PROJECT IDENTIFICATION FORM (PIF)
PROJECT TYPE: Full-sized Project
THE GEF TRUST FUND
Submission Date: 15 October 2007
Re-submission Date:
PART I: PROJECT IDENTIFICATION INDICATIVE CALENDAR
GEFSEC PROJECT ID1:
GEF
Milestones
Expected Dates
AGENCY PROJECT ID: PIMS 4063
C
Work Program (for FSP)
Nov 2007
OUNTRY(IES): Indonesia, Malaysia, Philippines
P
CEO Endorsement/Approval
Nov 2008
ROJECT TITLE: Sulu-Celebes Sea Sustainable Fisheries
Management Project (SCS)
GEF Agency Approval
Dec 2008
GEF
Implementation Start
Jan 2009
AGENCY(IES): UNDP, (select), (select)
OTHER EXECUTING PARTNERS: UNOPS
Mid-term Review
Jan 2011
GEF FOCAL AREAS: International Waters,(select), (select),
Implementation Completion
Jan 2013
GEF-4 STRATEGIC PROGRAM(S): IW-SP 1, (select), (select)
NAME OF PARENT PROGRAM/UMBRELLA PROJECT: Asia Coral Triangle
A. PROJECT FRAMEWORK (Expand table as necessary)
Project Objective: To improve the condition of fisheries and their habitats in the Sulu-Celebes Sea to a
sustainable level through an integrated, collaborative and sustainable tri-national management
Indicate
Indicative GEF
Indicative
whether
Expected
Expected
Financing*
Co-financing*
Project Components
Total ($)
Investment,
Outcomes
Outputs
($)
%
($)
%
TA, or STA**
1. Demonstration of
TA
Increased fish
Establishment
0.61 M
46 0.71M
54
1.32M
best fisheries
stocks at pilot
of two pilot
management practices
sites (5-10%
sites per
country;
in critical sites of the
increase)
Per capita
SCS
income at
demo sites
increased by
5%
2. Transboundary
Regional
Agreed
0.75 M
62 0.45M
38
1.20M
Diagnostic Analysis
agreement on
Transboundary
(TDA) for SC LME
transboundary
Diagnostic
Analysis
priorities, their (TDA) for the
immediate and SCS
root causes
3. Regional agreement TA
Agreement on
Strategic
0.75 M
43 0.99M
57
1.74M
on governance
regional and
Action
reforms for
national legal,
Program
(SAP); local
sustainable fisheries
policy and
integrated
management
institutional
coastal
reforms for
management
improved
(ICM) plans;
collaborative
fisheries
agreements
management
with relevant
regional and
sub-regional
organizations
4. Institutional
TA
Introduction of Strengthened
0.50 M
50 0.50M
50
1.00M
1 Project ID number will be assigned initially by GEFSEC.
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Strengthening
institutions and Tri-National
reforms to
Committee
catalyze
(Tri-Com) for
SCS and its
implementation Sub-
of policies on
Committee on
reducing over-
Sustainable
fishing and
Fisheries;
Establishment
improving
of National and
fisheries
Local Inter-
management in ministerial and
the SCS that
inter-sectoral
will benefit the committees for
effective
SCS coastal
implementation
communities;
of the agreed
Strengthened
action
national
programs and
ICM models
fisheries laws
for Sulu-
and policies
Celebes Sea
4. Project
0.28 M
27 0.77M
73
1.05M
management
Total project costs
2.89 M
46 3.42M
54
6.31M
* List the dollar amount by project components/activities.
** STA = Scientific & technical analysis.
B. INDICATIVE FINANCING PLAN SUMMARY FOR THE PROJECT ($)
Project Preparation
Project
Agency Fee
Total
GEF Grant
110,000
2,890,000
300,000
3,300,000
Co-financing
100,000
3,420,000
3,520,000
Total
210,000
6,310,000
300,000
6,820,000
C. INDICATIVE CO-FINANCING FOR THE PROJECT BY SOURCE ($), IF AVAILABLE
Sources of Co-financing
Type of Co-financing
Amount
Project Government Contribution
Unknown at this stage
15,555
(Philippines personnel cost of
PCICDSCS)
GEF Agency(ies)
(select)
Bilateral Aid Agency(ies)
(select)
Multilateral Agency(ies)
Unknown at this stage
418,945
(BIMP-EAGA support to meetings
of Natural Resources Development
Cluster, Senior Officials and
Ministers, and Leaders Summit) )
Private Sector (FirstGen/FPCI)
Grant
1,000,000
NGO
Grant
1,650,000
NGO
In-kind
150,000
Others
Unknown at this stage
185,500
Total co-financing
3,420,000
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D. GEF RESOURCES REQUESTED BY FOCAL AREA(S), AGENCY (IES) SHARE AND COUNTRY(IES)*
(in $)
GEF
Country Name/
Agency
Focal Area
Global
Project
Agency
Preparation
Project
Fee
Total
UNDP
International Waters Philippines,
110,000
2,890,000
300,000
3,300,000
Indonesia,
Malaysia
Total GEF Resources
110,000
2,890,000
300,000
3,300,000
* No need to provide information for this table if it is a single focal area, single country and single GEF Agency project.
PART II: PROJECT JUSTIFICATION
A. STATE THE ISSUE, HOW THE PROJECT SEEKS TO SOLVE IT, AND THE EXPECTED GLOBAL
ENVIRONMENTAL BENEFITS TO BE DELIVERED:
The Sulu-Celebes Sea large marine ecosystem (SC-LME)2 of the Indo-Malay-Philippines Archipelago (IMPA) is at
the heart of the Coral Triangle and is among the world's most biologically diverse marine environments. It covers an
area of about 900,000 km2 which is essentially composed of two large seas, the Sulu and Celebes/Sulawesi Seas and
smaller inland seas. Coral reefs, seagrass meadows and mangrove ecosystems contribute to the marine
megabiodiversity of the LME. These ecosystems support considerable numbers and species of sea turtles, marine
mammals, elasmobranchs, marine fishes, invertebrates, seaweeds and seagrasses and other less known but equally
important marine flora and fauna.
An estimated 35 million people live in association with the SCS and the population is expanding at 2%-5%
annually. Major economic activities include agriculture, fishing, aquaculture, tourism, and mining. Being at the
heart of the most bio-diverse marine area in the world, the SCS is also a very rich fishing ground for large and small
pelagics as well as demersal and reef fishes. The capture fisheries production alone is placed at over US$1.0 billion
a year. The Celebes/Sulawesi Sea, particularly the Moro Gulf, and Sulu Sea have been known as a major spawning
grounds for tuna. Moreover, the human populations in the SCS area rely heavily on its fisheries as the main source
of animal protein and livelihood. Thus, fish is a vital food security item in the three countries.
The growing needs of the collective population of coastal areas, increases in economic activity and the limitations
of government to support ecological services, legislation and marine law enforcement have allowed various forms
of threats to overcome the marine environment of the SCS. Specifically, these pressures include unsustainable
fishing practices, destructive fishing techniques, negative impacts of mismanaged aquaculture practices, pollution,
and poorly planned and inappropriate land use. Barriers that limit local ability to address these threats include
insufficient understanding of the connectivity of marine biodiversity and the ecological processes that support it,
generally ineffective and under-supported conservation management and enforcement regimes, limited capacity,
and lack of coordination among natural resource managers, and economic incentives that favor short-term resource
exploitation over sustainable use. All these have resulted in losses that are in the magnitude of millions of US
dollars annually and a fisheries industry that is now summarized as illegal, unreported and unregulated (IUU).The
SCS fisheries is in a state of depletion wherein the number of fishing vessels operating is approximately thrice the
number required to harvest the maximum sustainable yield (MSY) of the fishery resource. This situation brings
about low fisheries productivity, equity problems and undermined environmental integrity.
2 The Sulu-Celebes LME is also referred to as the Sulu Sulawesi LME: Abdullah, A. Augustina, H., Alcala, A., Alino, P.,
Bachtiar, L., Bonifacio, R., Cabanban, A., Cheung, C. et al. 2003. Global International Waters Assessment Sulu-Celebes
(Sulawesi) Sea sub region 56 Scaling, scoping, causal chain and policy options analysis. Final report to GIWA secretariat
Kalmar University, Sweden.
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To address the foregoing issues, a SC-LME TDA will be conducted to jointly identify and prioritize transboundary
fisheries management concerns that need prompt tri-national action by IMP. Consequently, an appropriate Strategic
Action Program (SAP) will be formulated for the three SC-LME-comprising countries to jointly undertake in order
to effectively address these transnational issues. Particularly, the project, within the context of the TDA and SAP,
aims to promote an integrated approach of Growth, Control and Maintenance (GCM) in the SCS. The Growth
mechanism entails pursuit of ecosystem-based fisheries management best practices and closed areas. The Control
mechanism should address the excess fishing effort by reducing the current fishing fleet operating in the SCS. This
should be done through the combined methods of prevention of the IUU practice of dual registration of fishing
vessels, selective moratorium on the issuance of new fishing vessel licenses, strict implementation of registration
and licensensing regulations and active monitoring and law enforcement systems. This approach is focused on the
use of appropriate fishing gears to use, gear restriction and fish catch size limits, proper registration and licensing,
closed fishing seasons, zoning of fishing areas, law enforcement and policy development. The goal of this approach
is to regulate the fishing pressure and therefore reduce the stress on the fish stocks, and this will be tested at selected
demonstration sites.With strong political will and joint coordination and action by the three countries, better results
can be achieved as compared to isolated individual country actions. The third mechanism of Maintenance will deal
with management planning, capacity building, institutional development and strengthening, inter-local government
unit management arrangements and private-public sector partnerships using Integrated Coastal Management (ICM)
models developed for the region3. Topping all this is the need to have a tri-national and sub-regional Indonesia-
Malaysia-Philippines (IMP) framework for SCS fisheries management to ensure harmonized and coordinated
approaches at the regional level for sustainable fisheries management and concerted actions against IUU fishing.
The Tri-National framework will build on the Sulu-Sulawesi tri-national initiative that started in 2003 by the
establishment of a Preparatory Committee. In 2006, the Tri-National Committee was established and its
accomplishments include the formulation of terms of reference of the Tri-Com, the formation of three sub-
committees on Endangered, Charismatic and Migratory Species; Sustainable Fisheries; and Marine Protected Areas
and Networks.
B. DESCRIBE THE CONSISTENCY OF THE PROJECT WITH NATIONAL PRIORITIES/PLANS (Is the
proposal consistent with country priorities? How does it build on ongoing programs, policies and
political commitments?)
At the sub-regional level, Indonesia, Malaysia and the Philippines (IMP) are already cooperating to pursue
biodiversity conservation and sustainable development of the SCS. It started from the formulation of a tri-national
vision in 2001 and in developing a multi-stakeholder Ecoregion Conservation Plan (ECP), which was adopted
through a ministerial signing of a tri-national Memorandum of Understanding (MOU) during a side event held at
the Seventh Conference of Parties to the Convention on Biological Diversity (CBD-COP7) in Kuala Lumpur,
Malaysia in 2004. The ECP embodies four action plans, one each for the countries sharing the Sulu-
Celebes/Sulawesi LME and an ecoregion-level action plan that should be pursued jointly by the countries. The
action plans are hinged on a tri-national vision and a common set of 10 objectives, one of which is a fisheries
objective. The ECP incorporates the Framework for a Fishery Management Program (FMP) for Sulu-
Celebes/Sulawesi in the fisheries objective of the Ecoregion-level Action Plan. By adopting the ECP, the countries
effectively adopted the FMP framework. Additionally, the ECP is aligned with the national priorities, plans and
programs of the three countries as well as with their common international commitments, such as the SDS-SEA,
CBD and the WSSD. At the first meeting of the Tri-national Committee (Tri-Com) held in Balikpapan East
Indonesia on 1 March 2006. The Committee decided to focus on the following three (3) major concerns of the SCS
under the leadership of concerned countries: sustainable fisheries and livelihood (Malaysia); conservation of
endangered, charismatic and migratory species (Indonesia); and establishment of network of marine protected areas
(Philippines). The subcommittees have since organized their terms of reference and work objectives. This proposed
project shall contribute to the implementation of relevant fisheries components of the workplans of the sub-
committees.
3 Partnerships in Environmental Management for the Seas of East Asia (1994-2010): A regional Mechanism Facilitating
Sustainable Environmental Benefits in River Basins, Coasts, Islands and Seas. 78 pp. 2007. PEMSEA.
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C. DESCRIBE THE CONSISTENCY OF THE PROJECT WITH GEF STRATEGIES AND FIT WITH STRATEGIC
PROGRAMS:
The project is consistent with the first objective of the IW focal area to foster international, multi-state cooperation
on priority transboundary water concerns through more comprehensive, ecosystem-based approaches to
management and, its Strategic Program 1 on Restoring and Sustaining Coastal and Marine Fish Stocks and
Associated Biological Diversity, which targets Southeast Asian seas as one of the global hotspots. The project will
build foundational capacity and pilot test some innovative demonstrations on fisheries conservation and
management in the SCS for replication and on-the-ground implementation in a subsequent phase and/or under the
wider Asia Coral Triangle Program.
D. OUTLINE THE COORDINATION WITH OTHER RELATED INITIATIVES
The growing limitations of national governments to individually address marine environmental concerns, especially
those with a transnational flavor, spurred the conceptualization and development of the Sustainable Development
Strategy for the Seas of East Asia (SDS-SEA) under the Partnerships for Environmental Management for the Seas
of East Asia (PEMSEA 2003). The SDS-SEA provides the regional framework for cooperation, consensus-building,
developing ocean governance, and establishing monitoring and evaluation (M&E) system. During the 2nd East
Asian Seas Congress held in Haikou in December 2006, a Partnership Council was established to serve as one of the
implementation mechanisms of the SDS-SEA. The Congress also recognized the potential contribution of sub-
regional initiatives and programs to the implementation of the SDS-SEA, thus the basis for this fisheries project
concept for the Sulu-Celebesi Sea that will make major contribution to the SDS-SEA's objective for equitable and
sustainable fisheries and conservation of fish stocks. To address the major concern of poaching of fisheries
resources by foreign vessels and IUU fishing, the SDS-SEA will provide the platform for engaging with other
concerned countries in the region.
The Project will establish synergies and linkages with the UNDP/GEF funded project on Oceanic Fisheries
Management (OFM) involving the Pacific SIDS and the West Pacific-East Asia Oceanic Fisheries Management
project under development with Indonesia, Philippines and Vietnam as well as with the UNEP/GEF funded project
for the South China Sea. It will also collaborate with the project on Conserving Marine Biodiversity through
Enhanced Marine Park Management and Inclusive Sustainable Island Development (Malaysia). In addition, it will
build on the experiences and lessons learned from the following completed GEF projects in the Philippines: 1)
Conservation of the Tubbataha Reef National Marine Park (Tubbataha Ecosystem); and 2) Biodiversity
Conservation and Management of Bohol Island Marine Triangle.
To promote strengthened regional coordination, the project will link with the Brunei Darussalam-Indonesia-
Malaysia-the Philippnes East ASEAN Growth Area (BIMP-EAGA) initiative, a sub-regional cooperation forged
in 1994 by Heads of State of BIMP, with the main goal of increasing trade, investments and tourism in the
designated growth area. It encompasses the SCS, spans many sectors, and operates through 11 Working Groups
(WGs) grouped into four Clusters. The WGs on Fisheries and Environment are lodged under the Natural Resources
Development (NRD) Cluster (chaired by Indonesia) . The SSME FMP framework on which this proposed project
was based was adopted by the BIMP-EAGA 11th Senior Officials and Ministers Meeting in Davao City, Philippines
in 2003. The main strength of BIMP-EAGA is its established coordination and collaborative mechanism anchored
on a permanent central secretariat (BIMP Facilitation Center) based in Kota Kinabalu, Sabah, Malaysia.
Furthermore, it has organized institutional mechanisms such as regular meetings of the Ministers, Senior Officials,
Clusters, WGs and the four country National Secretariats. It allows flexibility in cooperative arrangements and
engagements (either bilateral, trilateral or quadrilateral). For better implementation of the project, the mechanisms
of the IMP Tri-National Committee and BIMP-EAGA can be tapped and streamlined. The agencies in the Tri-Com
are represented in the BIMP-EAGA, while NGO members in the Tri-Com and its sub-committees have links to
country EAGA leads and members.
In the Philippines, members of the Presidential Commission for the Integrated Conservation of Sulu-Celebes Seas
(PCICDSCS) are delegates to Tri-Com and BIMP-EAGA. NGOs are also well-linked. For example, the
Conservation International-Philippines is a member of the PCICDSCS, an official delegate to the Tri-Com and its
three sub-committees and a participant to country and regional BIMP-EAGA meetings. Member agencies and
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NGOs of Tri-Com are implementing various related initiatives in key marine areas in the SCS-LME in partnership
with local government units and other stakeholders. This proposed project will enhance and complement such
initiatives on the ground.
E. DISCUSS THE VALUE-ADDED OF GEF INVOLVEMENT IN THE PROJECT DEMONSTRATED THROUGH
INCREMENTAL REASONING :
The transboundary fisheries conservation and management issues facing the three countries sharing the SCS cannot
be solved by the nations individually but jointly. Since late 1990s, the IMP have been discussing common fisheries
issues in the tri-national area, that is, Sulu-Sulawesi(Celebes) Seas and at best formulated the framework for
Fisheries Management Program for SSME in 2002. Although BIMP-EAGA adopted the framework in the same
year and the tri-nationally adopted ECP embodies it, the lack of funds and the absence of a tri-national platform
prevented the framework to take off the ground. However, the creation of the Tri-National Committee for SSME in
March 2006, provides the platform to pursue the implementation of the FMP framework. Without GEF catalytic
support, the three states will not together be able to determine and agree on joint priorities in the SCS. Among these
are the critical fish species which need immediate management measures and the identification of fisheries hot spots
and corresponding actions to take. Hence, without GEF assistance critical fish species will continue to be lost and
joint actions at hot spots will not take place in the forseeable future.
With GEF assistance stakeholder capacities to manage regional, national and local fisheries will be improved. It will
also contribute to an improved and stabilized fish populations in the SCS. Appropriate policies will be developed to
integrate management of natural and biological resources as well as economic development, fisheries business
ventures and investments. It will expand regional cooperation to conserve and manage environmental resources,
including overexploited and endangered migratory species and coastal areas of transboundary importance, and
addressing the major concern for poaching. It will enable the IMP to put in place sub-regional institutional measures
to monitor the effectiveness of resource management measures, building on the Tri-National Committee for SCS.
This will allow the three countries to integrate their fisheries management into their coastal management programs
at the local level.
F. INDICATE RISKS, INCLUDING CLIMATE CHANGE RISKS, THAT MIGHT PREVENT THE PROJECT
OBJECTIVE(S) FROM BEING ACHIEVED. OUTLINE THE RISK MANAGEMENT MEASURES, INCLUDING
IMPROVING RESILIENCE TO CLIMATE CHANGE, THAT THE PROJECT PROPOSES TO UNDERTAKE:
RISKS
RISK
RISK MITIGATION STRATEGY
Weak political support to
Low
· Project activities and processes that will reduce the risk
sub-regional collaboration
include consensus building;
on the SCS-LME
· Linkages will be established to existing regional collaborative
platforms, such as BIMP-EAGA and SDS-SEA.
Limited local-level support
Low to
· Awareness and capacity building will be supported by the
to demonstration activities
medium
project in order to build ownership
(local communities and
· Benefit sharing and incentive measures for local community
local governments)
participation will be put in place by the project
Inundation of mangrove
Low
· The project will contribute to policy development or reforms
areas due to sea level rise
towards responsible coastal aquaculture, mangrove harvesting
will affect mangrove-
and control of tan barking
dependent species
(especially the fry stage)
Bleaching of coral reefs due Medium
· The project will contribute to improved coral reef resilience by
to elevated temperature
reducing threats through enforcement initiatives
brought about by warming
G. DESCRIBE, IF POSSIBLE, THE EXPECTED COST-EFFECTIVENESS OF THE PROJECT (e.g. $/ton of CO2 abated). IF
COST-EFFECTIVENESS IS NOT PRESENTED, OUTLINE THE STEPS THAT PROJECT PREPARATION WOULD
UNDERTAKE TO PRESENT COST-EFFECTIVENESS AT CEO ENDORSEMENT:
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A cost-effectiveness analysis will be made during the PPG phase using economic valuation and qualitative
analytical tools. The range of possible alternative options will be considered, highlighting the cost-benefit
differences between individual in-country and proposed tri-national collaborative interventions. A baseline
scenario assessment will be undertaken to show the socio-economic impact of zero intervention on selected
communities. To be likewise included is an evaluation of existing fisheries management best practices in
selected critical sites and extrapolations of upscaled scenarios to be supported by the project.
H. JUSTIFY THE GEF AGENCY COMPARATIVE ADVANTAGE
UNDP's experience with a broad range of international trans-boundary water interventions is based on high-
level adoption of 11 SAPs, seven of which are currently being implemented. In addition to support for the
establishment of the world's first post UN Fish Stocks conservation and management organisation for highly
migratory fish stocks, the WCPFC, UNDP has strengthened, or established, 13 multi-country marine/coastal,
river and lake basin management agencies or Commissions including the Benguela Current and Guinea Current
Large Marine Ecosystem Commissions in 2006. It has also a recognized advantage in implementing all types
of interventions related to international waters in East Asia (e.g., PEMSEA Regional Programme, SDS-SEA).
Strengthened internal coordination through the merging of the GEF IW cluster and the Water Governance
Programme will lead to additional strengthening of UNDP's comparative advantage in servicing the full range
of international waters interventions in environmental governance, including ocean governance and
mainstreaming of environmental priorities into multiple sectors.
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PART III: APPROVAL/ENDORSEMENT BY GEF OPERATIONAL FOCAL POINTS AND GEF
AGENCIES
A. RECORD OF ENDORSEMENT OF GEF OPERATIONAL FOCAL POINT (S) ON BEHALF OF THE
GOVERNMENT(S): (Please attach the country endorsement letter(s) or regional endorsement letter(s) with this template).
Indonesia
Date: (Month, day, year)
(Enter Name, Position, Ministry)
Malaysia
Date: (Month, day, year)
(Enter Name, Position, Ministry)
Philippines
Date: October 4 2007
Atty. Analiza Rebuelta-The
Assistant Secretary and GEF Permanent
Alternate Operational Focal Point
Department of Environment and Natural
Resources
B. GEF AGENCY(IES) CERTIFICATION
This request has been prepared in accordance with GEF policies and procedures and meets the GEF
criteria for project identification and preparation.
Yannick Glemarec
Name & Signature
Anna Tengberg
GEF Agency Coordinator
Project Contact Person
Date: (Month, Day, Year)
Tel. and Email:+66 2288 2730
Anna.Tengberg@undp.org
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