Document of The World Bank Report No: RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF SOUTH WEST INDIAN OCEAN FISHERIES PROJECT LOAN June 28, 2007 TO THE REPUBLIC OF KENYA (On behalf of the UNION OF COMOROS, REPUBLIC OF MADAGASCAR, REPUBLIC OF MAURITIUS, REPUBLIC OF MOZAMBIQUE, REPUBLIC OF SEYCHELLES, REPUBLIC OF SOUTH AFRICA, and the UNITED REPUBLIC OF TANZANIA) November 29, 2011 Regional Vice President: Obiageli K. Ezekwesili Country Directors: Haleh Z. Bridi, Laurence Clarke, Johannes C. M. Zutt, Mercy Tembon, Ruth Kagia Sector Manager / Director: Idah Pswarayi-Riddihough Task Team Leader: Xavier F. P. Vincent Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized
Transcript
Document of
The World Bank
Report No:
RESTRUCTURING PAPER
ON A
PROPOSED PROJECT RESTRUCTURING OF
SOUTH WEST INDIAN OCEAN FISHERIES PROJECT LOAN
June 28, 2007
TO THE
REPUBLIC OF KENYA (On behalf of the
UNION OF COMOROS, REPUBLIC OF MADAGASCAR,
REPUBLIC OF MAURITIUS, REPUBLIC OF MOZAMBIQUE, REPUBLIC OF SEYCHELLES,
REPUBLIC OF SOUTH AFRICA, and the UNITED REPUBLIC OF TANZANIA)
November 29, 2011
Regional Vice President: Obiageli K. Ezekwesili Country Directors: Haleh Z. Bridi, Laurence Clarke,
Johannes C. M. Zutt, Mercy Tembon, Ruth Kagia
Sector Manager / Director: Idah Pswarayi-Riddihough Task Team Leader: Xavier F. P. Vincent
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AFRICA SOUTH WEST INDIAN OCEAN FISHERIES PROJECT
P072202 CONTENTS
Page
A. SUMMARY ............................................................................................................... 3
B. PROJECT STATUS ................................................................................................. 4
C. PROPOSED CHANGES.......................................................................................... 5
ANNEX 1: RESULTS FRAMEWORK AND MONITORING.................................... 8 ANNEX 2: RESULTS FRAMEWORK AND MONITORING.................................. 15
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SOUTH WEST INDIAN OCEAN FISHERIES PROJECT
RESTRUCTURING PAPER
SUMMARY 1. The South West Indian Ocean Fisheries project (SWIOFP) is a GEF-funded Project ($12 million) which was approved by the Board on June 28, 2007 and became effective on April 16, 2008. The Closing Date is November 30, 2011. In addition to the main GEF support, the project benefits from parallel financing from the French Global Environment Facility (FFEM); Norway (FAO/EAF Nansen Project); and FAO (South West Indian Ocean Fisheries Commission).
2. The SWIOFP is one of three linked projects that address resource management in two separate Large Marine Ecosystems (LME) in the Southwest Indian Ocean (SWIO). The core project consists of the Agulhas and Somali Currents Large Marine Ecosystems Project (ASCLME) implemented by the UNDP. The ASCLME Project, along with the associated Western Indian Ocean Land Based Impacts on the Marine Environment Project (WIO-LaB) implemented by UNEP, aims at providing descriptive information about the targeted LMEs and to develop a common Transboundary Diagnostic Analysis (TDA) and Strategic Action Plan (SAP) to the three sister-projects.
3. The SWIOFP Global Environment Objective is to promote the environmentally sustainable use of fish resources through adoption by SWIO-riparian countries of an Large Marine Ecosystem (LME)-based ecosystem approach to fisheries management in the Agulhas and Somali LMEs that recognizes the importance of preserving biodiversity.
4. The SWIOF Project Development Objective is to assess the current status of offshore fisheries within the 200 nautical miles Exclusive Economic Zone (EEZ) of nine coastal states bordering the Southwest Indian Ocean (Kenya, Tanzania, Mozambique, South Africa, Comoros, Madagascar, Seychelles, Mauritius and France). The project objectives are to (i) identify and study exploitable offshore fish stocks within the Project Area, and differentiate between environmental and anthropogenic impacts on shared fisheries; (ii) develop institutional and human capacity through training and career building; (iii) develop a regional fisheries management structure and associated harmonized legislation; and (iv) mainstream biodiversity in national fisheries management policy and through national participation in regional organizations that promote sustainable exploitation of fisheries resources.
5. At completion, SWIOFP should provide the ASCLME with the necessary information to prepare the common TDA and SAP.
6. The SWIOFP comprises six components:
Component 1: Data gap analysis, data archiving and information technology including (i) Fisheries data collection and evaluation; (ii) Compiling of a data atlas; and (iii) establishment of information technology, data handling and communications systems.
Component 2: Assessment and sustainable utilization of crustaceans including (i) assessment of deep-water crustaceans; and (ii) assessment of shallow-water crustaceans.
4
Component 3: Assessment and sustainable utilization of demersal fishes including (i) assessment of deep-water demersal fish; and (ii) assessment of shallower water fish.
Component 4: Assessment and sustainable utilization of pelagic fish including (i) assessment of large pelagic species; (ii) assessment of small pelagic species and (iii) assessment of super-small pelagic species.
Component 5: Mainstreaming biodiversity in national and regional fisheries management including (i) assessing the state of knowledge of non-consumptive resources and marine biodiversity; (ii) identification of key biodiversity values; (iii) identification of interaction with fisheries including by-catch and (iv) identification of bio-indicators of ecosystem health.
Component 6: Strengthening regional and national fisheries management, including (i) identification of relevant national and international legislation and other instruments relevant to the SWIOFP goal; (ii) harmonization of legislation between countries; and (iii) development of regional resource management structures and capacity.
7. The project is managed by Kenya, which acts on behalf of all the participating countries, and it is implemented through an independent Regional Management Unit (RMU), based in Kenya, and National Management Units (NMU) in the participating countries. The South West Indian Ocean Fisheries Commission (SWIOFC) acts as the Regional Policy and Steering Committee of the project.
8. The changes proposed in this restructuring paper are: (i) a reallocation of proceeds; and (ii) a realignment of the project Closing Date between the PAD and the Legal Agreements. These changes are necessary for the implementation of the remaining activities to achieve the GEO and PDO and have been discussed and agreed to with the project’s governing body (the Regional & Policy Steering Committee hosted by the South West Indian Ocean Fisheries Commission), consisting of representatives of all participating countries, and the Bank. 9. Budget reallocation is necessary due to the initial under-budgeting in component 6, and a need to re-adjust amounts for each budget category so as to reflect the realities of project and achieve the GEO and PDO. The changes mainly relate to financing of (i) regional and cross-cutting activities primarily through the Regional Management Unit (RMU) and component 6 instead of National Management Units (NMUs) and technical components; (ii) development, under component 6, of fisheries management plans for which funding was not specified in the original budget. Changes in budget categories reflect changes in means of implementation i.e., use of staff of participating institutions rather than consultants, and in the number of research cruises and training. 10. Based on the Project Appraisal Document (PAD), the project is supposed to be implemented over five years until September 27, 2012 whilst the Grant Agreement indicates a Closing Date of November 30, 2011, which would be equivalent to a four-year implementation period, which would be insufficient to achieve the GEO and PDO. 11. In addition, the ASCLME project has obtained a no-cost extension until March 30, 2013 in order to finalize the common TDA and SAP preparation. The SWIOFP’s governing body has agreed to finance part of the completion activities for the TDA and
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SAP which consequently required the SWIOFP project duration to be extended until March 30, 2013. 12. The proposed restructuring will align the Closing Dates to the later date of September 27, 2012 and extend the project by six months (March 31, 2013) in order to permit the finalization of the TDA and SAP with the ASCLME project. 13. The GEO and PDO and associated outcome targets remain the same and are achievable.
PROJECT STATUS 14. The current PDO performance rating is Moderately Satisfactory since important acceleration and progress have been observed in project implementation, but delays are still observed in procurement process and in achieving project objectives (GEO and PDO). There is no outstanding audit report.
15. To date, the SWIOFP project has contributed to recent progress made in biological research, strengthened regional networking and improved collaboration in the socio-economic, environmental and geopolitical dimensions. The project has built real momentum notably in training civil servants and students from all over the region, stock assessments, research cruise deployment and regional databases development. Worth mentioning are the MSc courses that have proved to be excellent instruments in supporting capacity development and project activities at low cost. A regional fisheries management structure is materializing through the effective use of the South West Indian Ocean Fisheries Commission (SWIOFC) as a platform to discuss information on fisheries development and management.
16. Improved knowledge of exploitable fisheries resources has been supported by gap analyses for the four main groups of species (crustaceans, demersal, pelagic and non-consumptive species), more than twenty research cruises, and implementation of four regional databases (bibliographic, fisheries statistics, cruise data management and small scale fisheries inventory).
17. Improved institutional and human capacity has been supported by various training including Turtle Tagging and Monitoring, Stock Assessment, Observers, Ecosystem Approach in Fisheries management, and financing provided to 22 Master of Sciences (MSc) students.
18. Improved regional fisheries management structure has been supported fueling the regional fisheries body, the South West Indian Ocean Fisheries Commission’s (SWIOFC) Scientific Committee with research data and using the SWIOFC as the Regional & Policy Steering Committee of the project, consequently reinforcing the role of SWIOFC as a platform to debate fisheries information and management and supporting the materialization of a regional fisheries management structure. The project also supported the Beneficiary Countries to develop a common understanding of and position on tuna management in preamble of the latest session of the regional fisheries management organization for tuna fisheries, the Indian Ocean Tuna Commission (IOTC).
6
19. Mainstreaming of biodiversity in fisheries management has been supported by the definition of fisheries and environmental indicators to be used in the future by the Beneficiary Countries for monitoring ecosystem health, the training of fisheries managers in Ecosystem Approach in Fisheries management and the development of a road-map for preparing a Transboundary Diagnostic Analysis (TDA) and a Strategic Action Plan (SAP) for the region.
20. Implementation has been severely hampered by a number of challenges, which were elaborated in the Mid-Term Review (MTR); in particular slow procurement and hence disbursement, ability and willingness of some structures to fully engage with the project, and the continued rise of piracy affecting research activity at sea. However the last implementation support, in September 2011, confirmed that these historical difficulties, apart from the piracy issue, have been largely solved.
21. As of September 30, 2011, there is real momentum building in the project with regards to both implementation of activities and achievement of outputs and the recent MTR considers that the project results/outcomes and objectives can be achieved if the implementation period is extended by a year, as was originally envisaged in the PAD. The additional extension of six months is necessary in order to support the completion of the TDA and SAP together with the ASCLME. Consequently the Participating countries requested a restructuring that would align the Closing Dates of the Grant Agreement and the PAD to the later date of September 27, 2012 and extend the project by six months (March 31, 2013) in order to permit the finalization of the TDA and SAP with the ASCLME project.
PROPOSED CHANGES
• Results/indicators 22. The Results Framework and Monitoring has been simplified and clarified in order to monitor the progress toward achieving the GEO and PDO. The indicators have been harmonized among the components. 23. The identification and study of exploitable offshore fish stocks (project objective (i)) will be monitored through the establishment and updating of regional database inclusive of data generated by the project (indicator 1 for component 1) and the production of analyses (indicators 2 for components 1 to 5); The development of institutional and human capacity (Project objective (ii) through training (indicators 3 for component 1 to 5); the development of a regional fisheries management structure (project objective (iii)) through the effective use of the SWIOFC (indicator 2 for component 6); and the mainstreaming of biodiversity (project objective (iv)) through the adoption of the Strategic Action Plan, fisheries management plans and the environmental status and stress reduction M& E plan (indicators 1, 3 and 2 of for GEO). 24. See Annex 1 for details and proposed revised Results Framework and Monitoring.
• Financing
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25. Budget reallocation is necessary mainly due to changes in means of implementation (i.e., use of staff of participating institutions rather than consultants), revalidation of a number of priorities and focus requiring adjustments to the project costs. The changes mainly relate to changes in a number of research cruises and training, and financing of regional and cross-cutting activities (e.g. observer and MSc program) primarily through the Regional Management Unit (RMU) and component 6 instead of National Management Units (NMUs) and technical components, i.e., components 1 to 5. In addition, the project has to develop and implement management plans for each country but funding has not been specified in the initial budget, but is now reflected in component 6. 26. Changes in the country and RMU allocations reflect the budget needs in the each of the countries. The RMU was provided with a larger task than expected in terms of the implementation (management of training and operations - such as research cruises). Consequently the increases in the RMU and component 6’s budgets do not relate to an increase in project management cost, but reflect the intensification of the regional approach in project activities’ implementation.
o Project Costs
Components Current (US$) (*) Proposed (US$) % change
Component 1 1,900,000.00 1,226,322.92 -35.5%
Component 2 2,880,000.00 2,601,409.55 -9.7%
Component 3 2,330,000.00 1,455,016.79 -37.6%
Component 4 2,380,000.00 1,739,476.97 -26.9%
Component 5 510,000.00 408,629.07 -19.9%
Component 6 2,000,000.00 4,499,874.27 +125.0%
Contingency - 69,270.43
TOTAL 12,000,000.00 12,000,000.00 0.0%
(*) Source: Project Appraisal Document / GEF CEO Memo
27. The increase of the regional and national fisheries management budget (component 6) compared to original budget is obtained by the transfer of the financing from the technical components (1 to 5).
o Reallocations
Category of Expenditure
Allocation (US$) % of Financing
Current/Revised
Current (*) Revised Current Revised
% of change
(1) Good & Works 1,098,000.00 1,095,663.08 9.2% 9.1% -0.2% (a) Kenya 60,000.00 38,484.86 0.5% 0.3% -35.9%
(b) South Africa 60,000.00 11,198.13 0.5% 0.1% -81.3%
TOTAL 12,000,000.00 12,000,000.00 100.0% 100.0% 0.0%
(*) Source: Grant Agreement and Amendment
28. Main changes in categories are in the Consultant Services and Operating Costs. The Consultant Services decreases since regional collaboration and arrangements permit direct implementation by the staff of participating institutions without need for consultants’ support, and the budget balance would be transferred to Operating Expenses. Operating Costs also increase with a reallocation from the Unallocated category.
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• Closing date
29. The proposed restructuring will align the Closing Dates of the Grant Agreement and the PAD to the later date of September 27, 2012 and extend the project by six months (March 31, 2013) in order to permit the finalization of the TDA and SAP with the ASCLME project.
ANNEX 1:
Results Framework and Monitoring AFRICA: SOUTH WEST INDIAN OCEAN FISHERIES PROJECT
Global Environmental Objective (GEO): To promote the environmentally sustainable use of fish resources through adoption by SWIO-riparian countries of an LME-based ecosystem
approach to fisheries management in the Agulhas and Somali LMEs that recognizes the importance of preserving biodiversity.
Revised Global Environmental Objective (GEO): (no change)
Project Development Objective (PDO): To assess the current status of offshore fisheries within the 200 nautical miles Exclusive Economic Zone (EEZ) of nine coastal states bordering the Southwest Indian Ocean (Kenya, Tanzania, Mozambique, South Africa, Comoros, Madagascar, Seychelles, Mauritius and France).
Revised Project Development Objective (PDO): (no change)
Cumulative Target Values**
Co
re
D=Dropped C=Continue N= New
R=Revised Unit of
Measure Baseline
Actual YR 21 (June 2009)
Actual YR 3 (June 2010)
Actual YR 4 (June 2011)
Target YR 5 (June 2012)
Target YR 6
(March 2013)
Frequency Data Source/ Methodology
Responsibility for Data
Collection
GEO Level Results Indicators* Indicator One: Development of a regionally harmonized strategy for ecosystem-based management of shared fish stocks in the SWIO adopted by all countries participating in the Project through strengthening existing regional management bodies such as the SWIOFC
R
Strategy No regional Strategy, partial data collection
Data analysis, drafting of Strategy begins. Road-map prepared and agreed among the beneficiary countries
Data collection completed and Transboun-dary Diagnostic Analysis (TDA) prepared
Strategic Action Plan (SAP) prepared and adopted by the beneficiary countries
Annual project reports to give updates on evolution of regional fisheries management
SWIOFP Annual Reports SWIOFC publications
SWIOFP RMU
Indicator Two: Adoption by all SWIOFP countries through the SWIOFC of a monitoring and evaluation framework (including environmental status and stress reduction indicators) that defines ecosystem
C
M & E frame-work
SWIOFC newly established, No common M & E framework
Identification of environmental status and stress reduction indicators.
Drafting of regional M & E plan (and baselines based on input from Components 1-6)
Finalization and formal adoption of environmental status and stress reduction indicators, dissemination of M& E Plan within region
Quarterly and annual project reporting
SWIOFP Reports Minutes and Proceedings of SWIOFC
SWIOFP RMU
1 Years are adjusted to Bank’s fiscal year for more clarity. Year 1 correspond to October 2007 to June 2008 and is not reported since it includes no target value. Year 6 corresponds to July to October
2012.
11
Indicator Three (new): Adoption of at least one national or multi-national plan for a specific demersal, pelagic or crustacean fisheries by all countries participating in project [Original: Production and adoption through the SWIOFC of at least one sub-regional management plan (including policy, institutional and legal framework) governing management of a specific transboundary fisheries for a species category of the project (crustacean, demersal, pelagic)]
R
Manage-ment plan
Outside of tuna, little joint management of transboun-dary stocks
Fisheries managers trained in Ecosyste-mic Approach in Fisheries manage-ment (EAF) and fisheries manage-ment plan preparation
Drafting of at least one sub-regional management plans. Identification of specific fisheries and countries to participate in joint management based on input from Components 1-4
Formal adoption of at least one national or a sub-regional management plan
Annual project reporting
SWIOFP Reports Minutes and Proceedings of SWIOFC
SWIOFP RMU
Development objectives
Indicator one: Adoption of at least one national or multi-national plan for a specific demersal, pelagic or crustacean fisheries by all countries participating in project
D
Fisheries managers trained in Ecosyste-mic Approach in Fisheries Management and management plan preparation
Indicator two: Regional fisheries database fully operational and inclusive of new and historic data, which contributes to the development of regional plans for at least 2 fisheries
D
Database piloted and being fueled with historic and newly created data
Indicator three: Production of baselines assessment (accompanied by database) that defines current status of relevant crustacean, demersal and pelagic fisheries leading to a sustainable fisheries management framework to mainstream biodiversity into the regional agenda
D
Database operational (cf. indicator above); cruises realized or planned; consultant for preparing retrospective anlyses recruited or
12
under recruitment.
Indicator four: To mainstream biodiversity in national fisheries management policy and legislation, and through national participation in regional organizations that promote sustainable exploitation of fisheries resources
D
Beneficiary countries regularly participa-ting to SWIOFC and IOTC meeting.
INTERMEDIATE RESULTS
Intermediate Result (Component One): (i) Assessment of the state of knowledge of fisheries resources in the WIO and recommendations on new data collection initiatives and (ii) development of a regional data management system to underpin management of SWIO fisheries.
Revised Intermediate Result (Component One): (no change)
Intermediate Result
indicator One: Regional database piloted and ranked effective by majority of SWIOFP countries
R
Database Tentative agreement by SWIOFP countries on database platform
Formal agreement on database platform, procurement of services and licenses
Database structure established and piloted
Piloting of database completed (4)
Database operational and updated
Database operational and updated
Quarterly SWIOFP Project Reports Informal user survey
SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Two: An analysis of the gaps in knowledge of SWIO fisheries resources in response to the needs of fisheries management and a research agenda for implementation by SWIOFP
R
Report Preliminary review of gaps in knowledge as part of PDF B
Procurement of services for gap analysis, draft gap analysis disseminated by end of year
Gap analysis found acceptable by SWIOFP countries and research agenda adopted (4)
- Harmonized regional data gap analysis technical report (+1)
- Quarterly and Annually
SWIOFP Reports Minutes of Steering Group Meetings
SWIOFP RMU
Intermediate Result
indicator Three: Historic data identified for inclusion in database/data atlas sourced or entered into database
D
% of historical data identified
- - - Historic data identified based on input from gap analysis and agreement reached on composition of historic data in database/data atlas
13
Intermediate Result
indicator Four: National fisheries related IT and communications infrastructure procured or upgraded for each of SWIOFP beneficiary countries
D
country Beginning of procurement process
Continuous Procurement complete in all countries
Intermediate Result
indicator Five (old), Three
(new): Training in data handling and reporting provided for each of SWIOFP beneficiary countries
R
country Limited capacity in data handling and reporting
Identification of training needs by each country
Trainings scheduled or underway in all countries
Training underway in all countries
Training underway in all countries
Training completed in all countries (8)
Quarterly and Annually
SWIOFP Reports
SWIOFP RMU National Executive Secretariats
Intermediate Result (Component Two): (i) Baseline assessment of shallow and deep water crustacean stocks and fisheries in the EEZs of Mozambique, Kenya, South Africa, Tanzania, Seychelles, Madagascar and Comoros and (ii) Assessment of crustacean fisheries by catch, evaluation of discard impacts, testing of exclusion devices and measurements of ecosystems impacts in selected areas of the SWIO.
Revised Intermediate Result (Component Two): (no change)
Intermediate Result
indicator One: Ship-based surveys and data-collection to support planned projects and assess the potential of new and existing fisheries
R
Survey Some national but not on regional basis (0)
- - 4 surveys completed (4)
10 surveys completed (14)
- - SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Two (old): Production of seven preliminary country reports and two to three consolidated sub-regional reports on status of crustacean fisheries
D
Intermediate Result
indicator Two (new): Production of Retrospective Analyses for the three major crustacean fishing sectors
N
Analysis None - - - Retrospective analysis of three fishing sectors completed (3)
- Quarterly and Annually
SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Three (old): Two pilot studies to optimize artisanal shallow water lobster fisheries
D
Intermediate Result
indicator Three (new): Capacity building by completing of Masters of Sciences (MSc)
N
MSc grants
None - Recruitment and MSc grant applications approved: 4 students
Recruitment and MSc grant applications approved: 2 students
Completion and review of 2 of MSc projects (2)
Completion and review of another 2 MSc projects (4)
Quarterly and Annually
SWIOFP Reports SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Four: # of published articles based on
Publication
None - At least 1 peer-reviewed
At least 1 peer-reviewed
Quarterly and Annually
SWIOFP Reports SWIOFP RMU National Executive
14
published articles based on SWIOFP survey data
R reviewed publications prepared (1)
reviewed publications prepared (2)
Executive Secretariats
Intermediate Result (Component Three): Baseline assessment of demersal stocks and fisheries in the EEZs of Kenya, Tanzania, Mozambique, South Africa, Seychelles, Comoros and Madagascar
Revised Intermediate Result (Component Three): (no changes)
Intermediate Result
indicator One: Ship-based surveys and data collection to assess the potential of new and existing fisheries.
R
Cruise None - Survey methodology developed Draft cruise plan produced
Finalization of cruise plan, 1 trawl cruise (1)
1 trawl and 4 dropline cruises completed (6)
- Quarterly and Annually
SWIOFP Reports SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Two (old):
Production of seven preliminary country reports and consolidated sub-regional report on status of demersal fisheries
D
Intermediate Result
indicator Two (new): Production of Retrospective Analyses for the major of demersal fisheries
N
Analysis
None
-
- - Retrospective analysis of three fishing sectors completed (3)
-
Quarterly and Annually
SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Three (new): Capacity building by completing MSc.
N
MSc None - - At least 2 MSc grants disbursed
- 2 MSc completed and reports submitted (2)
Annually MSC publications SWIOFP RMU/NMU
Intermediate Result
indicator Three (old) Four
(new): # of published articles based on SWIOFP survey data
R
Publication
None - - - At least 2 peer-reviewed publications prepared (2)
- Quarterly and Annually
SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result (Component Four): Baseline assessment of selected large, medium and small pelagic stocks in the EEZs of all nine SWIOFP countries and development of strategies to optimize small and large scale pelagic fisheries, including FADs.
Revised Intermediate Result (Component Four): (no changes)
Intermediate Result
indicator One: Ship-based surveys and data collection to assess the potential of new and existing fisheries.
R
Cruise None. Survey methodology developed 1 cruise completed (1)
Data Collection Draft cruise plan produced 3 cruises completed (4)
Finalization of cruise plan, Data Collection and analysis 1 cruises completed (5)
Data Collection and analysis 1 cruise completed (6)
Data Analysis Assessment completed
Quarterly and Annually
SWIOFP Reports SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Two (old): # of studies on migration and
D
15
movement of selected large pelagic species (including sharks).
Intermediate Result
indicator Two (new): Production of Retrospective Analyses for major pelagic fisheries
N
Report Analysis None - - - Retrospective analysis of two fishing sectors completed (2)
- Quarterly and Annually
SWIOFP Reports Scientific Publications
Intermediate Result
indicator Three (old): # of improved FADs tested and developed for large and small scale pelagic fisheries
D
Intermediate Result
indicator Three (new): Capacity Building by completing of Masters of Sciences (MSc)
R
MSc student
None - Recruitment and MSs application approved: 3 grants (0)
Recruitment and MSc Grant application approved: 1 grant (0)
Completion of 2 MSc thesis (2)
Completion of one more MSc thesis (3)
Quarterly and Annually
SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result
indicator Four (old): Production of nine preliminary country reports, and two to three consolidated sub-regional reports on status of pelagic fisheries
D
Intermediate Result
indicator Five (old) Four
(new): # of published articles based on SWIOFP survey data
R
Publication
None Survey Design stage (see above)
Data Collection Stage
Data collection.
Data collection and analysis
At least 4 peer-reviewed publications prepared and/or submitted (4)
Quarterly and Annually
SWIOFP Reports Scientific Publications
SWIOFP RMU National Executive Secretariats
Intermediate Result (Component Five): Baseline assessment of fisheries interactions with non-consumptive marine resources and assessment of marine biodiversity as alternative sources of income
Revised Intermediate Result (Component Five): (no changes)
Intermediate Result
indicator One (old): Six studies on interaction between commercial and non commercial marine resources or potential alternative livelihoods completed
D
Intermediate Result
indicator One (new): Observer programme in place for monitoring fisheries interaction with non-consumptive marine resources
N
Country None - 40 Observers trained
At least four countries collecting biodiversity data with observers
Extension to 3 more countries (7)
- Cruise Report Individual country reports forwarded to SWIOFP RMU
National Executive Secretariats SWIOFP RMU
16
(4)
Intermediate Result
indicator Two: Mapping of hotspots, sensitive zones and protected areas & Biodiversity reference sites (Original: Key marine species GIS mapped in each of eight SWIOFP countries (all except Réunion))
R
Map None - - Data Collection
MPA Mapping completed and hotspots identified (1)
Map Produced
Report Individual country reports forwarded to SWIOFP RMU
National Executive Secretariats SWIOFP RMU
Intermediate Result
indicator Three (old): Key (#) bio-indicator species identified and relationships between target species and ecosystem health established
D
Assessment
None - - Methodology developed and indicator species identified by country
Intermediate Result
indicator Three (new): Capacity building by completing of Masters of Sciences (MSc)
N
Training Limited - Scientists trained in marine turtles identification and tagging (0)
At least 2 MSc grants applications approved
- 2 MSc close to completion (2)
Quarterly Progress report Final report
Individual country reports forwarded to SWIOFP RMU
National Executive Secretariats SWIOFP RMU
Intermediate Result
indicator Four: Rapid By-catch assessment (RBA) for small-scale fisheries realized in all beneficiary countries (Original: By-catch assessment for major demersal, crustacean and pelagic fisheries. Assessment of effectiveness of excluding devices and recommendations for new fishing methods and devices)
R
None - - Training provided to at least 2 scientists per country (16)
RBA report completed for eight countries (8)
- Report Individual country reports forwarded to SWIOFP RMU
Coordinating country for Components 2, 3, 4
Intermediate Result
indicator Five (Old): Mainstreaming biodiversity into national and sub-regional management plans
D
Intermediate Result (Component Six): Development of regional fisheries management framework and support to regional and national fisheries management bodies.
Revised Intermediate Result (Component Six): (no changes)
Intermediate Result
indicator One: Review of national fisheries regulations and identification of areas where harmonization is
R
Harmonization of fisheries policy in SADC
- - Draft report produced on fisheries regulations and
Harmonized guidelines produced
Implementation of harmonized guidelines (# of countries)
Quarterly and Annually
Individual country reports forwarded to SWIOFP RMU
National Executive Secretariats SWIOFP RMU
17
needed coastal
countries Policies.
Intermediate Result
indicator Two: Establishment of a functional working relationship between SWIOFP and Southwest Indian Ocean Fisheries Commission
C
Meeting SWIOFC established in November 2004
Participation of beneficiary countries in SWIOFC Sessions, Scientific Committee and technical working groups (1)
Participation of beneficiary countries in SWIOFC Sessions, Scientific Committee and technical working groups (2)
Participation of beneficiary countries in SWIOFC Sessions, Scientific Committee and technical working groups (3)
Participation of beneficiary countries in SWIOFC Sessions, Scientific Committee and technical working groups (4)
Review by the SWIOFC of contribution of SWIOFP and of the compliance of countries to regional management decisions
Quarterly and Annually
Reports of SWIOFC Sessions and Scientific Committee, Individual country reports forwarded to SWIOFP RMU
National Executive Secretariats SWIOFP RMU
Intermediate Result
indicator Three: Establishment of a Regional Management Unit (RMU) and national project offices
D
Operational project offices
SWIOFP Secretariat functioning under project preparation
Regional RMU established, Procurement of equipment to nine countries and regional management office (9)
RMU and National Offices fully operational (9)
RMU and National Offices fully operational (9)
Intermediate Result
indicator Four: The Project will leverage additional donor support for this component.
D
Donor conference
The SWIOFC is formed but weak. No real agenda for ecosystem-based management of regional fisheries
18
ANNEX 2: Results Framework and Monitoring Comparison Matrix
Africa: South West Indian Ocean Fisheries Project
Global Environmental Objective (GEO): To promote the environmentally sustainable use of fish resources through adoption by SWIO-riparian countries of an LME-based ecosystem approach to fisheries
management in the Agulhas and Somali LMEs that recognizes the importance of preserving biodiversity
Revised Global Environmental Objective (GEO): (no change)
GEO Level Results Indicators* Justification
Previous Indicators New Indicators
Co
re
D=Dropped C=Continue N= New R=Revised
Indicator One: Development of a regionally harmonized strategy for ecosystem-based management of shared fish stocks in the SWIO adopted by all countries participating in the Project through strengthening existing regional management bodies such as the SWIOFC
The same R
Text for targets has been adjusted to include mention of the TDA and SAP.
Indicator Two: adoption by all SWIOFP countries through the SWIOFP of a monitoring and evaluation framework (including environmental status and stress reduction indicators) that defines ecosystem
The same C
Indicator Three: Production and adoption through the SWIOFC of at least two sub-regional management plans (including policy, institutional and legal framework) governing management of a specific transboundary fisheries for each of the three species categories of the project (crustacean, demersal, pelagic)
Indicator Three: Adoption of at least one national or multi-national plan for a specific demersal, pelagic or crustacean fisheries by all countries participating in project
R
The initial indicator is not clearly identified and preparing 6 sub-regional management plans is not feasible and consistent with the reality since, at this stage, there is no indication of more than one shared stock in the region. It is substituted by the former indicator one for the PDO.
PDO Level Results Indicators* Justification
Previous Indicators New Indicators
Co
re
D=Dropped C=Continue N= New R=Revised
Indicator one: Adoption of at least one national or multi-national plan for a specific demersal, pelagic or crustacean fisheries by all countries participating in project
D Captured under the new indicator three for GEO
Indicator two: Regional fisheries database fully operational and inclusive of new and historic data, which contributes to the development of regional plans for at least 2 fisheries
D Captured under indicator one for Component one.
Indicator three: Production of baselines assessment (accompanied by database) that defines current status of relevant crustacean, demersal and pelagic fisheries leading to a sustainable fisheries management framework to mainstream biodiversity into the regional agenda
D
Captured under indicators two for components two, three, four and five
Indicator four: To mainstream biodiversity in national fisheries management policy and legislation, and through national participation in regional organizations that promote sustainable exploitation of fisheries resources
D
Captured under indicator one for GEO
INTERMEDIATE RESULTS
19
Intermediate Result (Component One): (i) Assessment of the state of knowledge of fisheries resources in the WIO and recommendations on new data collection initiatives and (ii)
development of a regional data management system to underpin management of SWIO fisheries.
Revised Intermediate Result (Component One): (no change)
Intermediate Result indicator One: Regional database piloted and ranked effective by majority of SWIOFP countries The same R
Number of database defined and need for updating included in year 5 and 6
Intermediate Result indicator Two: an analysis of the gaps in knowledge of SWIO fisheries resources in response to the needs of fisheries management and a research agenda for implementation by SWIOFP
The same R
The target for each year is changed. For example, on Y4, a new target “One piloting database completed” is added compared to “N/A” in the previous Results Framework
Intermediate Result indicator Three: Historic data identified for inclusion in database/data atlas sourced or entered into database
D Activity captured into indicator one above.
Intermediate Result indicator Four: National fisheries related IT and communications infrastructure procured or upgraded for each of SWIOFP beneficiary countries
D Activity completed
Intermediate Result indicator Five (old), Three (new): Training in data handling and reporting provided for each of nine SWIOFP countries
Intermediate Result indicator Three (new): Training in data handling and reporting provided for each of SWIOFP beneficiary countries (eight)
R 8 beneficiary countries compared to 9 participating SWIOFP countries (i.e., including France).
Intermediate Result (Component Two): (i) Baseline assessment of shallow and deep water crustacean stocks and fisheries in the EEZs of Mozambique, Kenya, South Africa, Tanzania, Seychelles, Madagascar and Comoros and (ii) Assessment of crustacean fisheries by catch, evaluation of discard impacts, testing of exclusion devices and measurements of ecosystems impacts in selected areas of the SWIO.
Revised Intermediate Result (Component Two): (no change)
Intermediate Result indicator One: Ship-based surveys and data-collection to assess the potential of new and existing fisheries
The same
R
The target is modified. The final goal is increased to “14” instead of “7”.
Intermediate Result indicator Two (old): Production of seven preliminary country reports and two to three consolidated sub-regional reports on status of crustacean fisheries
D
Already captured in Indicator 2 of component 1 (gap analysis) and indicator two (new) below.
Didn’t exist. Intermediate Result indicator Two (new): Production of Retrospective Analyses for the three major crustacean fishing sectors
N
Substitute old indicator 2 above and permits to monitor the production of baseline assessment (former Indicator Three for PDO) and the project objective (i).
Intermediate Result indicator Three (old): Two pilot studies to optimize artisanal shallow water lobster fisheries
D Activities that didn’t appear feasible and do not participate to project objectives.
Didn’t exist. Intermediate Result indicator Three (new): Capacity building by completing of Masters of Sciences (MSc)-
N
On-going activity for capacity building with clear target and permits to monitor project objective (ii)
Intermediate Result indicator Four: # of published articles based on SWIOFP survey data
The same
R
Harmonizing of indicators between components and clear target.
Intermediate Result (Component Three): Baseline assessment of demersal stocks and fisheries in the EEZs of Kenya, Tanzania, Mozambique, South Africa, Seychelles, Comoros and Madagascar
Revised Intermediate Result (Component Three): (no change)
20
Intermediate Result indicator One: Ship-based surveys and data collection to assess the potential of new and existing fisheries.
The same R
The target per year was revised. At the end, the 1 trawl and 4 dropline cruises completed.
Intermediate Result indicator Two (old): Production of seven preliminary country reports and consolidated sub-regional report on status of demersal fisheries
D
Already included in Indicator 2 of component 1 (gap analysis) and indicator two (new) below.
Didn’t exist.
Intermediate Result indicator Two (new): Production of Retrospective Analyses for the major demersal fisheries
N
Substitute old indicator 2 above and permits to monitor the production of baseline assessment (former Indicator Three for PDO) and the project objective (i).
Didn’t exist. Intermediate Result indicator Three (new): Capacity building by completing of Masters of Sciences (MSc)
N
On-going activity for capacity building with clear target and permits to monitor project objective (ii)
Intermediate Result indicator Three (old) Four (new): # of published articles based on SWIOFP survey data
Intermediate Result indicator Four (new): The same R
Harmonizing of indicators between components and clear target.
Intermediate Result (Component Four): Baseline assessment of selected large, medium and small pelagic stocks in the EEZs of all nine SWIOFP countries and development of strategies to optimize small and large scale pelagic fisheries, including FADs.
Revised Intermediate Result (Component Four): (no change)
Intermediate Result indicator One: Ship-based surveys and data collection to assess the potential of new and existing fisheries.
The same. R The target is revised per year.
Intermediate Result indicator Two (old): # of studies on migration and movement of selected large pelagic species (including sharks).
D
Activity only, captured in Indicator two (new) below..
Didn’t exist
Intermediate Result indicator Two (new): Production of Retrospective Analyses for the major pelagic fisheries
N
Substitute old indicator 2 above and permits to monitor the production of baseline assessment (former Indicator Three for PDO) and the project objective (i).
Intermediate Result indicator Three (old): # of improved FADs tested and developed for large and small scale pelagic fisheries
D Activity only. Dropped for harmonization and easiness of monitoring.
Didn’t exist. Intermediate Result indicator Three (new): Capacity building by completing of Masters of Sciences (MSc)
N
On-going activity for capacity building with clear target and permits to monitor project objective (ii)
Intermediate Result indicator Four (old): Production of nine preliminary country reports, and two to three consolidated sub-regional reports on status of pelagic fisheries
D
Already included in Indicator 2 of component 1 (gap analysis) and indicator two (new) above.
Intermediate Result indicator Five (old) Four (new): # of published articles based on SWIOFP survey data
Intermediate Result indicator Four (new): The same R Harmonizing of indicators between components and clear target.
Intermediate Result (Component Five): Baseline assessment of fisheries interactions with non-consumptive marine resources and assessment of marine biodiversity as alternative sources of income
21
Revised Intermediate Result (Component Five): (no change)
Intermediate Result indicator One (old): Six studies on interaction between commercial and non commercial marine resources or potential alternative livelihoods completed
D
Captured in indicator The new indicator is more clearly identified.
Didn’t exist Intermediate Result indicator One (new): Observer programme in place for monitoring fisheries interaction with non-consumptive marine resources
N It is necessary to measure this. By the end, 7 countries will have observer program in place.
Intermediate Result indicator Two: Key marine species GIS mapped in each of eight SWIOFP countries (all except Réunion)
Intermediate Result indicator Two: Mapping of hotspots, sensitive zones and protected areas & biodiversity reference sites
R
The new one defines better the target GIS mapping is for MPA
Intermediate Result indicator Three (old): Key (#) bio-indicator species identified and relationships between target species and ecosystem health established
D Captured in indicator two for GEO.
Didn’t exist Intermediate Result indicator Three (new): Capacity building - Completion of Masters of Sciences (MSc)
N On-going activity for capacity building with clear target
Intermediate Result indicator Four: By-catch assessment for major demersal, crustacean and pelagic fisheries. Assessment of effectiveness of excluding devices and recommendations for new fishing methods and devices
Intermediate Result indicator Four: Rapid By-Catch Assessment (RBA) for small-scale fisheries realized in all beneficiary countries
R
Indicator is clarified, since by-catch assessment for industrial fisheries is covered by the observer programme. The targets are set compared to no quantitative target before.
Intermediate Result indicator Five (old): Mainstreaming biodiversity into national and sub-regional management plans
D Captured in indicator one for GEO
Intermediate Result (Component Six): Development of regional fisheries management framework and support to regional and national fisheries management bodies.
Revised Intermediate Result (Component Six): (no change)
Intermediate Result indicator One: Review of national fisheries regulations and identification of areas where harmonization is needed
The same
R
The target is modified and clarified. The Action plan will be endorsed by the end instead of on Y3.
Intermediate Result indicator Two: Establishment of a functional working relationship between SWIOFP and Southwest Indian Ocean Fisheries Commission
The same C
Intermediate Result indicator Three: Establishment of a Regional RMU and national project offices
D Activity completed
Intermediate Result indicator Four: The Project will leverage additional donor support for this component. SWIOPF, which support from the GEF PDF-B grant has already organized and held donor meetings in Kenya, Tanzania and Mozambique to inform and generate interest in additional donor support in this area.
