eCieAed G% "he Cons"i"u"iona! SuD&eme ,u&% o'
Euado&1 Eigh" memGe&s o' "he ,u&% Co"ed in 'aCou& o' "he SDeia! LaA 'o& +a!aDagos and one
aGs"ained1 This D&oCided a s"&ong endo&semen" o' "he !ega! Ca!idi"% o' "he SDeia! LaA and has
oDened "he Aa% 'o& "he +MR "o Geome Da&" o' "he *o&!d He&i"age Si"e "ha" noA on!% in!udes
"he "e&&es"&ia! Da&B1
The in"&odu"ion o' !ega! and Do!i"ia! &e'o&m in "he goCe&nane o' "he +MR is eHDe"ed "o haCe
"he 'o!!oAing imDa"s?
gene&a! Do!iies Ai!! Ge &ea"ed 'o& onse&Ca"ion and sus"ainaG!e deCe!oDmen"# Ai"h
&esDe" "o Go"h human se""!emen"s and D&o"e"ed !and and sea a&easO
"he es"aG!ishmen" o' a Da&"iiDa"o&% managemen" &egime# J"he ,MPK Ai"h s"&ong !ega!
!egi"ima%# as i" is GaBed G% "he SDeia! LaA o' +a!aDagos o' 433E# "he managemen"
D!an o' 4333# "he O''iia! Regu!a"ions o' -...# and "he deision o' "he Cons"i"u"iona!
SuD&eme ,u&% o' Euado& in -..4O
s"&eng"hening o' "he deision<maBing aDai"% o' !oa! enCi&onmen"a! and deCe!oDmen"
au"ho&i"iesO
in&eased deision<maBing DoAe&s 'o& !oa! 'ishing ooDe&a"iCesO
e''e"iCe Da&"iiDa"ion o' !oa! 'ishing ooDe&a"iCes in "he use and managemen" o'
'ishe&ies &esou&esO
a suGs"an"ia! in&ease in 'unds &esu!"ing '&om deen"&a!iIa"ion o' "aHa"ionO i1e1# "he
na"iona! Da&B au"ho&i"ies a&e emDoAe&ed "o o!!e"# adminis"e&# and dis"&iGu"e "aH &eCenues
'&om "ou&is" 'ees "o 'inane "he ma&ine &ese&Ce;s managemen" D!anO
!a&i"% on "he soDe o' "he D&oCinia! and onse&Ca"ion Godies; au"ho&i"% and a"ionO i1e1#
"he +NP noA sha&es Nu&isdi"ion oCe& "he ma&ine a&ea Ai"h "he 'ishing and mi!i"a&%
au"ho&i"ies# and mus" &esDe" deisions on deCe!oDmen" a"iCi"ies made G% "he aDD&oD&ia"e
&egu!a"o&% God%O
a signi'ian" &edu"ion in "he &a"e o' DoDu!a"ion g&oA"h# Geause o' &es"&i"ions on
immig&a"ionO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3@
g&ea"e& !oa! on"&o! oCe& eH"e&na! DuG!i and D&iCa"e in"e&es"s seeBing "o eHD!oi" "ou&ism
and 'ishing &esou&es1
The deg&ee o' deen"&a!iIa"ion ahieCed "h&ough "he SDeia! LaA is unD&eeden"ed in "he oun"&%
and is esDeia!!% signi'ian" Geause "he is!and DoDu!a"ion is so sma!! and has Ce&% !i""!e Do!i"ia!
in'!uene1 The +RM D&oCides a signi'ian" eHamD!e o' ins"i"u"iona!iIed Da&"iiDa"o&%
managemen" and Do!i"ia! and !ega! &e'o&m in a D&o"e"ed a&ea goCe&nane s%s"em1
&te#s taCen to im#ro:e %o:ernan=e
7egitimacy and 8oice
Res#onsi:eness to PoAer &<arin%? The e''o&"s o' s"aBeho!de&s and D&o"e"ed a&ea au"ho&i"ies !ed
"o !ega! and Do!i"ia! &e'o&m in "he +MR goCe&nane s%s"em1 Po!i"ia! suDDo&" '&om "he
highes" Do!i"ia! !eCe! Aas oG"ained on &i"ia! issues?
The use o' a mu!"i<Da&"% o!!aGo&a"iCe D&oess "o &eCise "he +MR;s managemen" D!an and
design "he SDeia! LaA1
The Dassing o' SDeia! LaA1 Legis!a"ion Aas &ea"ed "o !a&i'% "he !ega! &egime goCe&ning
"he en"i&e is!and "e&&i"o&%# Gui!d !oa! managemen" aDai"%# and es"aG!ish D&iniD!es o'
sus"ainaG!e deCe!oDmen"1
The aDDoin"men" o' a media"o& J"he Minis"&% o' "he EnCi&onmen"K aeD"aG!e "o a!!
s"aBeho!de&s "o 'ai!i"a"e "he designing o' "he SDeia! LaA1
The eH!usion o' "he main!and omme&ia! 'ishing se"o& '&om "he mu!"i<Da&"% D&oesses1
E>>e=ti:e Consens!s )e=isions? s"aBeho!de&s inCo!Ced in "he 'o&ma"ion o' "he +MR haCe "aBen a
numGe& o' s"eDs "o imD&oCe "hei& onsensus deisions?
To &eso!Ce on'!i"s# dis"&iGu"iona! issues suh as s"aBeho!de& DoAe&# and "he os"s and
Gene'i"s o' sus"ainaG!e &esou&e use haCe Geen add&essed1 One o' "he &esu!"s Aas "he
eH!usion o' "he main!and omme&ia! 'ishing se"o& "ha" migh" haCe used i"s eonomi
DoAe& and Do!i"ia! in'!uene "o de&ai! "he D&oeedings1 Con'!i" &eso!u"ion has 'oused
on "he nego"ia"ion o' 7needs#8 &a"he& "han 7in"e&es"s#8 among g&ouDs and ins"i"u"ions
&esiden" in "he is!ands# Ahih shi'"ed disussion "oAa&d ommon 7D&oG!ems18
ImDa&"ia!# sBi!!ed 'ai!i"a"o&s Ae&e used "o maBe "he Da&"iiDa"o&% D&oess 'o& &eCising "he
+MR managemen" D!an mo&e e''e"iCe1
A Ca&ie"% o' Da&"iiDa"o&% &esea&h me"hods haCe Geen used "o a!!oA Da&"iiDan"s "o
Cisua!iIe omD!eH issues "h&ough "he use o' simD!e "ehni$ues suh as 5enn diag&ams#
seasona! a!enda&s# maDDing# e"1
The&e is an imGedded inen"iCe 'o& "he ,MP "o &eah onsensus on i"s "ehnia! D&oDosa!s
and aCoid de!a%s1 I' "he ,MP anno" oG"ain onsensus# "he AIM Ai!! maBe i"s oAn
deision1
E>>e=ti:e Re#resentation o> &taCe<o"der Interests? The&e has Geen man% asDe"s o' "he
Da&"iiDa"o&% managemen" aDD&oah in "he +MR "ha" haCe D&oCided e''e"iCe s"aBeho!de&
&eD&esen"a"ion?
The si"e 'o& "he 'i&s" mu!"i<Da&"% mee"ing "o disuss "he &eCision o' "he +MR managemen"
D!an "ooB D!ae on one o' "he +a!aDagos is!ands# &a"he& "han in a D&oCinia! o& na"iona!
aDi"a!1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 3E
The use o' 7Da&"iiDan"8 and 7oGse&Ce&8 s"a"us a" "he mu!"i<Da&"% mee"ings gaCe "he same
!eCe! o' imDo&"ane "o a!! Da&"iiDan"s and !oa! use&s# and i" a!!oAed "hei& Coies "o Ge
hea&d G% !oa! and na"iona! au"ho&i"ies1
The +&uDo Nu!eo;s memGe&shiD Aas hosen G% a G&oad sDe"&um o' s"aBeho!de&s# and
&eD&esen"ed man% in"e&es"s1
The goCe&nmen" ommission "o design "he SDeia! LaA has G&oad se"o&a! &eD&esen"a"ion1
The ,NP and AIM &eD&esen" a Aide &ange o' s"aBeho!de& in"e&es"s1
&tren%t<enin% &taCe<o"der Parti=i#ation? 'os"e&ing !oa! Da&"iiDa"ion has Geen a ons"an"
D&io&i"% sine 43391 NeA Ao&Bing &e!a"ions haCe Geen 'o&ged and &eogni"ion has Geen giCen
"o !oa! g&ouDs as !egi"ima"e s"aBeho!de&s1 The Da&"iiDa"o&% D&oess "ha" &eCised "he +MR;s
Managemen" P!an emDoAe&ed and suDDo&"ed ma&gina!iIed s"aBeho!de&s1
'ccountability
A##ro#riate Ro"es and Res#onsibi"ities? The ,MP is BeD" aoun"aG!e "o "he in"e&<ins"i"u"iona!
AIM G% haCing "o &eah onsensus on "ehnia! D&oDosa!s in a &easonaG!e amoun" o' "ime1 I'
an unaeD"aG!e de!a% is ou&&ing# "he AIM has "he DoAe& "o maBe a deision on "he D&oDosa!
on i"s oAn ao&d1
$erformance
Cost E>>e=ti:eness and E>>i=ien=y? Du&ing "he &eCision o' "he +MR;s managemen" D!an#
D&eDa&a"ion o' doumen"s Ge'o&ehand Je1g1 summa&ies# in"e&D&e"a"ions o' "ehnia! da"a#
D&oDosa!sK# and &e&ui"men" o' "ehnia! suDDo&" imD&oCed "he e''e"iCeness and e''iien% o'
mee"ings1 As Ae!!# "o a&&% on "he &eCisions# "he&e Aas an e''e"iCe de!ega"ion o'
&esDonsiGi!i"ies1 A "asB 'o&e Aas aDDoin"ed Ji1e1 "he +&uDo Nu!eoK Ahih D&oCided "he
neessa&% !eade&shiD# 'ous and ene&g%1
&!>>i=ient Ca#a=ity? The D&oesses &eeiCed suDDo&" '&om in"e&na"iona! onse&Ca"ion
in"e&es"s1 As Ae!!# eHDe&"ise in on'!i" &eso!u"ion# 'ai!i"a"ion and "ehnia! 'ie!ds Aas
&e&ui"ed du&ing &i"ia! Doin"s in "he D!anning D&oesses1
E>>e=ti:e Ad:o=a=y and Ed!=ation? MoGi!iIa"ion and Do!i"ia! D&essu&e '&om !oa!
s"aBeho!de&s and D&o"e"ed a&ea au"ho&i"ies made "he +MR a na"iona! Do!i"ia! D&io&i"%1
Con"inued adCoa% and edua"ion ensu&ed "he SDeia! LaA# "he +MR managemen" D!an and
"he O''iia! Regu!a"ions a!! es"aG!ished Da&"iiDa"o&% managemen" in "he +MR1
!airness
EI!itab"e !se o> Go:ernin% Instr!ments? The neA managemen" D!an 'o& "he +MR and "he
SDeia! LaA haCe Geen es"aG!ished Ai"h "he inDu" o' a G&oad sDe"&um o' s"aBeho!de&s1 *i"h
"he eHeD"ion o' "he main!and omme&ia! 'ishing se"o&# "he D!anned dis"&iGu"ion o' "he os"s
and Gene'i"s assoia"ed Ai"h "he es"aG!ishmen" and oDe&a"ion o' "he +MR shou!d Ge e$ui"aG!e1
3irection
E>>e=ti:e Leaders<i#? Add&essing DeoD!e;s o&e needs and in"e&es"s in Da&"iiDa"o&%
D&oesses has he!Ded e''e"iCe !eade&shiD "o eme&ge a" "he ommuni"% !eCe!# e1g1# "he +&uDo
Nu!eo1 This ommi"men"# as Ae!! as adCoa% e''o&"s# has seu&ed suDDo&" '&om !eade&s in
o"he& se"o&s# in!uding "he +NP# "ehnia! ins"i"u"ions# onse&Ca"ion o&ganiIa"ions# and !oa!
and na"iona! goCe&nmen"1
'dapted !rom >eylings and 9ravo C&---D5 ?viedo C"###D and >eylings L Cru; C"##D
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 33
C#ayo5uot Sound Centra# Reion 3oard
Ba=C%ro!nd
C!a%o$uo" Sound is !oa"ed on "he *es" Coas" o' 5anouCe& Is!and# B&i"ish Co!umGia# Canada1 I"
is a &egion o' aGundan" na"u&a! Geau"%# u!"u&a! imDo&"ane and omme&ia! signi'iane1 I" is
omDosed o' a omD!eH ne"Ao&B o' undeCe!oDed Aa"e&sheds# is!ands# hanne!s# 'No&ds# and o!d
g&oA"h 'o&es"s1 I" has a "o"a! a&ea o' /#>.. s$ua&e Bi!ome"&es# a!mos" @.U o' Ahih is oCe&ed in
'o&es"s1 ADD&oHima"e!% />U o' "he Sound;s !and a&ea J->U o' "he "o"a! a&eaK is a "e&&es"&ia!
D&o"e"ed a&ea1 The D&o"e"ed a&ea 'o&ms a &ese&Ce !inBing "he in"e&io& moun"ains "o "he oean1 I"
in!udes signi'ian" o!d g&oA"h 'o&es"# !aBe and &iCe& sa!mon sDaAning haGi"a"# &a&e ma&ine
eos%s"ems and &a&e D!an" sDeies1
C!a%o$uo" Sound is a!so home "o "he 'iCe Cen"&a! Region T&iGes o' "he Nuu<hah<nu!"h Fi&s"
Na"ions Aho haCe !ong demanded &eogni"ion o' and Nu&isdi"ion oCe& "hei& "&adi"iona! "e&&i"o&%#
Ahih enomDasses a!! o' "he Sound1
(n"i! 4332# "he his"o&% o' !and use and &esou&e managemen" in C!a%o$uo" Sound Aas 'i!!ed Ai"h
on"&oCe&s% and on'!i"# D&ima&i!% inCo!Cing 'o&es"s on C&oAn !and1 In gene&a!# "hose Da&"ies
mos"!% in"e&es"ed in !a&ge<sa!e indus"&ia! D&odu"ion o' 'iG&e Ae&e Di""ed agains" o"he&s Aho
CieAed "he 'o&es"s and 'o&es" haGi"a" as i&&eD!aeaG!e sou&es o' eo!ogia!# &e&ea"iona! and
sDi&i"ua! Ca!ues1 A" "he en"&e o' "his s"&ugg!e Ae&e "he Nuu<hah<nu!"h Fi&s" Na"ions Aho Ae&e
on"es"ing "he P&oCinia! +oCe&nmen";s !aim "o oAne&shiD o' C!a%o$uo";s !ands and &esou&es1
E$ua!!% imDo&"an"# "he Nuu<hah<nu!"h Ae&e demanding "ha" an e$ui"aG!e sha&e o' "he eonomi
Gene'i"s gene&a"ed G% use o' "he Sound;s &esou&es &emain in "he !oa! ommuni"ies1
The &isis ame "o a head du&ing "he summe& o' 433/1 Thousands o' DeoD!e '&om a&ound "he
Ao&!d assemG!ed in C!a%o$uo" "o D&o"es" on"inued !ea& u" !ogging and# '&om "he
enCi&onmen"a!is"s; Doin" o' CieA# insu''iien" &ea"ion o' D&o"e"ed a&eas as a!!oa"ed in "he
P&oCine;s C!a%o$uo" Sound Land (se Deision1 A" "he same "ime# "he Nuu<hah<nu!"h Fi&s"
Na"ions un!eashed a DoAe&'u! in"e&na"iona! amDaign 'o& g&ea"e& &eogni"ion o' "hei& aGo&igina!
&igh"s in !and use and &esou&e managemen" deisions1
Faed Ai"h a s"&ong enCi&onmen"a!is"<Fi&s" Na"ion;s oa!i"ion# "he P&oCinia! +oCe&nmen" sough"
"o on"ain "he on'!i" G% nego"ia"ing an ag&eemen" on sha&ed deision maBing Ai"h "he Nuu<
hah<nu!"h1 The ag&eemen" "ooB "he 'o&m o' an In"e&im Measu&es Ag&eemen" JIMAK# Ahih Aou!d
D&o"e" Be% Nuu<hah<nu!"h Ca!ues Ahi!e G&oade& "&ea"% nego"ia"ions Ae&e s"i!! in D&oess1 The
IMA mehanism g&eA ou" o' an ea&!ie& in"e&<ins"i"u"iona! &eCieA o' "he "&ea"% D&oess1 The
eme&gene o' "he IMA s"&a"eg% Aas a!so a &esDonse "o "he g&oAing !ega! &eogni"ion o' aGo&igina!
&igh"s "o e&"ain !and and &esou&e use as ensh&ined in "he Canadian Cons"i"u"ion1 The P&oCinia!
+oCe&nmen" and "he Nuu<hah<nu!"hPs he&edi"a&% hie's '&om "he &egion J"he P&iniDa!sK
on!uded "he C!a%o$uo" Sound IMA in Ma&h 4332 a'"e& 72. da%s and 2. nigh"s8 o' "ense# o'"en
a&imonious nego"ia"ions1
Con"inuous D&essu&e '&om "he hie's and enCi&onmen"a!is"s ensu&ed "ha" "he IMA on"ained
measu&es "o s"&eng"hen "he Fi&s" Na"ion;s eonomi deCe!oDmen" and "he D&o"e"ion o' eo!ogia!
and Fi&s" Na"ion;s Ca!ues in &esou&e managemen"1 TAo Be% ahieCemen"s Ae&e "he es"aG!ishmen"
o' an eonomi deCe!oDmen" 'und 'o& "he Nuu<hah<nu!"h# and "he &ea"ion o' a Noin" deision<
maBing D&oess 'o& "he managemen" o' a!! !and and &esou&es in "he &egion1 The P&iniDa!s &ea"ed
"he C!a%o$uo" Sound Cen"&a! Region Boa&d JCRBK as "he God% &esDonsiG!e 'o& adminis"e&ing "he
imD!emen"a"ion o' "his sha&ed managemen" D&oess1 The% 'o&ged a manda"e 'o& "he Boa&d# Ahih
D&io&i"iIed "he onse&Ca"ion o' eo!ogia! Ca!ues# "he diCe&si'ia"ion o' "he !oa! eonom% and "he
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4..
D&o"e"ion o' Nuu<hah<nu!"h soio<eonomi and u!"u&a! in"e&es"s1 The Boa&d;s main Cehi!e 'o&
imD!emen"ing i"s manda"e Aas "h&ough "he P&oCine;s &e'e&&a! D&oess 'o& &eCieAing &esou&e use
aDD!ia"ions1
Sine "he CRB Aas &ea"ed "h&ough an ag&eemen" Ai"h "he P&oCinia! +oCe&nmen" Ji1e1 a se"ion
o' "he IMAK# i"s au"ho&i"% &es"s on a Do!i% and Do!i"ia! Gase# no" a !ega! one1
The CRB Aas omDosed o' 'iCe aGo&igina! &eD&esen"a"iCes Jone '&om eah o' "he 'iCe Cen"&a!
Region T&iGesK# and 'iCe &eD&esen"a"iCes aDDoin"ed G% "he P&oCine1 I" a!so had "Ao o<hai&s# one
'&om "he Nuu<hah<nu!"h and one '&om "he D&oCinia! goCe&nmen"1 The CRB had a "h&ee<memGe&
se&e"a&ia"? a di&e"o&# one se&e"a&% and one &esea&h oo&dina"o&)ana!%s"1
The CRB has "h&ee Be% sou&es o' DoAe&?
41 ReCieA o' &i"ia! doumen"s &e!a"ed "o C!a%o$uo" Sound?
The Boa&d has "he &igh" "o &eCieA an% D!an# aDD!ia"ion# De&mi"# deision# &eDo&" o&
&eommenda"ion &e!a"ing "o &esou&e managemen" o& !and use a''e"ing C!a%o$uo" Sound1 The
Boa&d;s &esDonsiGi!i"% is "o &eah a onsensus on Aha" a"ion "o "aBe on "he doumen" Ai"hin /.
da%s o' &eeiCing i"1 One o' "h&ee a"ions an Ge "aBen? aeD"# D&oDose modi'ia"ions "o# o&
&eommend &eNe"ion o' "he doumen"1 The sDonso& o' "he doumen"# i1e1 a Minis"&%# agen%# o&
Dane!# "hen has ano"he& /. da%s "o imD!emen" "he Boa&d;s deision Jmodi'ia"ions "o o& &eNe"ion
o' "he doumen"K "o "he Boa&d;s sa"is'a"ion1
-1 Righ" "o &e'e& non<omD!iane "o highe& Noin" goCe&nane Godies1
I' "he Boa&d is no" sa"is'ied Ai"h "he sDonso&s; &esDonse "o i"s &eommenda"ions# "he Boa&d has "he
&igh" "o &e'e& i"s deisions "o "he P&oCinia! CaGine"1 I' "his &e'e&&a! "o CaGine" &ea"es a
disag&eemen" Ge"Aeen "he Boa&d and "he CaGine"# "he he&edi"a&% Chie's o' "he Nuu<hah<nu!"h
Cen"&a! Region T&iGes an inCoBe "hei& oAn oCe&a&hing &igh" "o onCene a Cen"&a! Region
Resou&e Couni! omDosed o' "he Chie's and Minis"e&s o' B&i"ish Co!umGia "o "&% "o se""!e "he
disDu"e1 The +oCe&nmen" o' B1C1 an a!so &e'e& disDu"es "o "he Couni!1 Conside&ing "ha" "he
Boa&d is omDosed o' a numGe& o' "he he&edi"a&% Chie's# and)o& asDi&es "o a" in "he Chie's;
in"e&es"s# "he oCe&a&hing &igh" "o onCene "he Couni! an a!so Gene'i" "he CRB1
/1 (nD&eeden"ed aess "o goCe&nmen" in'o&ma"ion
The Boa&d has unD&eeden"ed aess "o goCe&nmen" in'o&ma"ion1 C!ause 44 o' "he seond IMA
s"a"es "he Do!i% o' "he goCe&nmen" is "o ensu&e "he Boa&d Ai!! haCe aess "o 7su''iien"
in'o&ma"ion "o maBe in'o&med deisions18
The &igh"s de"ai!ed aGoCe se" "he CRB aDa&" '&om o"he& P&oCinia! +oCe&nmen"<Fi&s" Na"ion;s<
ommuni"% ini"ia"iCes# Ahih a&e essen"ia!!% adCiso&% in na"u&e1
The Boa&d;s 'i&s" %ea& Aas &oB%1 DesDi"e "he a&e'u! se!e"ion o' !oa! DeoD!e "o Ge "he 'iCe
P&oCinia! &eD&esen"a"iCes JDeoD!e Aho aDDea&ed aG!e and Ai!!ing "o Ao&B "oge"he&K# 'ee!ings s"i!!
&an high oming in"o "he 'i&s" CRB mee"ing1 I"s memGe&s had !i""!e "&us" in a o!!aGo&a"iCe D&oess
Gased on nega"iCe eHDe&ienes Ai"h simi!a& ini"ia"iCes in "he Das"1 The mos" aDDa&en" "ensions
eHis"ed Ge"Aeen some aGo&igina! and non<aGo&igina! memGe&s# and Ge"Aeen enCi&onmen"a!is" and
"hose suDDo&"ing indus"&ia! !ogging1 HoAeCe&# "he 'i&s" "Ao CRB o<hai&s had eHDe&iene in o<
oDe&a"iCe e''o&"s and "he% ommanded signi'ian" &esDe" '&om "he memGe&shiD1 The o<hai&s
Ae&e suess'u! in hanging "he memGe&s; a""i"udes "o 'aCou& Noin" D&oG!em so!Cing1
*i"h "he in"&odu"ion o' "he Sien"i'i Pane! Reommenda"ions 'o& Sus"ainaG!e Fo&es" P&a"ies
in C!a%o$uo" Sound in ,u!% 433># "he Boa&d;s Do!i% au"ho&i"% "o es"aG!ish and &egu!a"e on<"he<
g&ound D&a"ies g&eA1 HoAeCe&# Boa&d memGe&s $uiB!% 'ound "ha" D&oG!ems a" "he oDe&a"iona!
managemen" !eCe! Ae&e ineH"&iaG!% !inBed Ai"h G&oade& issues o' DuG!i Do!i%1 Thus# desDi"e i"s
o&igins as an adminis"&a"iCe God%# "he Boa&d $uiB!% 'ound i"se!' imme&sed in ma""e&s o'
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.4
goCe&nane1 This# hoAeCe&# !ed "o onside&aG!e &esis"ane '&om "he P&oCinia! +oCe&nmen"# "he
maNo& &esou&e o&Do&a"ions and o&ganiIed !aGou&1 As Boa&d oDe&a"ions on"inued "o oDen uD
deision<maBing and Do!i% 'o&ma"ion D&oesses "o mo&e meaning'u! DuG!i inCo!Cemen"# "he "&io
in&easing!% De&eiCed "he CRB as a "h&ea" "o "hei& DoAe& and in'!uene1 Conse$uen"!%# "he%
e&e"ed onside&aG!e Ga&&ie&s "o "he imD!emen"a"ion o' "he Boa&d;s manda"e and D&eiDi"a"ed a
s"&ugg!e "o de'ine "he na"u&e o' "he CRB;s &o!e1
The P&oCinia! +oCe&nmen" ini"ia!!% "&ied "o &e!ega"e "he &o!e o' "he CRB "o "ha" o' a 7&uGGe&
s"amD8 G% Du""ing "he Boa&d a" "he end o' "he &e'e&&a! D&oess1 In "his Dosi"ion# "he Boa&d 'ound i"
di''iu!" "o eHe&" i"s in'!uene? i" ended uD D&o!onging &eCieAs eCen 'u&"he& in "he 'ina! s"ages
Ahen "ime and os" D&essu&es Ae&e a!&ead% &unning high 'o& "he aDD!ian"1 In &esDonse# "he Boa&d
&eDosi"ioned i"se!' in "he &e'e&&a! D&oess1 Ao&ding "o in"e&CieAees# sho&"!% a'"e& "he Boa&d
Gegan oDe&a"ing i" in'o&med "he goCe&nmen" M D&iniDa!!% "he Minis"&% o' Fo&es"s M "ha" i" Aas "o
Ge engaged a" di''e&en" Doin"s ea&!% in "he &e'e&&a! D&oess1 This Aas "o ensu&e "ha" issues o'
one&n "o "he Boa&d ou!d Ge &aised and &esDonded "o in a "ime!% manne&1 This s"&a"eg% se" "he
Boa&d aDa&" '&om o"he& ommuni"% &esou&e o& D&o"e"ed a&ea Goa&ds1 B% inse&"ing i"se!' in "he
ini"ia! assessmen" s"ages 'o& D&oDosa!s# "he CRB has Geen aG!e "o mo&e e''e"iCe!% in'!uene
ou"omes1
To "he D&esen"# muh o' "he CRB;s "ime and &esou&es has Geen dedia"ed "o oCe&oming
&esis"ane '&om "hese DoAe&'u! s"aBeho!de&s# &a"he& "han "o eHDanding "he Gene'i"s o' a ommi""ed
Da&"ne&shiD1 DesDi"e onside&aG!e oGs"a!es# "he CRB has made onside&aG!e ahieCemen"s in "he
'o!!oAing a&eas?
P&oCided ideas 'o& &esou&e managemen" Do!i% and D&a"ie1
The Boa&d;s oDe&a"ions and eHDe&ienes has D&oCided D&a"ia! ideas and "ime!% inDu" "o Do!i%
maBe&s and D&a"i"ione&s "o Ge""e& add&ess omD!eH issues suh as D&ese&Cing eo!ogia! in"eg&i"%#
D&o"e"ing Fi&s" Na"ion;s aGo&igina! &igh"s and D&omo"ing ommuni"% eonomi deCe!oDmen"1 Fo&
eHamD!e# "he Boa&d has D!a%ed a en"&a! &o!e in es"aG!ishing Noin" Do!iies Ai"h "h&ee P&oCinia!
Minis"&ies "o eHDedi"e "he &eCieA D&oess Ai"hou" sa&i'iing ommuni"% and eo!ogia! Ca!ues1
The Boa&d has used i"s manda"e "o enou&age s"aBeho!de&s "o !ea&n '&om eah o"he& and 'ind a
Ga!ane Ge"Aeen "&adi"iona! Ca!ues o' eonomi e''iien% and inCes"o& seu&i"% Ai"h mo&e
$ua!i"a"iCe Ca!ues emDhasiIing &esi!iene# s"aGi!i"%# soia! e$ui"%# Noin" !ea&ning and '!eHiG!e
so!u"ions1 SDei'ia!!%# "he Boa&d has Ao&Bed Ai"h Da&"ies "o ino&Do&a"e "hese Ca!ues in"o a
omGina"ion o' 'o&ma! D&oDe&"% &igh"s and D&oedu&a! assu&anes goCe&ning hanges "o "hose
D&oDe&"% &igh"s1 In "his Aa%# "he Boa&d has &edued une&"ain"% 'o& s"aBeho!de&s G% &ea"ing a
onsis"en" and "&ansDa&en" deision<maBing D&oess1
The Boa&d;s suess a" o&ganiIing and using o!!aGo&a"iCe 'o&ums has a!!oAed i" "o Ge a Do!i%
G&oBe& and Do!i% maBe& 'o& "he goCe&nmen"1 I"s Da&"iiDa"o&% 'o&m o' goCe&nane has D&oCided
au"ho&i"ies Ai"h a Do"en"ia! mode! 'o& 'u"u&e &egiona! goCe&nane# Gased on a "&ea"% in "he a&ea1
This has in&eased "he Boa&d;s &ediGi!i"% and in'!uene1
+ene&a"ed soia! s"aGi!i"% and mu"ua! Gene'i"s1
The Boa&d;s emDhasis on mu!"i<Da&"% dia!ogue and o!!aGo&a"ion has %ie!ded man% Noin" Gene'i"s
in "he sho&" "e&m1 The mass D&o"es"s and soia! uDheaCa! oCe& !ogging issues "ha" ha&a"e&iIed "he
Das" has no" ou&&ed Ai"h "he Boa&d D&oess in D!ae1 Ke% "o main"aining "his Deae has Geen "he
Boa&d;s ommi"men" "o s"eadi!% imD&oCing "he omD!eH imD!emen"a"ion o' "he Sien"i'i Pane!
Reommenda"ions in Aa"e&shed D!anning and De&mi" &eCieA1
The CRB has a!so D&oCided "he &egion Ai"h a s"aG!e ins"i"u"iona! D&esene "o &eso!Ce di''e&enes
oCe& !and and &esou&e managemen" du&ing "he "&ansi"iona! De&iod "o a "&ea"% Ai"h "he Nuu<hah<
nu!"h1 This &o!e has s"&eng"hened "he Boa&d Do!i"ia! and Do!i% Gasis o' au"ho&i"%1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.-
P&oCided !oa! aDai"% Gui!ding1
The Boa&d;s oDe&a"ions and a"iCi"ies haCe on"&iGu"ed signi'ian"!% "o !oa! aDai"% Gui!ding in
"h&ee Aa%s1 Fi&s"# "he% haCe in&eased !oa! "ehnia! BnoA!edge &e!a"ed "o &esou&e managemen"
issues1 Seond# "he% haCe s"&eng"hened Boa&d and ommuni"% memGe&s; aDai"% "o Ao&B
o!!aGo&a"iCe!% "o &eso!Ce D&oG!ems1 This is Gased on "he Gui!ding o' Dosi"iCe soia! &e!a"ions and
use o' e''e"iCe!% s"&u"u&ed dia!ogues1 Thi&d# "he% haCe 'os"e&ed !eade&shiD $ua!i"ies and sBi!!s
among %ounge& aGo&igina! and non<aGo&igina! &esiden"s1 Thus# "he CRB;s Ao&B is haCing a
D&o'ound !ong<"e&m e''e"? i" is he!Ding "o &ea"e a GanB o' "ehnia!# D&oess and !eade&shiD
sBi!!s# Ahih "he ommuni"% and goCe&nmen" an d&aAn uDon 'o& 'u"u&e use1
P&oCided a &e!a"iCe!% !oA<os" D&oess and Do!i% oD"ion1
The mone% sDen" di&e"!% on "he CRB D&oess is mino& Ahen omDa&ed "o 'unding 'o& o"he&
D&og&ams o& a"iCi"ies in C!a%o$uo" Sound1 Mo&eoCe&# "he CRB;s oDe&a"ing os" seems &easonaG!e
Ahen omDa&ed "o eHDenses "he goCe&nmen" ou!d haCe inu&&ed using o"he& Do!i% a!"e&na"iCes
in C!a%o$uo" Sound# e1g1 !a&ge# in"e&es"<Gased &ound "aG!es# on"inued !i"iga"ion# D&oseu"ion o'
D&o"es"e&s o& "he &ea"ion o' a neA Da&B s"&u"u&e1
P&oCided !eade&shiD?
The Boa&d has suDDo&"ed ini"ia"iCes "o &ea"e and &ea!iIe a sha&ed Cision 'o& soia!# eo!ogia! and
eonomi sus"ainaGi!i"% in C!a%o$uo" Sound1 Fo& eHamD!e# i" D&oCided signi'ian" suDDo&" "o "he
ini"ia"iCe 'o& haCing C!a%o$uo" Sound designa"ed as a (ni"ed Na"ions Edua"iona! Sien"i'i
Cu!"u&a! O&ganiIa"ion J(NESCOK BiosDhe&e Rese&Ce1 This designa"ion Aas ahieCed in ,anua&%#
-...1
The Boa&d;s eHDe&iene a!so &eCea!s "ha" eo!ogia! and soia! Ca!ues an Ge enhaned as !ong as
deision<maBing DoAe& is eHe&ised a" Go"h "he oDe&a"iona! managemen"# and highe& goCe&nane
!eCe!1
The IMA and "he Boa&d;s manda"e Ae&e &eneAed 'o& a seond "ime in Ma&h# -...1 The CRB
Ai!! on"inue "o 'un"ion un"i! "he Nuu<hah<nu!"h Fi&s" Na"ions &eah a 'ina! "&ea"% ag&eemen"
Ai"h "he +oCe&nmen"s o' B&i"ish Co!umGia and Canada1 A "&ea"% Ai!! ushe& in neA 'o&ms o'
goCe&nane 'o& C!a%o$uo" Sound and "he &egion1
&te#s taCen to im#ro:e %o:ernan=e
7egitimacy and 8oice
Res#onsi:eness to PoAer &<arin%? The P&oCinia! +oCe&nmen" demons"&a"ed &esis"ane "o
DoAe& sha&ing G% a""emD"ing "o ma&gina!iIe "he CRB in "he &e'e&&a! D&oess1 The Boa&d
&esDonded G% &eDosi"ioning i"se!' a" "he s"a&" o' "he D&oess "o Geome mo&e in'!uen"ia! in &e<
designing and deiding on D&oDosa!s1 The Boa&d has a!so used "he G&oade& nego"ia"ions on
"&ea"% &igh"s 'o& "he Nuu<hah<nu!"h "o !eCe&age i"s !egi"ima% in "he e%es o' "he P&oCine1
E>>e=ti:e Consens!s )e=isions? In o&de& "o gain a sha&e o' deision<maBing DoAe& Ai"h "he
P&oCinia! +oCe&nmen"# "he Boa&d had "o 'o&ge a uni'ied Coie among i"s disDa&a"e memGe&s1
The CRB;s 'i&s" o<hai&s moCed sAi'"!% "o &ea"e a o!!aGo&a"iCe u!"u&e G% emD!o%ing 'ou&
deisiCe "a"is?
C&ea"e a G&ea"hing sDae1
The o<hai&s Ao&Bed Ai"h Be% goCe&nmen" o''iia!s "o oG"ain a gene&a! ag&eemen" "o
ho!d o'' '&om G&inging sDei'i deisions in '&on" o' "he Boa&d1 As a &esu!"# CRB memGe&s
gained a sho&" G&ea"hing sDae o' a ouD!e o' mon"hs du&ing Ahih "he% Gegan 'o&ming a
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4./
o!!e"iCe Cision o' "he Boa&d;s &o!e and "he% s"a&"ed "&aining in onsensus deision<
maBing1
Fos"e& "eam Gui!ding1
The o<hai&s moCed $uiB!% "o Gui!d ooDe&a"ion and "&us" among CRB memGe&s1 The%
o&ganiIed edua"iona! sessions "o in&ease unde&s"anding o' and aDD&eia"ion 'o& "he
onsensus deision<maBing D&oess and Fi&s" Na"ion;s De&sDe"iCes These ea&!% sessions
Ae&e Be% "o G&eaBing doAn en"&enhed Da""e&ns o' iso!a"ion and misunde&s"anding
Ge"Aeen C!a%o$uo";s aGo&igina! and non<aGo&igina! DeoD!e1
Es"aG!ish a 7!eCe! D!a%ing 'ie!d81
The Boa&d Aas ons"i"u"ed "o maBe deisions G% maNo&i"% Co"e1 A!"hough a douG!e
maNo&i"% D&oCision Ji1e1 'o& a deision "o Dass i" &e$ui&ed# no" on!% "he maNo&i"% o' "he 4.
Boa&d memGe&s# Gu" a!so "he maNo&i"% o' "he Fi&s" Na"ion;s &eD&esen"a"iCes# a" !eas" / o'
"he >K gaCe "he Fi&s" Na"ion;s an imDo&"an" !eCe&age Ai"h "he P&oCine# "he o<hai&s saA
"he maNo&i"% Co"ing s%s"em as Do"en"ia!!% agg&aCa"ing o!d# diCisiCe Da""e&ns? in"e&es"s
ou!d Ge eH!uded '&om o& igno&ed in 'ina! deisions1 Thus# "he o<hai&s Ao&Bed Ai"h
CRB memGe&s and "he Nuu<hah<nu!"h !eade&shiD "o adoD" onsensus as "he Boa&d;s
deision<maBing &u!e1
Bui!d a so!id "&aB &eo&d1
The o<hai&s; 'oused a""en"ion on mee"ing "he /.<da% "ime !ine 'o& De&mi" &eCieA se" ou"
in "he Boa&d;s ons"i"u"ion J"he IMAK1 In so doing# "he% he!Ded Boa&d memGe&s 'ous
"hei& ene&g% on mee"ing a Be% De&'o&mane india"o& and gain on'idene in Ao&Bing
"oge"he&1
To imD&oCe "he e''e"iCeness o' i"s onsensus deisions# "he CRB has a!so enou&aged a
u!"u&e o' eHDe&imen"a"ion and &ea"iCi"% in i"s oAn mee"ings and in "he 'o&ums i" has
sDonso&ed1 This has enaG!ed s"aBeho!de&s "o oCe&ome omD!eH and o'"en !ong<s"anding
D&oG!ems1
Contin!ity in *embers<i# o> t<e Go:ernin% Body3 The Fi&s" Na"ion;s memGe&s o' "he CRB
&emained a!mos" en"i&e!% ons"an" in "he 'i&s" 2 %ea&s# enou&aging "he D&oCinia!
&eD&esen"a"iCes "o Gegin main"aining "hei& memGe&shiDs 'o& !onge&1
&tron% Commitment to *!"ti-#arty Pro=esses3 The Boa&d used i"s manda"e "o &ea"e and
main"ain sus"ainaG!e !and and &esou&e use "h&ough ooDe&a"iCe# mu!"i<Da&"% ini"ia"iCes1 Thus
"he Boa&d emD!o%ed o!!aGo&a"iCe mehanisms in i"s &eCieA o' &esou&e use De&mi"s#
D!anning# and in'o&ma"ion eHhange 'o&ums1
&!##ort >or B!i"din% &taCe<o"der Or%anizationa" Ca#a=ity? The Boa&d has onsis"en"!%
aDD!ied D&essu&e on "he P&oCinia! +oCe&nmen" and o"he& o&ganiIa"ions "o on"inue Gui!ding
Fi&s" Na"ion;s aDai"% in C!a%o$uo" Sound1 The Boa&d a!so inCo!Ces Fi&s" Na"ion;s
ommuni"% memGe&s in "hei& adminis"&a"iCe Ao&B1
In Da&"# "he Boa&d suDDo&"ed "he BiosDhe&e designa"ion D&oess in o&de& "o haCe mo&e 'unds
aCai!aG!e in C!a%o$uo" Sound "o suDDo&" "he g&oA"h o' !oa! o&ganiIa"iona! aDai"%1 I" is
'o&eseen "ha" "he Boa&d Ai!! Ge inCo!Ced Ai"h deisions on "he a!!oa"ion o' mone% '&om "he
BiosDhe&e T&us" Fund1
'ccountability
P!b"i= Instit!tions o> A==o!ntabi"ity? Sine "he CRB &eeiCes 'unding '&om "he D&oCinia!
goCe&nmen"# i" is suGNe" "o a!! &e!eCan" D&oCinia! ins"i"u"ions o' aoun"aGi!i"%# in!uding
De&'o&mane s"anda&ds# 'inania! and adminis"&a"iCe audi"s# e"1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.2
Pro#er A==ess to In>ormation? The CRB has "aBen "Ao s"eDs "o imD&oCe i"s aess "o "ehnia!
and Do!i% in'o&ma"ion?
In'o&ma"ion D&o"oo!?
The CRB es"aG!ished a 'o&ma! ag&eemen" on hoA "o o!!e"# D&oess and sha&e "ehnia!
and gene&a! in'o&ma"ion1 C&i"e&ia and s"anda&ds 'o& da"a $uan"i"% and $ua!i"%# in'o&ma"ion
o!!e"ion# D&oessing and dissemina"ion Ae&e in!uded1 This has !ed "o high $ua!i"%
&esea&h and deision<maBing# oo&dina"ed a"ions# e''iien" use o' &esou&es and "&us"
Gui!ding1
Es"aG!ished &igh"?
Ea&!% in i"s eHis"ene# "he CRB Aas eHDe&iening di''iu!"ies &eeiCing in'o&ma"ion '&om
"he Minis"&% o' Fo&es"s# 'o&es"&% o&Do&a"ions and o"he& goCe&nmen" agenies1 Du&ing "he
nego"ia"ions "o eH"end "he CRB;s eHis"ene and manda"e# "he Boa&d Aas suess'u! a"
in!uding a D&oCision in "he neA ag&eemen" Ahih gua&an"eed aess "o goCe&nmen"
in'o&ma"ion1
To gua&an"ee "&ansDa&en% o' "he Boa&d;s oDe&a"ions and deision<maBing D&oess# Boa&d
mee"ings a&e oDen "o "he DuG!i# and minu"es o' mee"ings a&e a!Aa%s "aBen and aCai!aG!e "o
"he DuG!i1
E>>e=ti:e Ci:i" &o=iety and t<e *edia? Residen" and in"e&na"iona! enCi&onmen"a! g&ouDs haCe
on"inued "o moni"o& &esou&e use in C!a%o$uo" Sound# and &i"iiIe "he goCe&nmen"#
o&Do&a"ions and# Ahen Nus"i'ied# "he CRB1 The Boa&d has giCen aess "o "hese g&ouDs and
"he media "o i"s mee"ings and &eo&ds1
$erformance
Cost E>>e=ti:eness and E>>i=ien=y? To oDe Ai"h i"s aDai"% !imi"a"ions and imD&oCe i"s
e''e"iCeness# "he Boa&d has Geen &ea"ing guide!ines "o s"&eam!ine i"s &e'e&&a! D&oess1 The
guide!ines a&e e!aGo&a"ed as Ao&Bing D&o"oo!s "o imD&oCe oo&dina"ion and ooDe&a"ion
among "he &e!eCan" Da&"ies Ahen D&oDosa!s a&e suGmi""ed "o "he Boa&d1 The Boa&d se&e"a&ia"
has a!so Geen D&eDa&ing and dis"&iGu"ing doumen"s in adCane o' mee"ings Je1g1 summa&ies#
in"e&D&e"a"ions o' "ehnia! da"a# D&oDosa!sK# and G&inging in &e$ui&ed "ehnia! suDDo&" "o
imD&oCe "he e''e"iCeness and e''iien% o' CRB mee"ings1
Th&ough good D&a"ie and ideas 'o& innoCa"ion# "he Boa&d;s se&e"a&ia" has onCined "he
P&oCine "o deCo!Ce g&ea"e& 'inania! &esDonsiGi!i"ies1 This has in&eased "he e''iien% o' "he
Boa&d;s oDe&a"ions1
E>>e=ti:e Ad:o=a=y and Ed!=ation? The Boa&d has on"inua!!% iden"i'ied and used 7hamDions8
Ai"hin D&oCinia! and Fi&s" Na"ion;s DoAe& s"&u"u&es "o !eCe&age i"s ideas and gain suDDo&"1 I"
has a!so suess'u!!% !oGGied "o haCe i"se!' &eogniIed as a Ci"a! ins"i"u"iona! G&idge "o a
De&manen" "&ea"% Ge"Aeen "he +oCe&nmen"s o' B&i"ish Co!umGia and Canada# and "he Nuu<
hah<nu!"h Fi&s" Na"ions1 This has s"&eng"hened i"s Do!i"ia! Gasis o' eHis"ene1
Ba"an=ed and Res#onsi:e Pro%ram )esi%n? As "he Boa&d;s "ehnia! BnoA!edge imD&oCed Ai"h
eHDe&iene# i" Gegan "o Du" mo&e emDhasis on !ong<&ange s"&a"egi D!anningO The Boa&d
G&ough" in ou"side eHDe&"ise in "his a&ea1
Po"i=y Learnin%? The Boa&d;s se&e"a&ia" has ensu&ed "ha" !essons !ea&ned '&om "he Boa&d;s
eHDe&ienes haCe Geen &eo&ded and used in "he D&eDa&a"ion o' doumen"s 'o& suGse$uen"
mee"ings1 This has Geen Da&"iu!a&!% imDo&"an" 'o& deeDening "he omD&ehension and sDeed o'
unde&s"anding o' "ehnia! issues1
E>>e=ti:e Coordination? Th&ough onen"&a"ed# on"inua! e''o&"s# "he CRB haCe Geen suess'u!
a" oo&dina"ing man% in"e&<se"o&a! ini"ia"iCes Je1g1 Aa"e&shed &es"o&a"ion and D&o"e"ionK1 The
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.>
Boa&d has used i"s manda"e "o D&omo"e sus"ainaG!e deCe!oDmen" "o onCine man%
goCe&nmen" deDa&"men"s# Gusinesses and &esou&e use& g&ouDs "ha" a G&oad eos%s"em
aDD&oah is &e$ui&ed "o &eso!Ce !ong<s"anding disDu"es and !aunh D&og&essiCe ini"ia"iCes1
Rob!stness? The Boa&d suess'u!!% es"aG!ished i"se!' as an essen"ia! ins"i"u"iona! G&idge "o a neA
'o&m o' &egiona! goCe&nane Gased on a 'u"u&e "&ea"% in C!a%o$uo" Sound1 This has
s"&eng"hened "he CRB;s Do!i"ia! and Do!i% Gase o' au"ho&i"%1
The Boa&d a!so a&&ied ou" a s"&a"egi D!anning D&oess "ha" iden"i'ied a&eas &e$ui&ing
imD&oCemen"# sou&es o' "h&ea"s "o i"s oDe&a"ions and ideas 'o& oCe&oming "hese1 Mos" o' "he
&esDonses "o "h&ea"s 'oused on s"&eng"hening !oa! a!!ianes and o!!aGo&a"iCe ini"ia"iCes1
3irection
E>>e=ti:e Leaders<i#? The CRB;s o<hai&s haCe D&oCided s"&ong !eade&shiD in "he 'o!!oAing
Aa%s?
Dedia"ion?
A s"&ong ommi"men" "o "he on<going ommunia"ion demands in !eading a o!!aGo&a"iCe
D&oess is essen"ia!1 A good dea! o' "he CRB;s suess has# "o a !a&ge deg&ee# Geen
a""&iGu"aG!e "o "he dedia"ion o' a" !eas" one o' "he o<hai&s "o s"a% on "oD o' CRB a''ai&s
and 'os"e& Dosi"iCe Ao&Bing &e!a"ionshiDs Go"h in"e&na!!% and eH"e&na!!%1 +iCen "ha"
!eade&s a&e '&e$uen"!% engaged in o"he& D&oesses# "he&e is "he dange& o' a G&eaBdoAn in
ommunia"ion and)o& Ao&B Gu&nM ou"1 Coo&dina"ion demands and "he o'"en &aDid
un'o!ding o' eCen"s has mean" "ha"# oCe& "he %ea&s# "he o<hai&s haCe had "o deCo"e a
maNo& Do&"ion o' "hei& Ao&Bing da%s "o ensu&ing "ha" Boa&d issues haCe Geen ade$ua"e!%
dea!" Ai"h1
S"%!e?
The o<hai&s !eade&shiD s"%!es haCe ma"hed Ahe&e "he CRB has Geen in "e&ms o' i"s
eCo!u"ion1 Fo& eHamD!e# "he onsensus<Gui!ding sBi!!s o' "he 'i&s" o<hai&s Ae&e &uia! "o
"he Gui!ding o' "&us" and Dosi"iCe Ao&Bing &e!a"ions amongs" neA CRB memGe&s1 In !a"e&
%ea&s# a neA D&oCinia! and Nuu<hah<nu!"h o<hai& G&ough" sBi!!s "ha" he!Ded "he Boa&d
moCe mo&e &aDid!% "h&ough i"s agenda and "o omD!e"e sDeia! D&oNe"s# e1g1 sBi!!s "o
'ous disussions# &ea"e e''iien" "oDi !osu&e# de!ega"e and 'o!!oA uD on "asBs# e"1
SuGs"an"iCe KnoA!edge?
The o<hai&s; unde&s"anding o' "he issues and Do!i% enCi&onmen" has Geen &i"ia!1 I"
has giCen "he o<hai&s "he aGi!i"% "o D&oCide in'o&med De&sDe"iCes "o he!D guide and
'ous CRB de!iGe&a"ions1 I" has a!so a!!oAed "he o<hai&s "o Ge""e& &eD&esen" "he CRB in
disussions Ai"h "he P&oCinia! and Fi&s" Na"ion;s goCe&nmen"s1
The Boa&d a!so D&oCided signi'ian" !eade&shiD G% suDDo&"ing "he D&oess "ha" designa"ed
C!a%o$uo" Sound as a (NESCO BiosDhe&e Rese&Ce1
C"ear Va"!es? The Boa&d ensu&es "ha" Fi&s" Na"ions and !oa! Ca!ues a&e G&ough" "o Gea& in i"s
deisions and oDe&a"ions1 *hen onside&ing issues# "he CRB Du&Dose'u!!% aDD!ies Ca!ues
Gased on "he Nuu<hah<nu!"h;s oneD" o' HishuB ish "s;aAa!B# o& 7eCe&%"hing is one81
Ins#irin% Vision? In &esDonse "o Doo& unde&s"anding o' "he Boa&d;s &o!e and a"iCi"ies on "he
Da&" o' "he Boa&d;s ons"i"uenies# "he CRB unde&"ooB a s"&a"egi D!anning eHe&ise "o !a&i'%
i"s Ca!ues# &o!es and &esDonsiGi!i"ies# and "o 'o&mu!a"e a Cision 'o& i"s &o!e in "he eCo!u"ion o'
C!a%o$uo" Sound1
'dapted from 'brams C&---D and ClayoEuot :ound Central @egion 9oard C&--&D
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.9
Soufriere 8arine 8anae%ent Area
Ba=C%ro!nd
The Sou'&ie&e Ma&ine Managemen" A&ea JSMMAK Aas es"aG!ished as a Da&"iiDa"o&% ins"i"u"ion
'o& "he managemen" o' "he oas"a! and ma&ine &esou&es o' "he Sou'&ie&e &egion# on "he sou"hAes"
oas" o' S"1 Luia1
In "he !a"e 43E.s and ea&!% 433.s# Sou&'&ie&e# on "he Aes" oas" o' S"1 Luia# 'aed mu!"iD!e#
omD!eH enCi&onmen"a! D&oG!ems1 Nega"iCe imDa"s and in"ense on'!i"s Ae&e &esu!"ing '&om a
mu!"iD!ii"% o' uses and a g&oAing demand 'o& sa&e and '&agi!e &esou&es1 Mos" o' "he on'!i"s
'!a&ed uD among use&s o' "he &esou&es# e1g1 omme&ia! diCe oDe&a"o&s and 'ishe&s oCe& use and
imDa" on o&a! &ee's# !oa! ommuni"% and ho"e!ie&s oCe& "he aess "o Geahes# 'ishe&s and
ho"e!ie&s oCe& "he use o' "he Geahes 'o& 'ishing o& "ou&ism)&e&ea"ion a"iCi"ies1
In 433-# in "he 'ae o' esa!a"ing on'!i"s and &esou&e deg&ada"ion# ommuni"% g&ouDs# na"iona!
au"ho&i"ies# onse&Ca"ion in"e&es"s and in"e&na"iona! 'unde&s ag&eed "o !aunh a Da&"iiDa"o&%
D!anning and on'!i" &eso!u"ion D&oess1 A nego"ia"ion '&ameAo&B Aas es"aG!ished# "he maDDing
o' ma&ine &esou&e use and !oa"ions o' on'!i" Aas a&&ied ou"# and "he easie& issues Ae&e
ini"ia!!% add&essed1 Tho&nie& issues Ae&e aDD&oahed "h&ough onsu!"a"ions ondu"ed ou"side o'
"he 'o&ma! mee"ings Ai"h Da&"iu!a& g&ouDs Aho Ae&e inCo!Ced in a&eas o' in"ense on'!i"1
In Ma&h 433/# "he DeDa&"men" o' Fishe&ies D&esen"ed a mu!"i<Da&"% 'o&um Ai"h d&a'"
&eommenda"ions on Ioning and &egu!a"ions1 These Ae&e disussed# modi'ied and aDD&oCed1 A"
"he on!usion o' "he mee"ing# a sma!! Ao&Bing g&ouD Aas manda"ed "o eHamine in g&ea"e& de"ai!
ou"s"anding ma""e&s# "o ondu" nego"ia"ion Ai"h a!! one&ned Da&"ies# and "o 'o&mu!a"e
&eommenda"ions "ha" Aou!d Ge on"ained in an ag&eemen"1 The d&a'" ag&eemen" Aas "o Ge
suGmi""ed "o a!! Da&"iiDan"s 'o& 'ina! &eCieA1
The 'ina! ag&eemen" "ha" eme&ged '&om "his Da&"iiDa"o&% D&oesses on"ained de"ai!s o' a
D&oDosed Xoning Ag&eemen"# !ega! D&oCisions needed "o manage indiCidua! a"iCi"ies suh as
'ishing and diCing# dema&a"ion &e$ui&emen"s# ma"e&ia!s 'o& use& in'o&ma"ion# and "&aining needs1
De"ai!s o' "he D&oDosed imD!emen"a"ion D&oess Ae&e a!so ou"!ined Jin!uding ins"i"u"iona!
a&&angemen"s# !ega! ins"&umen"s# in'&as"&u"u&e# 'inaning# s"a''ing# and aCenues 'o& ommuni"%
Da&"iiDa"ionK1
The D&oDosed a&ea Aas a!!ed "he Sou'&ie&e Ma&ine Managemen" A&ea JSMMAK# "o Ge managed
G% "he Sou'&ie&e Founda"ion Ja ommuni"%<Gased non<goCe&nmen"a! o&ganiIa"ion inCo!Ced Ai"h
'ai!i"a"ing deCe!oDmen" a"iCi"ies in Sou'&ie&eK1 Tehnia! suDDo&" Aou!d ome '&om "he
DeDa&"men" o' Fishe&ies# unde& "he guidane o' a 4/ memGe& Tehnia! AdCiso&% Commi""ee
JTACK omD&ising Be% managemen" au"ho&i"ies and use& g&ouDs? DeDa&"men" o' Fishe&ies#
Sou'&ie&e Founda"ion# Ai& and Sea Po&"s Au"ho&i"%# 'ishe&men;s &eD&esen"a"iCes# Minis"&ies o'
P!anning and Tou&ism# Pa&Bs and Beahes Commission# S"1 Luia Tou&is" Boa&d# Ma&ine Po!ie
(ni"# %ah"ing &eD&esen"a"iCe# Cus"oms DeDa&"men"# diCe assoia"ion# and Aa"e& "aHi assoia"ion1
The Sou'&ie&e Founda"ion JAhih had Geen inCo!Ced sine "he 'i&s" Da&"iiDa"o&% D&oessK Aas
se!e"ed "o se&Ce as se&e"a&% "o "he TAC and "he DeDa&"men" o' Fishe&ies Aas designa"ed as "he
TAC;s Chai&1 The ag&eemen" Aas suGmi""ed "o "he S"1 Luian CaGine" and aDD&oCed in ea&!% 43321
The 'i&s" mee"ing o' "he TAC D&io&i"iIed "he &ea"ion o' de"ai!ed oDe&a"iona! mehanisms 'o& "he
Ag&eemen" "o ensu&e e''e"iCe imD!emen"a"ion and oDe&a"ion o' "he SMMA1 A Tehnia! *o&Bing
g&ouD JT*+K Aas &ea"ed# omDosed o' "he SMMA Manage&# "he DeDa&"men" o' Fishe&ies# a
"ehnia! o''ie& '&om "he Ca&iGGean Na"u&a! Resou&es Ins"i"u"e JCANARI# a !oa! non<
goCe&nmen"a! o&ganiIa"ionK# Ai"h o"he& "ehnia! eHDe&"s used as neessa&%1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.@
The T*+ gene&a"ed Ao&BD!ans and Gudge"a&% in'o&ma"ion 'o& "he aDD&oCa! o' "he TAC# and
moni"o&ed "he imD!emen"a"ion D&oess1 Based on "he &eommenda"ion o' "he T*+# a "h&ee<da%#
mu!"i<s"aBeho!de& mee"ing "ooB D!ae in SeD"emGe& 4332 "o &ea"e a managemen" D!an 'o& "he
SMMA1
The managemen" D!an D&odued !ea&!% de'ined "he ins"i"u"iona! a&&angemen"s and
&esDonsiGi!i"ies# &eCenue sou&es Jin!uding sDei'i 'ees "o Ge ha&ged 'o& Ca&ious a"ego&ies o'
use&s# s%s"ems o' 'ee Da%men" and o!!e"ionK# NoG &esDonsiGi!i"ies and sBi!!s &e$ui&ed 'o& 'ou&
Aa&dens and "he SMMA manage&# sDei'is o' in'&as"&u"u&e needed Jdema&a"ion and moo&ing
Guo%s# Ioning signsK# s%s"ems 'o& moni"o&ing "he &esou&e Gase and !eCe!s o' &esou&e use#
su&Cei!!ane# main"enane# and DuG!i aAa&eness needs1
5a&ious 'unding agenies and onse&Ca"ion assoia"ions D&oCided &esou&es "o "he SMAA Gased
on "he managemen" D!an1 I" Aas Ge!ieCed "ha" "his ini"ia! in'!oA o' eH"e&na! 'unding Aou!d a!!oA
"he SMMA "o es"aG!ish a 'i&m 'ounda"ion uDon Ahih use& 'ees# Du&hase o' souCeni&s# and o"he&
dona"ions Aou!d maBe i" se!'<sus"aining1
The SMMA Aas o''iia!!% !aunhed in ,une o' 433>1 The eCen" "ooB D!ae in Sou'&ie&e and
high!igh"ed "he oGNe"iCes and oDe&a"ions Ai"hin "he SMMA1
Sine 433># "he TAC has me" &egu!a&!% eah $ua&"e& and has g&oAn '&om i"s o&igina! 4/ "o 43
Ahen mo&e s"aBeho!de&s '&om "he "ou&ism se"o& Ae&e added1
A SeD"emGe& 433> assessmen" o' ommunia"ion Ai"hin "he SMMA and a ,u!% 4339 su&Ce% o'
De&eD"ions o' "he SMMA &eCea!ed "ha" Doo& in'o&ma"ion '!oAs Ae&e on"&iGu"ing "o a !aB o'
omD!iane Ai"h "he A&ea;s &egu!a"ions and "o a mis"&us" o' au"ho&i"ies and "hei& mo"iCes G%
memGe&s o' "he Aide& Sou'&ie&e and S"1 Luia ommuni"ies1 In Da&"iu!a& "he&e eHis"ed?
a !aB o' unde&s"anding o' "he SMMA and i"s Du&Dose and goa!sO
a !aB o' unde&s"anding o' "he need 'o& and signi'iane o' Gounda&ies Ai"hin "he SMMAO
Doo& in'o&ma"ion '!oAs Ge"Aeen "he managemen" o' "he SMMA and "he su&&ounding
ommuni"iesO
insu''iien" '!oA o' sien"i'i and &esea&h da"aO
In &esDonse# a ommunia"ion D!an Aas deCe!oDed 'o& "he SMMA1 The D!an &eommended s"eDs
and aDD&oahes J"a&ge" audienes# messages# media and)o& a"ionsK "o add&ess "he iden"i'ied
ommunia"ion gaDs1 (n'o&"una"e!%# 'inania! ons"&ain"s haCe D&eCen"ed "he 'u!! imD!emen"a"ion
o' "he D!an and Be% se"o&s &emain unsuDDo&"iCe o' "he oGNe"iCes o' "he SMMA and a&e no" in 'u!!
omD!iane Ai"h i"s &u!es and &egu!a"ions1 These in!ude some use& g&ouDs# &e!eCan" goCe&nmen"
agenies Jus"oms# immig&a"ion# dis"&i" and ma&ine Do!ieK and "he gene&a! DuG!i1
In 433@ and ea&!% 433E# "he SMMA Aen" "h&ough a De&iod o' &e!a"iCe ins"aGi!i"%1 Some D&oCisions
o' "he o&igina! ag&eemen" Ae&e Geing $ues"ioned# and "he Da&"ies inCo!Ced Ae&e eHD&essing
on'!i"ing needs and demands1 To a !a&ge eH"en"# "hese D&oG!ems on'i&med "ha" "he ins"i"u"iona!
a&&angemen"s o&igina!!% Du" in D!ae Ae&e no" 'u!!% ade$ua"e1 In &esDonse "he TAC asBed
CANARI "o 'ai!i"a"e an ins"i"u"iona! &eCieA1
The &eCieA disoCe&ed "he 'o!!oAing D&oG!ems?
nei"he& "he o&igina! ag&eemen" no& "he 4332 managemen" D!an de'ined "he Du&Dose and
goa!s o' "he SMMA1 Fu&"he&# i" aDDea&ed "ha" "he&e has neCe& Geen an% !ea& onsensus on
"he ma""e&1 This !aB o' ommon unde&s"anding and Cision is !iBe!% "o haCe on"&iGu"ed
suGs"an"ia!!% "o "he disag&eemen"s and misunde&s"andings "ha" haCe ou&&ed among "he
di''e&en" s"aBeho!de&sO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.E
"he Fishe&ies A" and CaGine" on!usions did no" D&oCide an ade$ua"e !egis!a"iCe Gasis
'o& managemen" and &egu!a"ionO
"he ag&eemen" Aas mean" "o add&ess on'!i"s "h&ough "he Ioning o' uses1 HoAeCe&# "he
ag&eemen" is no" a 'o&ma! on"&a" and "he&e'o&e no" Ginding uDon "he Da&"ies inCo!CedO
a !aB o' es"aG!ished s"&u"u&es "o &eCieA and &eCise "he ag&eemen" haCe inCi"ed ad ho
D&oDosa!s and adNus"men"sO
gaDs in "he Do!i% '&ameAo&B haCe !ed s"aBeho!de& g&ouDs "o in&easing!% "u&n "o "he
Do!i"ia! di&e"o&a"e 'o& assis"ane in &eso!Cing on'!i"sO
"he managemen" D!an o' "he SMMA# a!"hough aDD&oCed in D&iniD!e G% CaGine" in 433>#
Aas neCe& &egu!a&!% used as a managemen" "oo!# and no" a!! memGe&s o' "he TAC Ae&e
'u!!% 'ami!ia& Ai"h i"s on"en"sO
The TAC has eCo!Ced in"o a God% "ha" is "oo !a&ge "o 'un"ion e''e"iCe!% in "he &o!e i" Aas
o&igina!!% giCen1 I" has a!so D&oCen "o Ge an ine''e"iCe 'o&um "o e$ui"aG!e s"aBeho!de&
&eD&esen"a"ion# as india"ed G% "he man% nego"ia"ions "ha" haCe "aBen D!ae among
Ca&ious Da&"ies ou"side o' i"O
The in"e&na! hanges o' "he Sou'&ie&e Founda"ion haCe uDse" "he Ga!ane Ge"Aeen
goCe&nmen" and "he ommuni"% in "he managemen" o' "he SMMA# and "he&e is some
une&"ain"% aGou" &o!es o' Go"h "he DeDa&"men" o' Fishe&ies and "he Sou'&ie&e Founda"ionO
The SMMA has a''e"ed a numGe& o' use& g&ouDs# Go"h nega"iCe!% and Dosi"iCe!%# "o
di''e&ing eH"en"s# Gu" "he&e is no D&oess "o Aeigh and Ga!ane "hese agains"
enCi&onmen"a! imDa"s in o&de& "o maBe &ea"iCe managemen" deisions1
&te#s taCen to im#ro:e %o:ernan=e
Based on "he on!usions o' "he ins"i"u"iona! &eCieA D&oess# "he SMMA s"aBeho!de&s deCe!oDed a
onsensus on hoA "he SMMA shou!d Ge s"&u"u&ed and shou!d oDe&a"e1 These deisions# and o"he&
s"eDs "he s"aBeho!de&s haCe "aBen "o imD&oCe "hei& goCe&nane o' "he SMMA a&e ino&Do&a"ed in
"he 'o!!oAing !is"1
7egitimacy and voice
E>>e=ti:e Consens!s )e=isions? The SMMA has emD!o%ed "he 'o!!oAing me"hods "o D&omo"e
e''e"iCe onsensus deision maBing and on'!i" managemen"?
Foused agendas1
High !eCe! o' "&ansDa&en%1
(se o' sBi!!ed 'ai!i"a"o&s and "ehnia! eHDe&"ise1
&tron% Commitment to *!"ti-#arty Pro=esses?
Ke% "o "he SMMA;s suess in managing on'!i"s on an on<going Gasis is "he Ce&% !ose
on"a" Ahih eHis"s among use& g&ouDs# and Ge"Aeen "hem and SMMA managemen" The
SMMA D!a%s "he &o!e o' a 'ai!i"a"ing !inB Ge"Aeen "he use& g&ouDs# no" an en'o&emen"
agen%1
The SMMA is &eommending "ha" a"iCe o!!aGo&a"ion Ai"h &e!eCan" ins"i"u"ions and
D&oCisions 'o& ongoing s"aBeho!de& onsu!"a"ion in deision maBing Ge on"inued1 Thus#
neA ins"i"u"iona! a&&angemen"s Ai!! es"aG!ish a S"aBeho!de& Commi""ee# a G&oad<Gased
adCiso&% God% Ahih Ai!! D&oCide a 'o&um 'o& a!! s"aBeho!de&s "o eHD&ess "hei& needs#
CieAs and one&ns1 This Commi""ee Ai!! mee" a" !eas" one De& $ua&"e&1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 4.3
&!##ort >or B!i"din% &taCe<o"der Or%anizationa" Ca#a=ity?
The SMMA has assis"ed g&ouDs in 'o&ma!iIing o& Coa!iIing i"s one&ns1 HoAeCe&# "he
SMMA has D&io&i"iIed 'u&"he& suDDo&" "o s"&eng"hen !oa!# se!'<&egu!a"ing ins"i"u"ions Je1g1
'ishing o<oDs and sDo&" assoia"ionsK1 The SMMA a!so &eogniIes i" mus" main"ain
"&ansDa&en% and good ommunia"ion "o ensu&e i" is De&eiCed as 'ai& Ahen D&oCided
"a&ge"ed suDDo&"1
E>>e=ti:e Re#resentation o> &taCe<o"der Interests? The SMMA has "aBen "he 'o!!oAing s"eDs "o
ensu&e e''e"iCe &eD&esen"a"ion o' s"aBeho!de& in"e&es"s?
I" has main"ained G&oad<Gased Da&"iiDa"o&% D&oesses du&ing i"s &ea"ion and suGse$uen"
oDe&a"ions1
Dia!ogue is Gased on "he di&e" Da&"iiDa"ion o' &esou&e use&s# sine ommuni"%
ins"i"u"ions do no" a!Aa%s D&oCide ade$ua"e &eD&esen"a"ion and Geause in"e&es"s a&e o'"en
di''e&en" 'o& eah indiCidua!1
The&e is di&e" ommunia"ion among s"aBeho!de& g&ouDs# e1g1 diCe&s di&e"!% add&essing
on'!i"ing in"e&es"s "o 'ishe&s1
&tron% Parti=i#ation o> &taCe<o"ders?
The SMAA has es"aG!ished a high !eCe! o' "&ansDa&en% and 'oused agenda1 This is
Ge!ieCed "o Ge "he &eason "ha" mos" o' "he s"aBeho!de& mee"ings a&e Ce&% Ae!! a""ended1
The&e a&e# hoAeCe&# some D&oG!ems Ai"h on"inui"% G% some memGe&s# ausing
mis&eD&esen"a"ion o' &e!eCan" se"o&s a" "imes Je1g1 "he &ee' 'ishe&menK1
'ccountability
&!>>i=ient C"arity?
Ini"ia!!% "he SMMA Aas designed "oo muh a&ound e&"ain !eade&shiD De&sona!i"ies and
"hus 'ai!ed "o !ea&!% de'ine "he managemen" &esDonsiGi!i"ies o' "he &e!eCan" ins"i"u"ions#
Ahih &esu!"ed in a 7&esDonsiGi!i"% Cauum81 HoAeCe&# "he SMMA has &ea"ed a neA
ag&eemen"# nego"ia"ed among "he memGe&s o' "he TAC# Ahih de'ines "he Cision#
mission# oGNe"iCes# &egu!a"ions# Ioning# D&og&ams and ins"i"u"iona! a&&angemen"s o' "he
SMMA1
The SMMA is &eommending "ha" goCe&nmen" agenies &e"ain "hei& s"a"u"o&% au"ho&i"%
and &esDonsiGi!i"ies Ahen oDe&a"ing Ai"hin o& D&oCiding suDDo&" "o "he SMMA1
Sine en'o&emen" o' &egu!a"ions Ai"hin "he SMMA &emains an imDo&"an" one&n# mo&e
de"ai!ed disussions Ai!! soon Ge he!d on "his issue Ge"Aeen "he maNo& Da&"ies inCo!Ced "o
de"e&mine a s"&u"u&e 'o& !aA en'o&emen" "ha" add&esses "he u&&en" D&oG!ems# sDei'ies
&esDe"iCe &o!es and au"ho&i"ies# and iden"i'ies addi"iona! &esou&es "ha" ma% Ge &e$ui&ed
"o Gui!d su''iien" aDai"%1
&tron% P!b"i= Instit!tions o> A==o!ntabi"ity?
The SMMA has G&ough" in eH"e&na! eCa!ua"o&s "o assess hoA Ae!! "he% a&e
ommunia"ing Ai"h s"aBeho!de&s and "he !a&ge& DuG!i1
The SMMA has G&ough" in eH"e&na! suDDo&" "o ondu" an ins"i"u"iona! &eCieA1
Pro#er A==ess to In>ormation?
The SMMA has made signi'ian" D&og&ess in imD&oCing ommunia"ion Ge"Aeen
s"aBeho!de&s# ommuni"% g&ouDs and o"he& inCo!Ced Da&"ies1 The% haCe done "his G%
Ga!aning en'o&emen" o' &u!es and &egu!a"ions Ai"h DuG!i &e!a"ions# es"aG!ishing a
neAs!e""e&# in"e&ne" AeG<si"e# e"1 HoAeCe&# "he imD!emen"a"ion o' "he ommunia"ions
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44.
D!an and sensi"iIa"ion G% en'o&emen" s"a'' 'o& use& g&ouDs &emain high D&io&i"ies 'o& "he
SMMA1
The SMMA has main"ained high "&ansDa&en% a" i"s mee"ings1
$erformance
Cost E>>e=ti:eness and E>>i=ien=y? The SMMA has made eH"ensiCe use o' Ao&Bing g&ouDs "o
in&ease "he e''e"iCeness and e''iien% o' i"s mee"ings and a&&%ing ou" i"s &esDonsiGi!i"ies#
e1g1 "he TAC and T*+1 HoAeCe&# "he SMMA is Geginning "o &edue "he amoun" o' Ao&Bing
g&ouDs sine i" has &ea"ed "oo muh demand on memGe&s and "he se&e"a&ia"1
Fu&"he&# in o&de& "o in&ease "he e''iien%# e''e"iCeness and $ua!i"% o' "hei& managemen"# "he
SMMA has deCe!oDed a Resea&h and Moni"o&ing F&ameAo&B1 The '&ameAo&B D&oCides
guidane on Aha" "he design and ondu" o' &esea&h and moni"o&ing D&og&ams and a"iCi"ies
shou!d Ge1 The '&ameAo&B is "o Ge used G% in"e&es"ed Da&"ies suGmi""ing D&oDosa!s "o Ao&B
Ai"hin "he SMMA1
&!>>i=ient Ca#a=ity? "he SMMA has e!aGo&a"ed de"ai!ed 'unding and &eCenue<gene&a"ing
s"&a"egies "ha" aim "o in&ease i"s se!'<su''iien%1
Po"i=y Learnin%? "he SMMA has eHhiGi"ed eH"ensiCe Do!i% !ea&ning G% using "he &esu!"s o' "he
ins"i"u"iona! &eCieA and ommunia"ions assessmen" "o ondu" maNo& hanges "o "he
goCe&nane s%s"em and oDe&a"ions1
Res#onsi:eness? The SMMA has a s"&ong aGi!i"% "o &esDond "o ons"&u"iCe &i"iism as
demons"&a"ed G% "he hanges i" is maBing Gased on "he &esu!"s o' "he ins"i"u"iona! &eCieA and
ommunia"ions eCa!ua"ion1
Interna" E:a"!ations? The SMMA G&ough" in eH"e&na! eCa!ua"o&s "o assess "hei& ins"i"u"iona!
si"ua"ion and "he s"&eng"h o' "hei& ommunia"ion oDe&a"ions1
Rob!stness? "he SMMA is unde&going a maNo& hange in i"s goCe&nane1 The oo&dina"ion o'
managemen" 'o& "he SMMA Ai!! Geome "he &esDonsiGi!i"% o' a neA o&ganiIa"ion# a!!ed "he
Sou'&ie&e Ma&ine Managemen" Assoia"ion# a no"<'o&<D&o'i" omDan% &ea"ed unde& "he
ComDanies A"1 This Assoia"ion Ai!! Ge omD&ised o' a!! "he agenies Ahih haCe a
demons"&a"ed managemen" 'un"ion in "he SMMA1 I"s memGe&s Ai!! ini"ia!!% Ge 'iCe
ommuni"% and non<goCe&nmen"a! o&ganiIa"ions# 'iCe goCe&nmen" agenies J"he Minis"&ies o'
P!anning# Fishe&ies and Tou&ism# "he Na"iona! Conse&Ca"ion Commission# and "he Ai& and Sea
Po&"s Au"ho&i"%K# and one o& "Ao indiCidua!s nomina"ed G% "he Dis"&i" ReD&esen"a"iCe and "he
CaGine" o' Minis"e&s1
(n!iBe "he D&eCious goCe&ning)managemen" God% 'o& "he SMMA# "he neA Sou'&ie&e Ma&ine
Managemen" Assoia"ion Ai!! haCe !ega! s"anding 'o& i"s manda"e1 The Sou'&ie&e Ma&ine
Managemen" Assoia"ion Ai!! Ge made a Loa! Fishe&ies Managemen" Au"ho&i"% unde& "he
D&oCisions o' "he Fishe&ies A"1
3irection
Co""aborati:e Learnin%? The SMMA has used a numGe& o' "oo!s "o D&omo"e "he sha&ing o'
ideas among s"aBeho!de&s and "he gene&a! DuG!i Je1g1 neAs!e""e&# AeGsi"eK1
C"ear Po"i=y )ire=tion?
"he SMMA has ag&eed "ha" i"s managemen" oGNe"iCes and D&og&ams Ge o&ien"ed "oAa&ds
deCe!oDmen" and D&omo"ion1
Ins#irin% Vision?
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 444
"he neA Sou'&ie&e Ma&ine Managemen" Assoia"ion has "aBen s"eDs "o ensu&e i" is !ea&!%
guided in i"s oDe&a"ions and deision<maBing1 I" has gene&a"ed a !ea& mission s"a"emen"
"ha" in!udes managemen" o' ma&ine and oas"a! &esou&es in "he Sou'&ie&e a&ea 'o&
sus"ainaG!e use# e$ui"aG!e dis"&iGu"ion o' Gene'i"s# Da&"iiDa"ion o' s"aBeho!de&s# and
ongoing managemen" o' on'!i"s?
/+he mission of the :oufriere 2arine 2anagement 'rea is to contribute to national and
local development5 particularly in the fisheries and tourism sectors through management
of the :oufriere coastal ;one based on the principles of sustainable use5 cooperation
among resource users5 institutional collaboration5 active and enlightened participation5
and eEuitable sharing of benefits and responsibilities among stakeholders.0
Broad Pers#e=ti:e on Good Go:ernan=e? The SMMA is "aBing s"eDs "o imD&oCe i"s
ommunia"ion and sha&ing o' De&sDe"iCes Ai"h i"s s"aBeho!de& and "he G&oade& DuG!i1
'dapted from :oufriere 2arine 2anagement 'ssociation C&--&D website.
http.GGwww.smma.org.lcGtecstuffGtecinde%.htm
G&aii /aanas Protected Area
Ba=C%ro!nd
+Aaii Haanas !ies in "he sou"he&n Da&" o' Haida +Aaii)Fueen Cha&!o""e Is!ands# 4/. Bi!ome"&es
o'' "he oas" o' B&i"ish Co!umGia# Canada and 92. Bi!ome"&es no&"h o' 5anouCe&1 I" is a Ai!d and
&emo"e a&ea made uD o' some 4/E is!ands "ha" s"&e"h 3. Bi!ome"&es '&om no&"h "o sou"h1 I" has a
&ih na"u&a! and u!"u&a! he&i"age# Gased on mo&e "han "en "housand %ea&s o' onne"ion Ge"Aeen
!and# sea and "he Haida Na"ion u!"u&e1
In 43@2# on"&oCe&s% oCe& "he 'u"u&e o' Aha" Aou!d Geome "he +Aaii Haanas D&o"e"ed a&ea
Gegan Ai"h "he adCen" o' D!ans 'o& "he !ogging o' "he a&ea# and "he 7Sou"h Mo&esG% *i!de&ness
P&oDosa!8 Aas Du" 'o&Aa&d in an e''o&" "o D&eCen" des"&u"ion o' "he a&ea "h&ough "he eHD!oi"a"ion
o' i"s na"u&a! &esou&es1 In 43E># "he Haida Fi&s" Na"ion designa"ed +Aaii Haanas "o Ge a 7Haida
He&i"age Si"e18
Logging on"inued in "he a&ea in "he 'ae o' !ega! and Do!i"ia! on"&oCe&s% un"i! ,u!% o' 43E@#
Ahen Canada and B&i"ish Co!umGia signed "he Sou"h Mo&esG% Memo&andum o' (nde&s"anding1
This memo&andum !ed# a %ea& !a"e&# "o "he Sou"h Mo&esG% Ag&eemen" and "he ommi"men" "o
D&o"e" +Aaii Haanas "h&ough "he designa"ion o' a na"iona! Da&B &ese&Ce1 This ag&eemen"
ommi""ed \4.9 mi!!ion "o "he deCe!oDmen" o' na"iona! Da&Bs 'o& Go"h "he ma&ine and "e&&es"&ia!
a&easO "he omDensa"ion o' 'o&es"&% in"e&es"sO "he &ea"ion o' a &egiona! eonomi deCe!oDmen"
'undO and a 'o&es" &eD!aemen" aoun"1
*hi!e nego"ia"ions Ge"Aeen Canada and "he Haida Na"ion D&og&essed# "emDo&a&% measu&es Ae&e
Du" in D!ae "o 'ai!i"a"e o<oDe&a"iCe managemen"1 In ,anua&% o' 433/# "he +Aaii Haanas
Ag&eemen" Aas signed1 The ag&eemen" Aas innoCa"e in a Be% asDe"? i" &ea"ed an imD!ii"
ag&eemen" "o haCe dua! Nu&isdi"ion oCe& "he !and1 I" se" aside "he oAne&shiD $ues"ion Dending a
nego"ia"ed "&ea"% se""!emen"# and es"aG!ished ommon oGNe"iCes 'o& "he a&e# D&o"e"ion and use
o' +Aaii Haanas1 The ag&eemen" Aas A&i""en on DaDe& as "Ao Da&a!!e! o!umns# giCing "he Haida
Na"ion and "he +oCe&nmen" o' Canada e$ua! s"anding as !aiman"s "o "he !and and &esou&es1 This
ins"i"u"iona!iIed "he idea o' 7ag&eeing "o disag&ee18
The ag&eemen" &eogniIed "he D&o"e"ed a&ea &egion !aimed G% "he Haida Na"ion as a Haida
He&i"age Si"e and G% Canada as a Na"iona! Pa&B Rese&Ce1 In "his 'ashion# "he ag&eemen" D&o"e"s
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44-
"he a&ea and &esDe"s "he in"e&es"s o' Go"h Da&"ies1 Bo"h Da&"ies a!so ag&eed "ha" !ong<"e&m
D&o"e"iCe measu&es Ae&e essen"ia! "o sa'egua&d +Aaii Haanas Na"iona! Pa&B Rese&Ce and Haida
He&i"age Si"e as one o' "he Ao&!d;s g&ea" na"u&a! and u!"u&a! "&easu&es1
The +Aaii Haanas Ag&eemen" "ooB a!mos" siH %ea&s "o nego"ia"e# and is a signi'ian" mi!es"one1 I"
s"iDu!a"es "he on"en"s o' a managemen" D!an# and D&oCides signi'ian" de"ai! on a Ca&ie"% o'
issues# in!uding aess# "ou&ism oDe&a"ions# emD!o%men" oDDo&"uni"ies# u!"u&a! D&ese&Ca"ion# and
a!!oAaG!e !and and &esou&e use G% "he Haida Na"ion1
The Ag&eemen" a!so D&oCides "he '&ameAo&B 'o& "he Haida and Canada "o maBe &eommenda"ions
Go"h "o "he +oCe&nmen" o' Canada and "he Couni! o' "he Haida Na"ion on ma""e&s suh as
D!anning# managemen" and oDe&a"ion1 The +Aaii Haanas A&hiDe!ago Managemen" Boa&d JAMBK
Aas es"aG!ished "o do "his1 I" oDe&a"es ao&ding "o a onsensus deision<maBing D&oess# and has
"Ao &eD&esen"a"iCes '&om "he Haida and "Ao '&om Pa&Bs Canada1 The Haida and Pa&Bs Canada
se!e"s on o<hai& eah '&om "hese 2 memGe&s1 The Boa&d memGe&s a&e &esDonsiG!e "o "hei&
&esDe"iCe Fi&s" Na"ion)Canadian goCe&nmen" agenies "o ensu&e "ha" !egis!a"ion# Do!iies and
ag&eemen"s a&e adhe&ed "o1
The AMB D&esen"s i"s onsensus deisions "o "he Couni! o' "he Haida Na"ion and "he
+oCe&nmen" o' Canada as &eommenda"ions 'o& aDD&oCa!1 In "he eCen" o' a !ea& and 'ina!
disag&eemen" o' AMB memGe&s on a ma""e&# &e!a"ed deisions and an% a"ions a&ising Ai!! Ge
Dos"Doned# and Ai!! Ge &e'e&&ed "o "he Couni! o' "he Haida Na"ion and "o "he +oCe&nmen" o'
Canada "o a""emD" "o &eah ag&eemen" on "he ma""e& in good 'ai"h1 The Da&"ies an &e$ues" "he
assis"ane o' an ag&eed neu"&a! "hi&d Da&"%JiesK in a""emD"ing "o &eah an ag&eemen"1
OCe& "he %ea&s# "he Haida and non<aGo&igina! ommuni"ies haCe 'ound a&eas o' ommon in"e&es"
"ha" haCe s"&eng"hened "he !egi"ima% o' "he D&o"e"ed a&ea1 A de'ining momen" in &ea"ing a
!ose& !inB Ge"Aeen "he "Ao ommuni"ies Aas Ahen "he Couni! o' "he Haida Na"ion# Ge'o&e 'u!!%
ag&eeing "o see "he is!ands; Sou"h Mo&esG% a&hiDe!ago Geome a na"iona! Da&B &ese&Ce# he!d ou"
'o& some"hing 'o& "he is!ands; !ogge&s1 I" Aas "he es"aG!ishmen" o' a "&us" 'und "ha" Aou!d Gene'i"
a!! is!ande&s# no" Nus" "he Haida DeoD!e# and no" Nus" &e&ea"iona! use&s and enCi&onmen"a!is"s1 I"
Aas a Ce&% imDo&"an" momen" Ahen DeoD!e &ea!iIed "ha" G% Ao&Bing "oge"he& and s"a%ing
ommi""ed "o Ao&Bing "oge"he&# a!! Aou!d Gene'i"1
The hange o' a!!iane on "he Da&" o' "he !ogge&s and "hei& union ame aGou" as "he% Geame
in&easing!% aDDa&en" hoA seCe&e!% "hei& emD!o%e&s# a mu!"i<na"iona! 'o&es"&% o&Do&a"ion# Ae&e
eHD!oi"ing "hem1 The !ogge&s a!so Ai"nessed hoA "he D&oCinia! goCe&nmen" suDDo&"ed "he
'o&es"&% o&Do&a"ion1 These 'a"o&s 'o&ed "he !ogge&s "o ha!!enge "hei& o!d Ge!ie' s%s"em? Ahom
"he% ou!d "&us"# and Ai"h Ahom "he% ou!d adCane "hei& in"e&es"s1 Thei& minds Ae&e oDened "o
onside&ing "he Haida as Da&"ne&s1
&te#s taCen to im#ro:e %o:ernan=e
7egitimacy and 8oice
E>>e=ti:e Consens!s )e=isions3 The Haida Na"ion and "he +oCe&nmen" o' Canada a!mos" a!Aa%s
aDD&oCe "he AMB;s &eommenda"ions1 Thus# "he AMB has a s"&ong inen"iCe "o D&odue
s"&ong onsensus deisions1
&tron% Credibi"ity3 The AMB has gained s"&ong &ediGi!i"% in "he e%es o' s"aBeho!de&s and "he
Haida Na"ion "h&ough i"s Da&"iiDa"o&% deision<maBing D&oess# and "he ommi"men" o' "he
Haida Na"ion "o o!!aGo&a"iCe D&oG!em<so!Cing1
&!##ort >or B!i"din% &taCe<o"der Or%anizationa" Ca#a=ity3 Mone% aCai!aG!e 'o& "he Rese&Ce
a&e used in Da&"# "o deCe!oD Haida o&ganiIa"iona! aDai"%1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44/
E>>e=ti:e Re#resentation o> &taCe<o"der Interests3 The AMB is in !ose on"a" Ai"h i"s
ons"i"uenies# and "he&e'o&e# aG!e "o &eD&esen" "hem e''e"iCe!%1
'ccountability
&!>>i=ient C"arity? "he managemen" D!an 'o& +Aaii Haanas D&oCides !a&i"% in &o!es#
&esDonsiGi!i"ies and aoun"aGi!i"ies1
&tron% P!b"i= Instit!tions o> A==o!ntabi"ity3 "he AMB is di&e"!% aoun"aG!e "o "he goCe&ning
Godies o' Go"h Be% s"aBeho!de&s# "he Haida Na"ion and Canada1
Pro#er A==ess to In>ormation3 The AMB has a high deg&ee o' "&ansDa&en% "h&ough "he use o'
neAs!e""e&s # mee"ings and AeGsi"es1
$erformance
&!>>i=ient Ca#a=ity3 "he +oCe&nmen" o' Canada D&oCides 'unding 'o& "he AMB and +Aaii
Haanas1
Rob!stness3 "he Ag&eemen" is an innoCa"iCe eHamD!e o' hoA a non<!ega! Do!i%)Do!i"ia!
doumen" an D&oCide g&ea"e& '!eHiGi!i"% 'o& aommoda"ing in"e&es"s "han !egis!a"ion a"1 The
s"&eng"h o' "he Ag&eemen" is Gased on "he o!!aGo&a"iCe e''o&" and adCoa% "ha" Aen" in"o i"s
&ea"ion# and "he 'a" "ha" Fi&s" Na"ions in Canada haCe ons"i"u"iona!!% D&o"e"ed &igh"s "o
e&"ain asDe"s o' !and and &esou&e use1 The Ag&eemen" has D&oCed du&aG!e1
'dapted from $arks Canada C&--&D
8usk&a67echika 8anae%ent Area and Ad!isory 3oard
Ba=C%ro!nd
The MusBAa<KehiBa Managemen" A&ea is an a&ea o' uni$ue Ai!de&ness in no&"heas"e&n B&i"ish
Co!umGia JB1C1K# Canada "ha" is endoAed Ai"h a g!oGa!!% signi'ian" aGundane and diCe&si"% o'
Ai!d!i'e1 I" is a &egion o' eH"ensiCe Go&ea! D!ains# musBeg and moun"ains1 The 91/ mi!!ion he"a&e
MusBAa<KehiBa Managemen" A&ea JM<KMAK &emains one o' No&"h Ame&iaPs !as" Ai!de&ness
sDo"s sou"h o' "he 9."h Da&a!!e!1
Du&ing "he 433.s# "he M<KMA Aas &ea"ed ou" o' mu!"i<Da&"% Da&"iiDa"o&% !and and &esou&e
D!anning "aG!es# Ahe&e "he in"e&es"s o' Fi&s" Na"ions# onse&Ca"ion# Gusiness# goCe&nmen" and
!oa! ommuni"ies Ae&e &eD&esen"ed1 A onsensus Aas &eahed a" "hese "aG!es on !and<use in "he
M<KMA1 I" Aas ag&eed "ha" "he M<KMA Aas uni$ue and shou!d Ge managed as a sDeia!
managemen" a&ea Ahih Aou!d a!!oA &esou&e deCe!oDmen" "o on"inue Ahi!e &eogniIing#
aommoda"ing and D&o"e"ing imDo&"an" Ai!d!i'e and enCi&onmen"a! Ca!ues1 The "aG!es a!so
&eommended "ha" an adCiso&% Goa&d Ge aDDoin"ed "o adCise goCe&nmen" on managemen" o' "he
a&ea and "ha" a sDeia! "&us" 'und Ge &ea"ed "o suDDo&" sDeia! D&oNe"s and D!anning ini"ia"iCes
Ai"hin "he M<KMA1
The managemen" D!an 'o& "he M<KMA a!so eme&ged '&om "he "aG!es1 The D!an a""emD"s "o
Ga!ane &esou&e managemen" Ai"h onse&Ca"ion1 Mo&e "han one mi!!ion he"a&es a&e D&o"e"ed
Ai"h "he &ea"ion o' 4> D&o"e"ed a&eas1 These a&eas a&e su&&ounded G% mo&e "han "h&ee mi!!ion
he"a&es o' sDeia! managemen" Iones and 3-.#... SDeia! *i!d!and Xones Ahe&e Ai!de&ness and
Ai!d!i'e haGi"a" Ai!! Ge main"ained Ahi!e &esou&e deCe!oDmen" suh as !ogging# mine&a!
eHD!o&a"ion and mining# and oi! and gas eHD!o&a"ion and deCe!oDmen" Ai!! Ge a!!oAed in a Aa%
"ha" shou!d Ge sensi"iCe "o Ai!d!i'e and enCi&onmen"a! Ca!ues1 The !ong<"e&m main"enane o'
Ai!de&ness ha&a"e&is"is# Ai!d!i'e and i"s haGi"a" is &i"ia! "o "he soia! and u!"u&a! Ae!! Geing
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 442
o' Fi&s" Na"ions and o"he& DeoD!e in "he a&ea1 The in"eg&a"ion o' managemen" a"iCi"ies# esDeia!!%
&e!a"ed "o "he D!anning# deCe!oDmen" and managemen" o' &oad aess Ai"hin "he M<KMA is
en"&a! "o ahieCing "his in"en"1 The !ong<"e&m oGNe"iCe is "o &e"u&n !ands "o "hei& na"u&a! s"a"e as
deCe!oDmen" a"iCi"ies a&e omD!e"ed1
To ensu&e "ha" a!! a"iCi"ies Ai"hin "he D!anning a&ea &emain onsis"en" Ai"h "he oGNe"iCes o' "he
managemen" D!an# a mu!"i<s"aBeho!de& MusBAa<KehiBa AdCiso&% Boa&d Aas aDDoin"ed G% "he
P&emie& o' B1C1 I" is omD&ised o' a G&oad &ange o' in"e&es"s# in!uding Gu" no" !imi"ed "o? Fi&s"
Na"ions# enCi&onmen"a!# Gusiness# !aGou&# and !oa! goCe&nmen"1 The AdCiso&% Boa&d ondu"s
semi<annua! &eCieAs "o eCa!ua"e hoA Ae!! D!an oGNe"iCes haCe Geen ahieCed and "he deg&ee "o
Ahih !oa! s"&a"egi D!ans haCe Geen imD!emen"ed1 The Boa&d DuG!i!% &eDo&"s annua!!% on "he
&esu!"s o' i"s &eCieAs o' oDe&a"iona! a"iCi"ies1
The MusBAa<KehiBa Managemen" A&ea Aas 'o&ma!iIed in 433E in "he P&oCinia! +oCe&nmen";s
2uskwa<Hechika 2anagement 'rea 'ct1 The A" D&oCides "he !ega! Gasis 'o& "he MusBAa<
KehiBa AdCiso&% Boa&d# and "he M<KMA managemen" D!an1
The A" a!so has an innoCa"iCe asDe"? A "&us" 'und Aas es"aG!ished en"i"!ed "he MusBAa<KehiBa
T&us" Fund1 The A" de'ined i"s Du&Doses and designa"ed "he Minis"e& o' EnCi&onmen" as "he
"&us"ee1 The D&oCinia! goCe&nmen" on"&iGu"es "o "he T&us" Fund annua!!%1 P&iCa"e se"o&
dona"ions "o "he T&us" Fund a&e enou&agedO "his a!!oAs a omDan% o& in"e&es" g&ouD "o
7hamDion8 o& suDDo&" a D&oNe"1 TaH &eeiD"s an Ge issued "o dono&s1
Sine 433E# "he M<K AdCiso&% Boa&d has &eeiCed dona"ions '&om a Aide &ange o' indiCidua!s
and)o& o&ganiIa"ions1 The maNo&i"% has ome '&om na"u&a! &esou&e and ene&g% omDanies1
Dona"ions haCe a!so Geen &eeiCed '&om onse&Ca"ion assoia"ions# !oa! goCe&nmen"s and
D&oCinia! goCe&nmen" minis"&ies1 These dona"ions haCe ei"he& Geen di&e"ed "oAa&ds sDei'i
D&oNe"s# o& D&oNe"s "ha" mee" "he oGNe"iCes o' "he M<KMA A"1
The MusBAa<KehiBa AdCiso&% Boa&d &eCieAs D&oDosed eHDendi"u&es '&om "his 'und Ge'o&e
Geing &eommended "o "he "&us"ee 'o& aDD&oCa!1 The Boa&d es"aG!ished s"&a"egi di&e"ions and
D&io&i"ies 'o& "he 'unding uDon Ahih i" Aou!d so!ii" and iden"i'% sui"aG!e D&oNe"s1 The s"&a"egi
di&e"ions and D&io&i"ies a&e?
To suDDo&" 'ish# Ai!d!i'e and Ai!de&ness &esou&es o' "he managemen" a&ea "h&ough &esea&h and
in"eg&a"ed managemen" o' na"u&a! &esou&e deCe!oDmen"O
To main"ain in De&De"ui"% "he diCe&si"% and aGundane o' 'ish and Ai!d!i'e sDeies and "he
eos%s"ems on Ahih "he% deDend "h&oughou" "he managemen" a&eaO
To suDDo&" D&oNe"s "ha" a&e in&emen"a! "o goCe&nmen" o& "hi&d Da&"% oG!iga"ions in "he MusBAa<
KehiBa Managemen" A&eaO
To aCoid D&oNe"s "ha" &e!ieCe "he goCe&nmen" '&om i"s !egis!a"ed &esDonsiGi!i"% "o main"ain
essen"ia! D&og&ams 'o& "he managemen" o' &esou&es in "he managemen" a&ea1
The AdCiso&% Boa&d a!so es"aG!ished D&iniD!es "ha" gaCe "he s"aBeho!de&s a s"&ong deg&ee o'
on"&o! as "o hoA "he 'unds Aou!d Ge sDei'ia!!% used1 To ahieCe "he Du&Doses o' "he "&us"# "he
"&us"ee ma% maBe Da%men"s ou" o' "he "&us" 'und on!% 'o& one o& mo&e o' "he 'o!!oAing in &esDe"
o' "he managemen" a&ea?
To onse&Ce and enhane Gio!ogia! diCe&si"%# 'ish# 'ish haGi"a"# Ai!d!i'e# Ai!d!i'e haGi"a"
and Ai!de&ness Ca!uesO
To ondu" &esea&h in"o Ai!de&ness managemen"# 'ish and Ai!d!i'e Gio!og% and eo!og%#
Ai"h emDhasis on !a&ge D&eda"o&)D&e% eos%s"emsO
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44>
To ondu" &esea&h in"o in"eg&a"ed managemen" o' Ai!de&ness# Ai!d!i'e# 'ish# &e&ea"ion
and &esou&e deCe!oDmen"O
To suDDo&" inCen"o&ies and maDDing o' Ai!d!i'e# &e&ea"ion# &ange and u!"u&eO
To suDDo&" D!anning ini"ia"iCes &ega&ding Ai!d!i'e# &e&ea"ion# Da&Bs# aess and &esou&e
deCe!oDmen"O
To inCo!Ce and "&ain De&sons '&om !oa! ommuni"ies in &esou&e &e!a"ed a&ee&
oDDo&"uni"iesO
To D&omo"e BnoA!edge and aAa&eness o' "he "&us" 'und# "he managemen" a&ea and i"s
Ai!de&ness Ca!ues# G% Aa% o' D&omo"iona!# edua"iona! o& o"he& D&og&ams o& a"iCi"iesO
To suDDo&" en'o&emen" "&aining and a"iCi"ies "ha" se&Ce "o ensu&e omD!iane Ai"h "his
A" and o"he& &e!eCan" ena"men"sO
To Da% &easonaG!e "&aCe!ing and ou" o' DoBe" eHDenses inu&&ed G% "he adCiso&% Goa&d on
ma""e&s &e!a"ing "o "his A"O
To Da% 'o& adminis"&a"ion# s"a''ing# se&Cies and suDD!ies D&oCided in &e!a"ion "o ma""e&s
&e'e&&ed "o in "his se"ion o& D&oCided "o o"he&Aise manage "he "&us" 'und1
I" is an"iiDa"ed "ha" "he -..4<-..- Gudge" 'o& "he MusBAa<KehiBa T&us" Fund Ai!! Ge
aDD&oHima"e!% \-1> mi!!ion Canadian do!!a&s1
&te#s taCen to im#ro:e %o:ernan=e
7egitimacy
&tron% Commitment to *!"ti-#arty Pro=esses3 "he M<KMA eme&ged '&om a mu!"i<Da&"%
Da&"iiDa"o&% D&oesses suDDo&"ed G% "he D&oCinia! goCe&nmen"1 This "ooB D!ae oCe& a
numGe& o' %ea&s1
&!##ort >or B!i"din% &taCe<o"der Or%anizationa" Ca#a=ity3 The T&us" 'und Ai!! Ge used
"o Gui!d o&ganiIa"iona! aDai"% in Fi&s" Na"ions; !oa! ins"i"u"ions and o"he& ommuni"%
g&ouDs1
E>>e=ti:e Re#resentation o> &taCe<o"der Interests3 The mu!"i<Da&"% Da&"iiDa"o&% "aG!es "ha"
&ea"ed "he M<KMA &eD&esen"ed a G&oad &ange o' in"e&es"s1 The omDosi"ion o' "he AdCiso&%
Boa&d a!so aomD!ishes "his1
&tron% Parti=i#ation o> &taCe<o"ders3 Deision<maBing Ai"h &esDe" "o "he sDending o' "he
T&us" Fund &ea"es a s"&ong inen"iCe 'o& s"aBeho!de& "o Da&"iiDa"e in "he AdCiso&% Boa&d1
'ccountability
&!>>i=ient C"arity3 The A" and M<KMA managemen" D!an !ea&!% a&"iu!a"e "he &o!es#
&esDonsiGi!i"ies and aoun"aGi!i"ies o' a!! s"aBeho!de&s1
&tron% P!b"i= Instit!tions o> A==o!ntabi"ity3 Sine "he M<KMA is es"aG!ished unde& a
D&oCinia! A"# a!! asDe"s Je1g1 "he AdCiso&% Boa&dK a&e suGNe" "o D&oCinia! ins"i"u"ions o'
aoun"aGi!i"%1 This in!udes# ou&"s# 'inania! and adminis"&a"iCe audi"s# omGudsmen# e"1
Pro#er A==ess to In>ormation3 "he M<KMA mus" aGide G% "he D&oCinia! goCe&nmen"s Aess "o
In'o&ma"ion LaAs1 The AdCiso&% Boa&d an use "his !aA# and i"s D&oCinia! on"a"s "o mee"
i"s oAn in'o&ma"ion needs1
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 449
$erformance
&!>>i=ient Ca#a=ity3 The AdCiso&% Boa&d is aG!e "o use "he T&us" Fund "o he!D i" a&&% ou"
oDe&a"ions# D&oNe"s and main"ain i"s s"a''1
Ba"an=ed and Res#onsi:e Pro%ram )esi%n3 "he AdCiso&% Boa&d has es"aG!ished s"&ong
D&iniD!es "o guide "he suDDo&" i" giCes "o D&og&ams "h&ough "he T&us" Fund1 I" aims "o &ea"e a
Ga!aned# &esDonsiCe D&og&am design G% 'unding "hese D&oNe" a&eas?
Bui!ding an in'o&ma"ion Gase
P!anning
ImD&oCing managemen"
AdCaning aDD!ied siene J&esea&hK
P&omo"ing BnoA!edge# aAa&eness and inCo!Cemen"
Rob!stness3 The M<KMA# i"s managemen" D!an# "he AdCiso&% Boa&d and "he T&us" Fund a!so
s"and on a 'i&m !ega! Gase as a D&oCinia! goCe&nmen" A"1
!airness
O##ort!nities3 The AdCiso&% Boa&d is aG!e "o use "he T&us" Fund and i"s &eCieA o' !and and
&esou&e uses "o &ea"e a Ca&ie"% o' oDDo&"uni"ies 'o& "he in"e&es"s i" &eD&esen"s1
3irection
E>>e=ti:e Leaders<i#3 The Da&"iiDa"o&% "aG!es "ha" &ea"ed "he M<KMA demons"&a"ed
signi'ian" !eade&shiD G% deCe!oDing an innoCa"iCe T&us" Fund "o Ge used "o 'u&"he&
s"aBeho!de& in"e&es"s1 The Ioning o' "he a&ea 'o& mu!"iD!e uses ma% a!so D&oCe "o Ge a
signi'ian" deCe!oDmen" 'o& aommoda"ing a Ca&ie"% o' in"e&es"s1
C"ear Po"i=y )ire=tion3 The M<KMA managemen" D!an D&oCides !ea& Do!i% di&e"ion# as
do "he D&iniD!es guiding "he use o' "he T&us" Fund1
C"ear Va"!es3 The AdCiso&% Boa&d es"aG!ished !ea& Ca!ues in i"s Cision s"a"emen"1
Ins#irin% Vision3 The AdCiso&% Boa&d has &ea"ed "he 'o!!oAing Cision s"a"emen" "o
guide and insDi&e a!! Da&"ies and "he gene&a! DuG!i?
8ision :tatement for the 2uskwa<Hechika 'dvisory 9oard C'dapted from 2uskwa<Hechika
2anagement 'rea5 &--&D
We5 the 'dvisory 9oard5 in partnership with the provincial government5 will be stewards of
the 2uskwa<Hechika 2anagement 'rea C2<H2'D.
We will provide direction and leadership in balancing industrial and other human activity
with the sensitive management and protection of a vast and uniEue natural environment.
We will ensure that the fisheries5 wildlife and wilderness values of the 2<H2' will be
maintained for countless generations. (n working toward this vision5 the 'dvisory 9oard will
promote and encourage effective and innovative resource management methods5 based on the
highest Euality of research. +hrough research and funding activities5 we seek world class
management5 monitoring5 and mitigation to minimi;e the human footprint.
+hrough educational and promotional activities5 the 'dvisory 9oard will raise awareness
about the 2<H2'Ks globally significant environmental values5 aboriginal and non<native
inhabitants5 and their cultural histories.
DRAFT ECa!ua"ing +oCe&nane HandGooB ,u!% -../ 44@