PROJECT BRIEF
1. IDENTIFIERS
PROJECT NUMBER:
[Implementing Agency Project Number not yet
assigned]
PROJECT TITLE:
Global (Nigeria, Cameroon, Iran, Venezuela,
Costa Rica, Cuba, Trinidad and Tobago,
Colombia, Mexico, Indonesia and Philippines):
Reduction of Environmental Impact from
Tropical Shrimp
Trawling
through
the
Introduction of By-catch Reduction Technologies
and Change of Management
GEF IMPLEMENTING AGENCY:
United Nations Environment Programme (UNEP)
EXECUTING AGENCIES:
Food and Agriculture Organization of the United
Nations (FAO)
REQUESTING COUNTRIES:
Nigeria, Cameroon, Iran, Venezuela, Costa Rica,
Cuba, Trinidad and Tobago, Colombia, Mexico,
Indonesia and Philippines1.
ELIGIBILITY:
The countries are eligible under paragraph 9(b) of the
GEF Instrument..
GEF FOCAL AREAS:
International Waters with relevance to Biological
Diversity
GEF PROGRAMMING FRAMEWORK:
Operational Program # 10 Contaminant-based
Operational Program ­ Regional/Global Technical
Support Component.
2. SUMMARY
Shrimp exploitation by tropical trawl fisheries generates significant amounts of non-shrimp
by-catch. In some countries, by-catch has become an important source of income and contributes
to food supply. In others, by-catch of fish, particularly small-sized, is discarded at sea. The
capture of juveniles of valuable food fish constitutes a threat to the sustainable production of fish,
while extensive removal of non-target fish is also a threat to the biodiversity in a fishing area. If
the introduction of fishing technologies and practices that reduce the capture of juveniles is
successful in a few selected countries in various regions, it can be assumed that such technology
and practices would be adopted by other shrimp fishing countries also experiencing problems
with by-catch. In addition to the expected increased fish production and conservation of
biodiversity as a result of project intervention, shrimp trawling will earn an improved reputation
and so continue to produce needed export income for several poor developing countries.

1 In addition Bahrain will participate in project activities although, since it is not GEF-eligible, financial support
will be provided from other sources.

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3. COSTS AND FINANCING (MILLION US $)
GEF:
Project:
US$ 4.450
PDF:
US$ 0.330
Subtotal GEF:
US$ 4.780
Co-financing:
UNEP
PDF in cash & kind:
US$0.0400
Full Project (in kind):
US$0.1000
FAO
PDF in cash & kind:
US$0.1000
Full Project in cash:
US$0.8500
Full project in kind:
US$0.1000
Governments in cash & kind:
PDF:
US$0.0500
Full Project:
US$ 1.395
National Fishing Industry (total countries combined)
Full Project:
US$ 1.805
Subtotal Co-financing:
US$ 4.440
Total Project Cost:
US$ 9.220
4. ASSOCIATED FINANCING (MILLION US $)
Efforts to address the environmental problems associated with tropical shrimp trawling have
increased in the last decade. Several countries have designed and developed specific programmes
to minimize by-catch associated with shrimp fisheries; for example, Australia, Cuba, France,
India, Indonesia, Iran, Mexico, Mozambique, Norway, Philippines, Tanzania, Thailand,
Venezuela, and the USA. Investments have been made in development of technology and testing
of by-catch reduction devices, in training of human resources, and in promotion of dialogue and
consultations with the fishing industry. The overall costs associated with these efforts worldwide
are estimated to be in billions of dollars.
5. OPERATIONAL FOCAL POINT ENDORSEMENT(S)
Cameroon: Mr. J.S. Amougou, Direction de la Faune et des Aires Protégées, Ministère de
l'Environnement et des Forests, Yaoundé, Cameroon: Date of receipt 7th September 2000
Colombia: Ms. C. Hoyos, Oficina de Cooperación Internacional, Ministerio del Medio
Ambiente, Santa Fé de Bogotá, Colombia: Date of receipt 7th September 2000
ii

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Costa Rica: Guaria Vargas A, Delegada Ejecutiva, FUNDECOOPERATION, Date of receipt
25th September 2000
Cuba: H. Arango Sales, Director for International Collaboration, Ministry of Science, Technology
and Environment, Havana, Cuba: Date of receipt 1st September 2000
Indonesia Mr. E. Sumardja, Deputy for Law Enforcement and EIA, Environmental Impact
Management Agency (BAPEDAL) Jakarta, Indonesia. Date of receipt 12th September 2000
Islamic Republic of Iran: Mr. P. Hosseini, Director-General for International Affairs, Ministry
of Foreign Affairs, Tehran, Islamic Republic of Iran. Date of receipt 10th September 2000
Mexico: Mr. R. Ochoa, Director, International Financial Institutions, Ministry of Finance of
Mexico, Mexico. Date of receipt 14th September 2000
Nigeria: Ms. A. Ene-Ita, Office of the Director General/Chief Executive, Federal Environmental
Protection Agency, The Presidency, Abuja, Nigeria. Date of receipt 7th September 2000
Philippines: Mr. M.S. Roño, Undersecretary for International Commitment & Local
Government Affairs, Dept. of Environment and Natural Resources, Quezon City, 1100,
Philippines. Date of receipt 5th September 2000
Trinidad and Tobago: Dr David Mcintosh, Managing Director/Executive Director,
Environmental Management Authority, Port of Spain, Trinidad and Tobago. Date of receipt 7th
September 2000
Venezuela: Mr L. Nino, First Secretary, Embassy of Venezuela, Washington, D.C. N. Pino,
Ambassador, International Economic Cooperation, Caracas, Venezuela. Date of receipt 5th June
2000
6. IA CONTACT:
Mr Ahmed Djoghlaf, Executive Co-ordinator, UNEP/GEF Co-ordination Office, UNEP, Nairobi,
Tel: 254 2 624153; Fax: 254 2 520825; Email: ahmed.djoghlaf@unep.org
iii

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LIST OF ACRONYMS
BRD
By-catch reduction device
CECAF
Fishery Committee for the Eastern Central Atlantic
TED
Turtle exclusion device
FAO
Food and Agriculture Organization of the United Nations
NGO
Non-Governmental Organization
RECOFI
Regional Commission for Fisheries
ROPME
Regional Organization for the Protection of the Marine Environment
SEAFDEC
Southeast Asian Fisheries Development Center
UNEP
United Nations Environment Programme
WECAFC
Western Central Atlantic Fisheries Commission
iv

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I. BACKGROUND AND CONTENT
1.
Operational Programme No. 10 "Contaminant-based Operational program", states that
"targeted regional or global projects useful in setting priorities for possible GEF interventions,
meeting the technical needs of projects in this focal area, or distilling lessons learned from
experience" (para 10.2)." Further, this OP lists as a short-term objective "develop.....aimed at
deriving and disseminating lessons learned ......, sharing the learning experience with groups of
countries co-operating on international waters projects, and addressing the technical and
institutional needs of those countries co-operating on International Waters projects." [para 10.4,
sub-para (d)].
2.
One such source of stress that is of growing international concern is capture fisheries and the
need to develop, promote and implement environmentally sound technology and practices in the
marine fisheries sector so as to prevent loss of biodiversity and habitat degradation. Data suggest
that ecological impacts and mortality rates resulting from by-catches in world fisheries are
significant, affecting finfish (particularly juveniles of commercial species), benthic invertebrates,
marine mammals, turtles and birds. The Food and Agriculture Organization of the United Nations
(FAO) estimated recently that, world-wide, discards in commercial fisheries are around 20 million
metric tons and account for economic losses that run into billions of dollars annually. Tropical
shrimp-trawler fisheries generate more by-catch than any other type of fishery. Although several
devices have been developed and have proved to be efficient in the reduction of by-catches, to date,
no concerted international effort, involving all key parties, has been made to resolve the problem of
the impact of tropical shrimp-trawler fisheries on marine ecosystems and species.
3.
The project addresses two important policy issues: food security and biological impact of
trawling on the environment. Demand for marine food for the increasing human population is
likely to increase substantially in the immediate and foreseeable future. At the same time,
international pressure to reduce the adverse environmental impacts of human exploitation of
natural production is likely to increase. These two pressures may be seen as conflicting, hence the
need to achieve optimum production potential while reducing adverse environmental impacts.
Present shrimp-trawling practices are currently unsustainable and pressure on the fisheries sector
to change current practices and reduce the impact of shrimp trawling in tropical shallow-water
ecosystems is increasing.
4.
Shrimp trawling in tropical regions is very common. The cod-ends of the trawls have
relatively small meshes to retain the all-important shrimp catch. Such fisheries are often carried
out in shallow waters which, in many cases, are spawning and nursery grounds for juvenile fish of
potentially high commercial value. The consequence of this trawling is therefore that large
amounts of juvenile fish are caught together with the targeted shrimps. Some of these fish, as well
as other low-valued by-catch, are often discarded at sea. In some tropical areas, turtles are also
relatively abundant on the shrimp fishing grounds and are incidentally captured and drown in
shrimp trawls. Trawling is also a fishing method that results in physical impact on the bottom
habitat, and in some areas this impact might have a detrimental effect on benthic biodiversity.
1

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5.
Some countries have taken action to mitigate the problem of turtle by-catch, and the use of
the turtle-exclusion device (TED) is compulsory in tropical shrimp fisheries in the USA and in
countries having problems with turtle by-catch which export shrimp to the USA. Australia has
also introduced TEDs in some of their shrimp fisheries. The problem of fish by-catch,
particularly of juvenile food fish, has more recently been identified as a priority area for
mitigation. Research aimed at developing efficient and practical solutions is ongoing in several
countries, including the USA, Australia, Mexico and Thailand. This development is likely to
continue in these countries, but because it requires substantial financial and human resources it
will, without GEF intervention, be restricted to countries with a strong economy.
6.
During its Fifty-third Session, the General Assembly of the United Nations urged "States,
relevant international organizations and regional and sub-regional fisheries management
organizations and arrangements to take action, including through assistance to developing
countries, to reduce by-catches, fish discards and post-harvest losses consistent with international
law and relevant international instruments, including the Code of Conduct for Responsible
Fisheries" (Resolution A/RES/53/33).
7.
Reducing by-catch and discard of unwanted catch is presently the policy of many States
and for an increasing number of regional and sub-regional fisheries management organisations and
arrangements. The reduction of discards and environmental impact is also a priority activity of
FAO's Regular Programme. This issue is addressed specifically in a FAO 6-year project entitled
"Reduction of discards and environmental impact from fisheries" with an annual budget of
approximately US$ 500,000, which includes evaluation of by-catch and discards resulting from
various fisheries, and assessment of the impact of trawling and other methods on the bottom, and
on the environment in general.
8.
This project proposal has been developed through a process where government-appointed
National Co-ordinators from 13 countries agreed with the executing agency, FAO, on a common
approach to national baseline studies. Baseline studies were executed under the supervision of the
National Co-ordinator and involved a wide consultative process with most stakeholders having an
interest in shrimp exploitation. Most countries established a national committee and national
workshops attended by many industry representatives and in some cases by environmental
NGOs were arranged for the purpose of reviewing the national problems of by-catch in shrimp
trawls. In addition workshops were held in each of the four regions (Latin America and Caribbean,
Asia, Middle East and Africa) to discuss the findings in the national reports and to agree on
national and regional priorities to be included in a main-phase project. Representatives from
countries other than the core 13 and relevant stakeholders from industry and society were also
invited to attend these workshops. The proposed national and regional arrangements and
modalities in the present proposal, including selection of countries, resulted from these regional
workshops.
2

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9.
The 7 full participating countries proposed are Nigeria, Iran, Venezuela. Costa Rica,
Mexico, Indonesia and Philippines and they were selected based on their indication during the
preparatory phase of the project that they have a severe problem with fish by-catch in their
shrimp fisheries and the wish they expressed to participate in a global effort. These selected
countries have also some form of management infrastructure in place, which makes them well
suited to execute a project of this size and complexity. The shrimp fishery in these countries is
also of significance for the region they belong to, and the positive impact on the environment
resulting from interventions forecasted will thus be greater than executing the project in a country
with a smaller shrimp fishery. A number of other countries will participate in joint activities with
one of the main partners: Cameroon, Bahrain, Colombia, Cuba and Trinidad and Tobago. These
countries were very active and participated in the preparatory phase. They have also important
shrimp fisheries, but the catches are generally smaller than for the main participating countries.
Mexico will participate, although it was not formally a participating country in the preparatory
phase. It is the country with the most important shrimp fishery in Latin America, and is also the
country with most advanced experience in by-catch reduction devices in the region, besides the
USA. A brief description of the shrimp fishery in each of the participating countries, reflecting
the baseline survey carried out within the preparatory phase of the project, is provided in Annex
E.
II. RATIONALE AND OBJECTIVES
10.
This project will address the problem of discarding unwanted catch and by-catch of
juvenile food fish in particular through the introduction of appropriate fishing technologies and
practices in combination, where appropriate, with introduction of legislation and a management
framework including control and enforcement strategies. It will also aim at introducing solutions
that avoid capture of turtles where such by-catch exists. The impact of trawling on bottom habitat
will also be addressed in a small number of countries, initially to gain a better understanding of
such impacts, as such knowledge is very poor at present.
11.
The overall objective of the project is to reduce discard of fish captured by shrimp
trawlers, primarily by introducing technologies that reduce the catch of juvenile food fish in a
selected number of developing countries. The participating countries have themselves identified
the capture of juvenile food fish and discard as a non-sustainable practice and have therefore
assigned priority to reducing the problem nationally. The countries will therefore contribute
through management and research in the biology and fishing-gear fields.
12.
The project is designed to carry out a demonstration activity in at least one developing
country in each GEF development region. The benefit of this strategy is that a consolidated effort
undertaken in a few countries will generate lessons that can be rapidly transferred to other shrimp
fishing countries in the same region. Active participation in the implementation of selected
activities by countries not executing full project activities will facilitate this process.
III. PROJECT ACTIVITIES/COMPONENTS AND EXPECTED RESULTS
3

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13.
Project activities will be undertaken at global, regional and participating-country levels.
Activities at the global level include the collection and wide dissemination of data on tropical
shrimp fisheries and their impact on the environment in general. Dissemination of useful
information to improve the exploitation of shrimp resources globally will be given high priority.
FAO will be the executing agency for the project and thus responsible for its operation and
management and for co-ordination of activities at the regional and global levels.
14.
In each of the participating countries the impact on the environment of present production
systems will be assessed and used as a basis for an evaluation of the impact of new fishing
practices, which will be introduced through the project. The major activities in the participating
countries will be to develop and/or adapt by-catch reduction technologies which reduce the
capture of juvenile fish, non-target fish and non-fish species, to an acceptable level. Successful
developments will require training and extension as well as development of a legal framework and
mechanisms for monitoring, control and enforcement of any new regulations that may be
adopted.
15.
The ultimate output of the project will be the adoption by several of the participating
countries of fishing technologies and practices that are environmentally friendly so that their
shrimp trawling fisheries will be enhanced in terms of their environmental performance and
reduction of biological impacts and be regarded as more sustainable in the future. A direct outcome
of the project will be the reduction in number of juveniles caught by trawlers using BRDs
compared to trawlers not using such devices. This can be verified when a successful BRD has
been developed and introduced in a shrimp fishery and a comparison made with a trawl equipped
with BRD and one without. Another indicator of project success will be the number of trawlers
using BRDs in each fishery at the end of the project period. An additional product expected is the
improvement in national capacities for the sound management of the shrimp-trawler fisheries and
increased co-operation required among countries at the regional and global levels. All of which
would not be achievable without the framework provided by this project.
16.
Component A: Global and Regional co-ordination and networking. Under this
component, activities will result in production of global information concerning shrimp fisheries,
including production of guidelines and information material and facilitation of suitable technical
advisory services to facilitate transfer to more environmentally sound trawling practices. Such
information material will include: an electronic publication on shrimp fishing methods; inventory
of by-catch reduction devices (BRDs); annual report by countries about the shrimp fisheries
(effort, catches and any by-catch problems); inventory of legal and policy frameworks for
sustainable shrimp fisheries; guidelines and information material on sustainable shrimp fishing
technologies; and a directory of experts and institutions experienced in this field.
17.
Component B: National Level Actions to introduce more sustainable practices. This
component encompasses national level activities to introduce by-catch reduction technologies in 6
4

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countries (Nigeria, Iran, Venezuela. Costa Rica, Indonesia and Philippines) aimed at a reduction of
by-catch by 50% by the end of the project period.
18.
Component C: Regional activities to expand participation and wider adoption of
more sustainable practices. Joint Participation in exploratory fishing with one of the full
participating countries by Cameroon, Cuba, Trinidad and Tobago, Colombia and Mexico. GEF
support will be provided to these countries to participate in assessment activities led by one of
the full participating countries. The activities of the project will be co-ordinated with other on-
going related or complementing regional or sub-regional programs: in particular, WECAFC in the
Caribbean; CECAF, in the Gulf of Guinea; RECOFI, ROPME/UNEP Project, in the Gulf;
SEAFDEC project in Southeast Asian countries. Under this component execution of project
activities in SEAFDEC Asian member countries will involve development and introduction of
juvenile fish excluders.
19.
Component D: Project Operations and Management. FAO expertise from various
disciplines, including fishing gear experts, biologists, policy experts, economists, legal experts and
communication experts will be involved in providing support to the project execution.. An
internal task force will be established within FAO to provide oversight and substantive inputs to
the project during execution, as well as to monitor and evaluate the project implementation. FAO
will ensure proper execution and co-ordination of activities within the project with the
identification of responsible staff, including a full time Project Co-ordinator. FAO will also
support the execution of activities at country, regional and global levels through support to the
national steering committees, to the national co-ordinators and to the organisation of meetings at
regional and global levels.
20.
The activities required to achieve project outputs are detailed in Annex F. The detailed
activities at national level will differ somewhat between countries, as the situation with regard to
fishing fleet, trawl gear and fishing conditions are different in the various countries. A common
approach will be to evaluate possible options for the introduction of BRDs, in consultation with
the industry, conduct experiments on commercial trawlers, evaluate the results, undertake mid-
term assessment of the benefit of BRDs through a voluntary exploratory fishing period and,
finally, introduce BRDs on a larger scale. This latter activity will require extensive information
campaigns and involve expertise in developing the necessary legal and management frameworks in
each participating country to adopt and implement the use of such devices as standard practice. In
addition to activities aimed at introducing technologies that can solve the by-catch problem, some
countries are considering the introduction of alternative fishing methods; others are considering
management measures such as closed seasons and closure of fishing grounds for trawling, as
possible options to achieve the objective of reduced by-catch. These options will be explored
during the project and measures adopted, as appropriate, by individual countries.
IV. RISK SAND S USTAINABILITY
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21.
A change to more environmentally sound shrimp trawling might in the short term generate
some economic losses to the shrimp-trawling industry, as the efficiency for the target catch might
be slightly reduced and there will be reduced income from by-catch, with immediate social
consequences in a few countries. Without adoption of such practices however, shrimp trawling
might, under strong international pressure, become severely restricted because of its negative
environmental impact, resulting in market loss and enforced restriction of activities. With
adoption of such practices the international acceptability of capture fisheries may increase, thus
permitting continuation of the industry and thereby ensuring an important source of export
income for many developing counties. Successful adoption of such practices should result in the
added benefit of an increase in production of food fish through reduction of juvenile-fish mortality
in the shrimp-trawling industry and associated gains in the quality of the products and working
conditions (e.g. reduction of sorting time) .
22.
The major risk is that the developed technology will not be accepted by the fishing
industry, which might occur if the shrimp catch is substantially reduced and if there is a major
loss of income from by-catch. The involvement of the industry in all stages of the project
implementation is therefore crucial and all stakeholders will be involved in and kept fully abreast
of progress.
V.
S TAKEHOLDER PARTICIPATION AND IMPLEMENTATION
23.
A range of stakeholders representing different groups, such as fishers (shrimp fishers,
coastal fishers and other fishers), researchers (gear technologists, biologists, environmentalists),
fishery managers, coastal-zone managers, fish traders, fish processors and various NGOs have
some interest in the issues addressed by this project. Continuing the practices and the network of
key persons and contacts developed during the preparatory phase, all stakeholders will be
involved in project design and execution through the establishment of and participation in national
steering committees.
24.
The project will be implemented at three levels: global, at which FAO collects, quality
controls, collates, analyses and disseminates information that will be useful in reducing the
environmental stress of shrimp trawling; national, in countries that have a problem with their
present shrimp exploitation and have committed themselves to changing their fishery by
introducing more environmentally sound fishing technologies and practices; and regional, for co-
ordination between countries within a region, and to facilitate dissemination of successful results
from the project to neighbouring countries.
25.
The arrangements in the various countries will, to a large extent, depend on their capacity
and tradition for stakeholder participation in such processes. Realising, however, that any change
of fishing practice can hardly be efficient without the fishers' participation and commitments, any
arrangement set up in a country should take this into account. One recommended model, based on
experience gained during the preparatory phase, is to have a National Steering Committee and a
National Co-ordinator to decide on important issues regarding the project implementation. The
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membership of the Steering Committee should include representatives of the fishery managers,
researchers, fishers (shrimp fishers and non-shrimp fishers) and NGOs, as appropriate.
26.
Introduction of new technologies will affect the fishers, and as they are often the people
with the best knowledge of any by-catch problems, their co-operation in finding acceptable
solutions will be given high priority from the outset of the project. The project activities will
include testing of technologies already proven efficient in shrimp fisheries elsewhere; the
adaptation to local conditions will often be a major challenge. Fishers have experience of their local
situation, which is most valuable in this respect. The introduction of new technologies goes
through a process by which, preferably, technologies to be tested in a particular shrimp fishery
are decided in consultation with the industry, and fishers play a key role in the exploratory
fishing, using commercial vessels for such tests. Following a successful outcome of experimental
fishing, several fishers should be given the opportunity to test the new gear on a voluntary basis,
the incentive being that the new gear is provided free of charge and, in some instances, fishers
might be given access to areas that are usually closed to traditional shrimp trawling.
27.
Based on the results from the large voluntary experimental fishing, the managers, in
consultation with the researchers and fishers, should decide on which management requirements,
including a legal framework, might be necessary to institutionalise more environmentally friendly
shrimp fishing.
28.
Generally, the capacity in fishing-gear technology, fishery management and to a lesser
extent in marine biology, including shrimp biology, is poor in most of the countries involved in
this project. However, some developing countries have gained skills in the development and use of
by-catch reduction devices, particularly Mexico in the Caribbean/Latin American region, whereas
SEAFDEC has played and still plays an active role in the introduction of by-catch reduction
devices in their Asian member countries. Outside the tropical regions, some developed countries,
particularly the USA, Australia, Norway and France, have developed skills to find practical
solutions, including by-catch reduction technologies, in their shrimp fisheries. A mechanism
whereby the experience of these more advanced resource countries is tapped to provide technical
assistance, and the sharing of lessons learned with the countries within the project, will be an
important part of its implementation.
29.
One possible option, which will be explored, is for such assistance to be formalised
between the recipient country and resource country, through a co-operation agreement with a
relevant institution. An alternative option is that experts from "advanced countries" are
contracted to provide in-country assistance in a country requiring a particular expertise. The role
of FAO in this process will be to arrange the formal contracts or facilitate the conclusion of co-
operation agreements. In this context, directories of experts and institutions dealing with the
subject matter of the project will be set up and maintained by FAO for the duration of the
project.
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VI.
INCREMENTAL COSTS AND PROJECT FINANCING
INCREMENTAL COSTS
30.
An outline of the incremental and baseline costs of this project are contained in Annex A
and summarised in Table 1 below. The participating countries and the FAO, as the organization
responsible for facilitating implementation of the Code of Conduct for Responsible Fisheries, are
committed to action to reduce the volume of discarded by-catch from shrimp-trawl fisheries. The
FAO contribution outlined in Table 2 is presented here as part of the baseline. In reality however,
such co-financing is itself incremental, since it results in supranational environmental benefits.
31.
FAO-funded components involve, inter alia, facilitating the transfer of technology and
information to shrimp-trawl fisheries in the participating countries and thus addressing a primary
barrier to adoption of more-sustainable practices, namely, insufficient access to information on
such practices.
32.
In reality, adoption of by-catch reduction devices is likely to result in short-term
economic losses to the trawl industry and to the governments in terms of lost foreign-exchange
earnings, resulting from a reduced shrimp catch and less by-catch in countries where markets now
exist for it. In contrast, the medium-term economic benefits resulting from the exclusion of
juveniles of commercially important finfish species from the by-catch may result in improved
recruitment to commercial finfish fisheries and hence enhanced economic benefit at the national
level. However, such benefits will accrue to sectors of the fishing industry other than the shrimp
trawlers, and quantifying such economic benefits will only be possible following the experimental
fishing which forms a component of this project. In the longer term it is possible that international
markets for wild-caught shrimp by fisheries that operate without by-catch reduction devices will
decline due to increasing international concern about the impacts of trawl fisheries. Therefore,
markets may decline, thus providing an unquantifiable incentive for the adoption of such
techniques. Such longer-term economic benefits are difficult to estimate at the present time.
Table 1.
Incremental costs
Baseline
Alternate
Increment
Global Information Production and Dissemination
0.85
0.85
0.00
National-Level Actions
B.1 Nigeria
0.30
0.80
0.50
B.2 Iran
0.30
0.80
0.50
B.3 Venezuela
0.55
0.95
0.40
C.4 Mexico
0.85
1.55
0.70
B.5 Costa Rica
0.20
0.50
0.30
B.6 Indonesia
0.30
0.70
0.40
B.7 Philippines
0.20
0.60
0.40
Regional Activities to Expand Participation
C.1 Trinidad and Tobago
0.10
0.20
0.10
C.2 Cameroon
0.05
0.10
0.05
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C.3 Colombia
0.10
0.20
0.10
C.4 Cuba
0.05
0.20
0.15
C.5 Bahrain
0.50
0.50
0.00
C.6 SEAFDEC
0.15
0.25
0.10
Project Co-ordination and Management
0.20
0.95
0.75
Total
4.250
8.700
4.450
FINANCING
30.
Activities under component A (see section III, above) will be funded by FAO regular
programme funds; activities in components B and C will be funded through in-kind contributions
and co-financing from participating countries and from GEF funds. As indicated in Table 2,
component D, which is the cost of co-ordination and management of the project by the executing
agency FAO, will be co-funded by GEF and FAO. Project duration will be 5 years from project
final approval. A detailed list of activities and timeline is provided in Annex F, and Table 2
provides details of component financing.
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Table 2. Component financing (million $)
Component
GEF
Co-financing
Total
UNEP2
FAO
Gov'ts.
Priv. sector
Global Information
A.1 Publication of shrimp-fishing methods
-
-
0.10
-
- 0.10
A.2 Inventory of BRDs
-
-
0.20
-
- 0.20
A.3 Annual reporting
-
-
0.15
-
- 0.15
A.4 Inventory of legal and policy issues
-
-
0.15
-
- 0.15
A.5 Guidelines and information materials
-
-
0.20
-
- 0.20
A.6 Directories of experts and institutions.
-
-
0.05
-
- 0.05
National-Level Actions
B.1 Nigeria
0.50
-
-
0.10
0.20 0.80
B.2 Iran
0.50
-
-
0.15
0.15 0.80
B.3 Venezuela
0.40
-
-
0.20
0.35 0.95
B.4 Mexico
0.70
-
-
0.25
0.60 1.55
B.5 Costa Rica
0.30
-
-
0.15
0.05 0.50
B.6 Indonesia
0.40
-
-
0.10
0.20 0.70
B.7 Philippines
0.40
-
-
0.10
0.10 0.60
Regional Activities to Expand Participation
C.1 Trinidad and Tobago
0.10
-
-
0.05
0.05 0.20
C.2 Cameroon
0.05
-
-
0.025
0.025 0.10
C.3 Colombia
0.10
-
-
0.05
0.05 0.20
C.4 Cuba
0.15
-
-
0.05
- 0.20
C.5 Bahrain
-
-
3
0.02
0.03 0.05
C.6 SEAFDEC
0.10
-
-
0.15
- 0.25
Project Co-ordination and Management
0.75
0.10
0.10
-
- 0.95
Total
4.45
0.10
0.95
1.395
1.805 8,70
VII. MONITORING, EVALUATION AND DISSEMINATION
31.
At the global level, a Project Co-ordinator selected and appointed by FAO in consultation
with UNEP will ensure that the planned activities in each country are conducted according to
plan. Other technical staff of FAO, including fisheries experts in the regional and sub-regional
offices, will assist in the implementation of specific activities in the various countries, as
appropriate. FAO staff will execute the global activities, and the Project Co-ordinator will co-
ordinate the technical outputs. Within FAO a task force with expertise in the all relevant fields
will be established to review progress and advise on strategies for project implementation. At the
country level one institution will be assigned the lead responsibility for the implementation of the
national activities. This institution will select and assign a National Co-ordinator, in consultation
with FAO and UNEP, as appropriate, who will be paid part-time from GEF funds. At the
national level a committee of all stakeholders will be established as a National Steering Committee
with a mandate to review progress and advise on all aspects of the project implementation in the
given country.

2 In-kind
3 To be confirmed.
10

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32.
The activities in each country will be evaluated against milestones in terms of results,
which will allow decisions to be taken regarding implementation of further activities. One
important milestone will be the completion of experimental fishing using one or several by-catch
reduction technologies. The execution and results of these experiments should be analysed by the
National Steering Committee in consultation with FAO staff immediately afterwards. At that
stage it is important that the experience from testing in different countries be compared and that
good lessons learned be communicated to all other parties involved. A second major milestone will
be met when the device(s) is(are) introduced into the shrimp fishery. An evaluation of the
successes or failures of this introduction is not envisaged until the project has been running for at
least three years. In some countries this evaluation might require additional time. The
introduction phase should, however, be continuously monitored and evaluated, so that corrective
measures can be taken. Here again, lessons learned in other countries will be important to achieve
expected results.
33.
Dissemination of results from any activity conducted in the course of the project is of
interest to all participants as well as to a wider audience of countries struggling with the same by-
catch problems. The information-dissemination aspects of the project will therefore be given high
priority, and an internet web site managed by FAO will play an important role in this regard. The
success stories will also be disseminated through appropriate reports and pamphlets. Because of
the large public interest in the issue, it is also likely that TV stations will provide informative
reports on the successes as they emerge.
34.
Indicators of implementation at the global level will include publication and dissemination
of documents and awareness materials mentioned above, and secondly, the demand for these. At
the national level the number of vessels using the new technology will be a key measure of
success. A more direct measure will be the change in the amount of by-catch taken with the new
technology compared to the old.
11

---

LIST OF ANNEXES
ANNEX A - Incremental Cost Analysis
ANNEX B - Logical Framework Matrix
ANNEX C - STAP Roster Technical Review
ANNEX D - Available Reference Documents
ANNEX E - Overview of the Shrimp-Trawl Fishery in the Participating Countries
ANNEX F - List of Activities and Timetable

---

ANNEX A
INCREMENTAL COST ANALYSIS
FOCUS OF THE PROJECT
In essence this project is a barrier-removal intervention focussing on two types of barrier to
the adoption of more-sustainable and less environmentally damaging technologies in the
tropical shrimp-trawling industry.
The first of these barriers relates to the availability of information on BRDs in the countries
and shrimp-trawling industries located in tropical developing countries. The second relates to
economic factors, including the capital costs of adopting BRDs and the absence of strong
economic incentives to adopt such technologies even when the information is available and
when capital resources for investment are also available.
ECONOMIC AND ENVIRONMENTAL BENEFITS
Immediate or short-term national environmental and/or economic benefits to the adoption of
BRDs are difficult to identify. Indeed it could be argued that short-term economic disbenefits
will result from the adoption of such devices within the trawl industry. BRDs result in a
lowered shrimp catch and fish by-catch in countries where markets now exist for fish by-
catch, and hence lowered income and profitability to individual trawl owners and the fishing
sector as a whole. At the national level, this results in loss of foreign exchange earnings.
Regrettably, it is not possible at present to quantify such losses at either the national or sector
levels, nor at the level of the individual trawl operator. There is some evidence to suggest that
reduction in by-catch will improve the quality of the product and working conditions but the
economic benefits from such changes cannot be estimated at this time.
In contrast, medium-term economic benefits may result from the adoption of such by-catch
reduction devices. Such benefits could result from the exclusion of juveniles of commercially
important finfish species from the shrimp-trawl catches, resulting in improved recruitment to
commercial fin fisheries and hence enhanced economic benefit at the national level. However
such benefits will accrue to sectors of the fishing industry other than the shrimp trawlers, and
quantifying such economic benefits will only be possible following the experimental fishing
which forms a component of this project.
In the longer term it is possible that international markets for wild-caught shrimp derived from
fisheries that operate without by-catch reduction devices will decline due to increasing
international concern regarding the impacts of trawl fisheries on non-target species. Therefore
markets may decline in the longer term, thus providing an incentive for the adoption of such
techniques. Again such longer-term economic benefits are difficult to estimate at the present
time.
One immediate environmental benefit will be a reduction in accidental mortality of
endangered turtle species, whilst an overall reduction in by-catch should result in

---

enhanced recruitment to populations of non-commercial species, thus protecting
biological
diversity
in
tropical
soft-bottom
communities
or
taxa.

---

BASELINE AND INCREMENTAL ACTIONS
The participating countries are committed to implementing the FAO Code of Conduct for
Responsible Fisheries and have, through the project preparatory phase, indicated strong
willingness to examine methods for reduction of discarded by-catch, including the adoption of
BRDs and improved management regimes for their tropical shrimp-trawler fisheries.
Improvements in management, including the establishment of quotas, institution or extension
of closed seasons and closure of specific fishing grounds, are likely to be undertaken in the
absence of this intervention. This project will however greatly enhance the development and
rate of adoption of such management regimes by facilitating the transfer and exchange of
information between countries sharing individual trawl fisheries.
The FAO co-financing is presented in Table 2 as part of the project baseline, since such
actions would continue to be undertaken by FAO in the absence of GEF financing. In reality
however such co-financing is itself incremental since it results in supranational environmental
benefits, including, inter alia, a more rapid transfer of information and knowledge than would
occur in the absence of FAO. Actions such as those contained in component A of the project,
which are concerned with information production and dissemination, could not occur through
national action alone and would in fact result in little or no direct national benefit to a country
supporting such activities. Nevertheless such actions are likely to contribute to more rapid
adoption of sustainable techniques by overcoming the barriers to information access.
FAO-funded components involve, inter alia, facilitating the transfer of technology and the
conduct of experimental fishing to provide direct information on the reduction of by-catch
(environmental benefits) and on the magnitude of the reduction of the target species (economic
costs). Such data are not currently available, so the economic arguments based on medium- and
longer-term benefits cannot be quantified and presented to decision making bodies within the
fisheries sector.
Access to such information and the consequent adoption of more-sustainable shrimp-trawling
technologies may ultimately result in longer-term national environmental and economic
benefits. In contrast the initial capital costs of adopting such technologies cannot be justified
economically at the present time, since the economic benefits cannot be quantified, whereas
the costs are immediate and apparent.

---

ANNEX B
LOGICAL FRAMEWORK MATRIX
Summary
Objectively Verifiable Indicators
Means of Verification
Critical Assumptions and Risks
(Monitoring focus)
Overall Objectives
Reduced by-catch taken by shrimp
Reports by countries of reduced discard
Collection of data on catch rates and
Economic and social factors related to
trawlers
levels and non-capture of turtles or other
catch composition before and after
market opportunities for by-catch
key marine living resource (e.g. juvenile
introduction of any by-catch reduction
finfish)
device or any change in fishing
operations
Reduce capture of juvenile fish,
Increased production of food fish in the
Same as above, as well as an increase in
Same as above
particularly of species used for human
fishing areas
landings of relevant fish species
consumption
Increase knowledge on the impact of
Reports about quality and magnitude of
Changes in gears and fishing operations
Same as above
shrimp-trawling on marine habitat
distortion of bottom habitat caused by
trawling
Outcomes
Minimising the pantropical problem of
Countries involved have assigned
Evaluation of research and development
Temporary loss of income from by-catch
discarded by-catch from shrimp trawling
priority for research institutions and
programmes
trade in some countries
administration to solve the problem.
Introduction of appropriate fishing
Number of vessels that change their
Monitoring of vessels and fishing
Lack of funds to change fishing practices
technology and practice
fishing practice and adopt new
activities through observer and/or VMS
that might lead to lower economic
technologies. Preparation of guidelines
managed by the Fisheries Administration returns, even if only temporarily
and manuals for applying the new
Dissemination of guidelines and manuals
techniques
for applying the new techniques
Enactment of relevant legislation and
Adopted and published regulations and
Adoption of regulations by the fishing
That relevant laws and regulations will
development of an improved
laws
industry
be complied with by the fishing industry
management framework
Enhance awareness of the problem of
Increased demand for materials and
Monitoring of number of documentation
Web site will be attractive and well
shrimp by-catch
publications on shrimp fisheries and by-
requests and replies; statistics on web-
maintained, with up-to-date information
catch; number of hits on web site to be
site visitors by FAO
on project activities and results
maintained by FAO and relevant regional
fishery bodies
Increase dialogue, interaction and joint
Specific technical assistance provided by
Monitoring and reporting of active
Interest of and contributions by resource
B-1

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operations at the country and regional
resource countries; number of joint
participation and interactions among
countries and institutions would need to
levels
activities implemented among
countries and resource countries through
be forthcoming and materialised
participating countries
Fisheries Administration and regional
fishery bodies
Results
Adoption of by-catch reduction devices
Installation of devices in the shrimp-
Reports of observers on use of by-catch
In some countries the by-catch of
by national and regional shrimp-trawling
trawling gear
reduction devices and on results of using
marketable fish is an important source of
fisheries
them
income to coastal communities;
reduction of by-catch rates could lower
employment rates and reduce income.
Efforts might be made to develop uses of
unavoidable by-catch now being dumped
at sea
Improved management of shrimp-
Introduction of new management systems Catch statistics by vessels and/or
Shortage of qualified staff
trawling fishery
observer records
Increased co-operation among countries
Number of agreements between
Joint scientific publications; reports of
Lack of funds and capacity for research
in research on and management of the
governments on fishery research , joint
relevant scientific meetings and
resources
activities between research institutions in
conferences
the countries
(especially relevant to the " problems
addressed by the project")
Better understanding of the interactions
Research programmes on the
Scientific reports and publications
Same as above
between fishing gear and environment
development and introduction of gears
with lower physical impact on the seabed
(light weight gears, bobbins etc.)
Components/Activities
Inventory of by-catch reduction devices;
Development and adoption of guidelines
Adoption of legal framework;
None
legal and policy framework
and information material for by-catch
publications
reduction devices
Identification of problems of by-catch
Studies in 6 participating countries
Presentation of results; development of
None
relevant research programmes
Mapping of distribution of catches of
Increased/improved data-collection
Research and workshop reports
Lack of qualified staff
target species and by-catch; determination programmes; increase in related research
of catch composition in different fishing
work; organization of workshops
grounds
Development and adoption of by-catch
Selection of the best technology for the
Reports of meetings and workshops;
Developed technology might not be
reduction technologies
region; joint experimental fishing with
proposals for technical solutions
accepted by the industry because of
neighbouring countries
substantially reduced shrimp catches and
loss of income
B-2

---

Testing of by-catch reduction devices in
Number of vessels involved in the tests;
Reports on experimental fishing cruises;
Same as above
industrial and artisanal fisheries
number of relevant research programmes
number of fishers accepting the new
technology
Testing of alternative fishing gears for
Number of research programmes and
Reports on research and experimental
Lower efficiency of alternative gears;
shrimp fishing
experimental fishing cruises
fishing cruises; number of fishers and
higher cost of fishing operations
vessels involved
Demonstration and training for fishers on
Organisation of training courses
Number of fishers participating in the
None
by-catch reduction devices
courses
Dissemination of the results to the
Number of training programmes;
Number of publications
Lack of funds
fishing industry
continuous assessment of resources
B-3

---

ANNEX C
STAP ROSTER TECHNICAL REVIEW
Mr Ray Griffiths,
14 Parc de Bearn, 92210 St Cloud, France
Key issues
Introduction
The Project is faced with a serious contradiction (tacitly admitted in its text): that of pleasing
environmentalists and political ecologists, on the one hand, and fishers, on the other. The former,
at best, want the sea bed, and the marine environment in general, not to be disturbed so much and
so often as to compromise the sustainability of present levels of biodiversity and of good health
of all marine ecosystems. They consider that the "killing" of by-catch that is dumped back into
the sea is a means of lowering biodiversity and degrading the marine environment.
The fishers do not want the opposite, but do also want to earn a living by shrimp fishing and
cover their fishing-vessel costs, replacement etc.
The fishers sell by-catch, if there is a market for it, so they are not against taking it, but are,
nevertheless, against taking by-catch and having to dump it back into the sea (an undesirable
operating cost). By proposing to the shrimp-trawler fisheries to introduce by-catch reduction
devices, mainly to help other fisheries, without evident reciprocation, GEF is probably placing a
serious obstacle in the way of the Project's eventual success.
The honest but rather frequent reference to the probable loss of income (and additional
investment) in the short to medium term to the shrimp-trawler fisheries, with only a rather vague
promise of longer-term and, one hopes, sustainable income, is also likely to be an impediment to
the Project's success at the level of the shrimp fishers.
Scientific and technical soundness of the project
By-catch
Environmentalists do not want, in principle, any by-catch, especially of endangered species.
"Inspired" by the ecological movement of recent years, we tend to assume automatically that it is
"wrong" or a "waste" to take fish/shellfish etc. from the sea only to dump it back, but the fishable
stock is what it is as a result of all causes of death between the birth and death of any individual
fish/shellfish. So it is the sum of the causes that counts and the problem becomes one of relating
the loss due to fishing to the loss due to other, non-fishing, causes.
C-1

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The Project proposal refers here and there to "unwanted" by-catch Who "unwants"? Fishermen at
sea may want to keep and sell by-catch, if this is economically advantageous to them, or they
may not want it, either in their trawls, in the first place, nor on deck to be dumped back into the
sea. But it is quite possible that they want some of it (the sellable) part and not the rest, although
they might not want to sort it on deck (for economic and/or operational reasons); unfortunately,
by-catch does not come up ready sorted in the trawl net. Although the idea of not catching
unwanted by-catch seems reasonable, the BRDs are not likely to discriminate between wanted
and unwanted by-catch, but the Project is aimed at reducing both.
By-catches are incidental and therefore inefficiently caught; the effect on the by-catch species
must be considerably less than that on the target species: the impact on the by-catch species may
be less important than environmentalists like to think.
The sense of the term "unwanted" is strongly qualified by the viewer. The question is whether it
is better (for the environment?) to return by-catch (however substantial) to the sea or better
(ecologically and economically?) to let the fishermen take by-catch and sell it (if the appropriate
market is there or can be created).
Even if all by-catch could be avoided, the catch of the target species probably would not increase
and if it did, overfishing (i.e. loss-making fishing for this species) would be reached much quicker,
so that reducing shrimp-trawlers' by-catch may actually help no onehence the question: Who
"unwants"?
Another important point to bear in mind is that what is unwanted today may be wanted
tomorrow, especially if useful products based on by-catch can be developed. The Project should
not prejudge this matter.
From the figures suggested in the Project proposal, "wanted" by-catch is worth between $50 and,
say, $500 a ton, and this is described as an economic loss (other than the operational costs of not
taking exclusively target speciesshrimp, hereor of having to take the trouble to dump by-
catch into the sea)? FAO is cited here as saying, in effect, that worthless by-catchbecause
discardedis worth billions of dollars. Who loses, and how, is not made clear.
The amount of by-catch per species, in the shrimp fishery, is comparatively small (because a
considerable mix of other species is taken in the by-catch), so it is probable that by-catch itself is
not a major factor in fish-stock abundance, for a particular species, unless this species is already
subjected to heavy commercial fishing in the area of the shrimp fishery; this distinction is not
made in the Project proposal and there are no, or at best only vague, references to the association
of shrimp and finfish fisheries. More should be said on the relevant finfish fisheries, in the
Project's context.
If the Project is part of a concerted international effort to resolve the by-catch problem, a number
of questions (implicit or explicit in this Review) need to be answered first; the Project cannot do
C-2

---

this, and it is doubtful that any organization, country or group of countries has yet provided
satisfactory answers to most of these questions.
C-3

---

Parent/juvenile stock relationship
Much is made throughout the Project proposal of the advantages of reducing, in the by-catch of
the shrimp fishery, the amount of juvenile finfish of species which, as adults, are commercially
important to the fishing industry as a whole. This may be so, although I do not think that studies
carried out by FAO and other concerned institutions have yet proven their case: ecology is far too
complex to yield any easy answers. For example, some juvenile finfish feed on shrimp larvae, so
their catch/by-catch benefits the shrimp fishery, in principle. Moreover, there is rarely (even
never) a clear-cut relationship between the abundance of a parental fish stock and the abundance
of the offspring it produces and which survives to join the fishable or the parental stock, because
there are so many other factors determining survival (of finfish, for example) in the marine
environment. Nor can the relationship be investigated easily in the absence of a broad sampling
programme (i.e. a fishery).
The "reduced capture of juvenile fish" may not leadat all or only slowly relative to Project
lifetimeto "increased production of food fish", contrary what is claimed in Annex B.
Environmental impact
The Project is weak in so far as it does not make substantive arrangements for determining the
impact of shrimp-trawler fisheries on the marine environment, especially the sea bed. The
arrangements indicated in Annex B are very vague for so important a matter.
The Project proposal states "In each of the participating countries the impact on the environment
of present production systems will be assessed...". This is a major undertaking, yet nothing is said
(in the text, nor in Annexes B and F) of the national or other institutions that would undertake
this work.
The participating countries will develop or adapt by-catch reduction techniques "...which reduce
the capture of juvenile fish...to an acceptable level." An acceptable level is not defined; nor is it
stated who should decide this, nor by what criteria.
The possibility of closed fishing seasons and/or areas is put forward as a basis for relieving the
shrimp stock to recover (from fishing/overfishing); it might be added that such seasons would also
allow the sea bed to recover from intensive trawling.
There are numerous ecological problems to be solved for the usefulness of BRDs to be properly
established. One relevant example is that turtles eat shrimp, so (from the fishers' standpoint)
catching turtles (in by-catch) amounts to removing a competitor, but the present "ecological"
climate would not accept this idea. Hence the contradictory grounds on which the Project
proposal stands.
C-4

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Identification of the global environmental benefits and/or drawbacks of the project
The benefits, pending favourable results of experimental fishing, are harder to identify than the
drawbacks, which are covered in the section on Scientific and technical soundness of the Project.
How the project fits within the context of the goals of GEF, as well as its operational strategies,
programme priorities, GEF Council guidance and the provisions of the relevant conventions
This is covered, even if only superficially, in the Project proposal. It is arguable that this
particular Project should properly have been left to FAO, since it is basically the development,
testing and application of by-catch reduction devices to shrimp-trawler fisheries and is
comparatively weak on the environmental impact aspects of shrimp fishing without BRDs.
Regional context
The regional coverage of the Project proposal is quite satisfactory.
Replicability of the project (added-value for the global environment beyond the project itself)
A great deal depends on the success of the development, testing and application of BRDs; based
on favourable results elsewhere, this replicability seems assured, but the weaknesses of the
present Project would have to be faced and removed, for replicability to be fully justified.
Sustainability of the project itself
Again, a great deal depends on the success of the development, testing and application of BRDs;
based on favourable results elsewhere, this sustainability may be positive but is not guaranteed by
the Project as it stands.
Secondary issues
Linkages to other focal areas
In at least three of the participating countries (Nigeria, Trinidad and Tobago, Venezuela), shrimp-
fishing is carried out in areas of petroleum exploration and extraction (and sometimes natural
leakage from the continental slope), as well as discharge at sea. The same may be true of others
(e.g. Bahrain, Iran, Indonesia). There are sometimes problems of tainting by petroleum
components, so there is a potentially strong link between shrimp (and other) fishing and concern
for marine pollution. However, the Project proposal does not attach any importance to such
aspects of shrimp-trawler fisheries, in spite of the role of these environmental aspects in the
economics of the fisheries. The relevant research programmes proposed might consider this
relationship.
C-5

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Linkages to other programmes and action plans at regional or subregional levels
These are reasonably well covered in the Project proposal, although, given the preceding
comment, no reference is made to any UNEP Regional Seas Action Plans which may be of some
help or provide useful information on the environmental aspects of shrimp-trawler fisheries.
Other beneficial or damaging environmental effects
Perhaps the dumping of substantial amounts of by-catch into a fairly limited area (e.g. Gulf of
Venezuela), amounting to local "fertilization" of a shallow water body, would itself be a
significant environmental factor, but whether beneficial (e.g. increasing local productivity) or
damaging (e.g. induction of red tide) is not, I think, known.
Degree of involvement of stakeholders in the project
The stakeholders are nowhere clearly defined in the Project proposal and their involvement is
nowhere precisely stated; in the case of fishers, their participation as stakeholders is apparent;
but that of researchers, administrators, investors is vague or absent.
Capacity-building aspects
If the fishers participate willingly in the development and testing of BRDs and in the subsequent
experimental fishing, the possibility of increasing their technical capacity and experience will be
strong. But they will only do this if, at first, they can be convinced that real socio-economic
advantages will flow from this Project, and then convinced by the positive results with the BRDs.
The convincing, before the Project produces any results of its own, will come from the
dissemination of information on experience elsewhere with such devices: the Project allows for
this, but timely execution is essential to success. Much will then depend on the results from the
Project itself.
If the participating countries can actually develop and undertake serious scientific and technical
research programmes, their researchers will also increase their know-how and experience. The
Project's responsibility here is limited, however.
Innovativeness of the project
The Project is straightforward and not particularly innovative. Section 4 of the Project Brief says
that already billions of dollars have been invested in development of the technology of by-catch
reduction and its testing, in the training of human resources, and in promotion of dialogue and
consultations with the fishing industry. Even if not much of it has been in the participating
countries in the Project, the experience gained, in so far as it is positive, must certainly be readily
applicable in these participating countries. The cost benefit ratio of the Project is therefore open
to question.
C-6

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C-7

---

Additional remarks
In this Project and its follow-up, a lot depends on the availability of good-quality, truthful and
sufficient fishing data over the lifetime of the project and beyond, in all the participating
countries. In this respect, fishing fleets, vessel captains and others concerned vary considerably,
from outright failure to keep fishery statistics at all, to the maintenance of high-class statistics via
well kept vessel logbooks made available for inspection by fishery administrators. Much depends
on, for example, the confidentiality accorded such statistics, especially if national authorities use
them for such purposes as determining taxation, fishing quotas/total allowable catches,
governmental subventions etc., and if investors use them to make investment decisions. The
situation in each participating country needs to be assessed with a view to improvement where
necessary: the possible advantages of introducing BRDs could be "hidden" by false or biased
statistics. Sad, but true.
The Project proposal suggests that the adoption of the new technology will enhance the
participating countries' shrimp-trawler fisheries so that they will be regarded as more sustainable
in the future. The underlined phrase is far too vague in this context and should be replaced with
"..as being compatible with the sustainable development of national fisheries." Or something
similar; being sustainable is often a matter of fashion, as well as cost, and here the reference must
always be to the Commission on Sustainable Development's definition, for which simply
"sustainable" or "sustainability" is never an acceptable substitute.
If the idea of the Project is to solve the by-catch problem by developing, testing and introducing
BRDs, it is not clear what alternative fishing methods are needed; in any case, they too would
need to be developed, tested and introduced anew, which would be more costly and may not solve
the underlying problems. The introduction of closed seasons/areas may reduce by-catch, but may
also reduce shrimp catch. The basis for affirming that they would ensure the sustainable
development of the shrimp or other fisheries must always be established before such an option is
tried.
Project implementation
The implementation of the Project is outlined in Annex B; some observations referring to this
Annex follow:
Who will verify the achievement of objectives? This is not a simple matter, and some indication of
the entities, their capabilities and their resources should be indicated. For the third column
"Means of Verification", in several places, who will do the considerable work is not specified,
even generically; see for example entries at 4th and 5th outcomes.
For the first outcome, "Objectively Verifiable Indicators", no idea is given of what the priority
assigned to "research institutions and administrations" is relative to; nor whether the participating
C-8

---

countries can or actually will provide the human and financial resources for this quite enormous
task.
For the fourth outcome, "Objectively Verifiable Indicators", regarding hits on the FAO web site,
this will depend also on the links to other relevant sitese.g. FAO itself, UNEP, relevant regional
fishery bodies.
The third result (1st column) is too an ambitious an expected "result", considering that improving
research at the national level itself is not a specific objective of the Project.
In the "Objectively Verifiable Indicator" for the third result, on the agreements between
governments on fishery research, it is important to specify the institutions through which these
agreements would be implemented; inter-institutional co-operation in some (probably all) regions
is often hard to arrange and even harder to implement. Also, these agreements should be
specifically related to "the problems addressed by the Project" and I suggest adding the last
phrase in quotation marks to the present text.
Likewise, for the fourth result, research programmes on environmental issues are notoriously
expensive, hard to develop and hard to carry out; the Project is not developing them nor paying
for them: they might not become a useful "Objectively Verifiable Indicator".
Regarding the "Critical Assumptions and Risks", for the first outcome, "temporary loss of
income" is nowhere defined and views on its "duration" may vary widely amongst stakeholders;
also, greater effort might be put into making catch, retention, selling of by-catch better, thus
making its capture more or less a parallel fishery.
Milestones may not be at all easy to fix; favourable results from experimental fishing may not be
well reflected in subsequent commercial fishing. If results of the experimental fishing are mixed,
commercial introduction may be greatly slowed. This would certainly compromise the Project
objective to reduce by-catch by 50%.
While there is a commitment in the Project proposal to disseminate good results (interim and
final), there is no such commitment regarding poor or mixed results, which might be a pity if the
results expectedby the shrimp-trawler fisheries (better and sustainable shrimp catches), the
environmentalists (reduced by-catch, increased finfish resources, no great environmental impact
on the sea bed or on the shrimp resources), potential investors etc. (everything, especially
rentability of investment)were proved wrong, economically and environmentally.
Regarding Economic and Environmental Benefits, Annex A, first paragraph, benefits are hard to
estimate before BRDs are tested, adopted and used for a considerable time, so this is a "risk-
capital" project. However, experience elsewhere is important and sufficiently general to allow the
use of BRDs to be recommended directly to the participating countries, perhaps saving
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unnecessary costsunless the Project is actually a disguised subvention to some selected shrimp-
trawler fisheries.
The totals for the columns "Baseline" and "Alternate" in Table 1 do not, by my calculator, seem
correct.
Project future
For the "Critical Assumptions and Risks" (Annex B) I propose0 new text "That relevant laws and
regulations will be complied with by the fishing industry", although this is open to considerable
doubt.
For the second result (also Annex B), it is not at all sure that fishery management will be
improved; fishery management is a complex and difficult task and goes well beyond the scope and
objective of this Project.
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IMPLEMENTING AGENCY RESPONSE TO THE STAP ROSTER EXPERT REVIEW
The reviewer provides some valuable and useful points, which have resulted in amendments to the
text of the project brief and to the Log Frame Matrix (Reviewers paragraphs: 4, 8, 10, 14, 19, 28,
31, 33, & 34).
UNEP & FAO do not accept however, a number of the points raised by the reviewer which stem
in part from the difficulties of producing a consolidated brief of limited size encompassing actions
in numerous fisheries where the conditions, both environmental, social and economic, differ quite
considerably. For example, the reviewer is correct that, in those fisheries where a market exists for
shrimp by-catch the motivation to reduce by-catch is low. Such a situation does not arise in all
tropical shrimp fisheries however, in many shrimp trawl fisheries markets for by-catch do not
exist and even where they do, on-board freezer space may limit the capacity of the fleet to store
by-catch.
The reviewer correctly notes the potential "contradiction" or conflict between the costs and
benefits of intervention from the perspective of individual operators and different sectors of the
fishing industry. Such difficulties are not confined to this project but are likely to arise in all GEF
fisheries projects. The present project attempts to address this apparent contradiction since it
will serve as a platform at national and regional levels for conflict resolution between environment
and fisheries issues. Globally it is the case that the shrimp industry and fishers alike have
recognized the need to address the by-catch problem. This is evidenced by their participation in
the preparatory phase of this project and their commitment to implementation of the present full
project, despite the admitted potential for economic losses. Some of the positive incentives
motivating action include a higher quality of targeted shrimp, reduced costs of operations and an
improved image of the fisheries at the international level.
Part of the difficulties raised in the reviewer's comments and indeed the proponents arguments in
favour of the project, stem from inadequate information regarding the economic costs and benefits
of alternative courses of action. This project will attempt to address this information and data gap
through the experimental fishing components. It is FAO's opinion that the reviewer is incorrect
regarding the non-discriminatory nature of BRDs. On the basis of past experience BRDs will
discriminate between different species components of the by-catch and the project does not focus
simply on reduction of all by-catch. The focus will vary between countries and individual
fisheries as is indicated in the workplan and timetable where different courses of action are
indicated for different participating countries. The overall target is a 50% reduction in by-catch,
and the secondary target is a reduction in by-catch of fin-fish juveniles, which is realistic based on
FAO experience of previous pilot activities.
A number of the reviewers comments relating to by-catch and parent/juvenile stock relationships
are refuted by existing data or can neither be proved nor disproved on the basis of present data
and information. It is hoped that during project implementation the bases for the assumptions
outlined in the document will become clear. In fact, there is evidence that the amount of by-catch
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is substantively larger than that of the shrimp fishery, in some cases it may reach 90% of the total
catch.
The fact is that the utilization of effective BRDs does not prevent or limit the fishing effort
targeting shrimp. The simple reason for their adoption being the necessity to minimise the impact
of trawling on other components of aquatic biodiversity. In spite of great uncertainties regarding
the scale and nature of the "biological impact" of trawl fishing, there exists strong evidence that
following intensive catch of juveniles, a decrease in the yield of catch of commercial fin fish is
observed.
The reviewer raises the fact that this project may duplicate other initiatives and represents part of
FAO's mandate. While essential elements of the project may not seem particularly innovative, as
several countries have already embraced development of BRD's to different degrees, this
represents the first concerted effort at the international level ever undertaken to address this
problem, hence the rationale for the present project and its added value. The project proposes to
build upon planned and/or executed research on the reduction of by-catch in shrimp trawl fisheries
in countries, which include, Venezuela, Mexico, Trinidad & Tobago, and the Philippines. These
past experiences are central to the objective of the project of expanding use of BRDs and
transferring knowledge and experience regarding best practices. In addition, it remains to be seen
which BRD's are developed and/or modified by the present project. These and other aspects may
well turn out to be extremely innovative. Benefits arising from the project include, for example,
increased knowledge of the fisheries which is pantropical in nature; increased cooperation among
stakeholders at the international level; improved management of shrimp fisheries by dissemination
at the global level of information on best practices, and replication of project results elsewhere.
Recognising the space limitations of the tabular presentation additions have been made to the
extent possible in the log frame matrix. This is a "Project Brief" which obviously does not include
all details that will be contained in the operational project document. Annex F is merely a
synoptic listing of activities to be carried out and does not detail the arrangements which are
included in the related national workplans elaborated by the participating countries themselves,
and contained in the national reports prepared under the PDF-B.
UNEP and FAO agree with the reviewer that the problem of by-catch has many facets and
environmental impacts may be very broad and require further study. It was felt by participating
countries and by FAO that the data and information support intervention focussing on BRDs
rather than sea bed impacts, which can only really be addressed by reduction of trawl frequency
and changes to management that reduce the frequency and intensity of fishing effort.
With regard to the reviewers comments concerning tainting in trawl fisheries where petroleum
extraction also occurs, it is worth noting that, this issue was never raised during the meetings with
stakeholders and national coordinators during the execution of the PDF-B. FAO is of the opinion
that this issue is not a priority at the present time.
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Regarding linkages to the Regional Seas Programme it is worth noting that the Regional Seas
Programme of UNEP has not dealt traditionally with commercial fishery issues. Linkages have
already been made whenever appropriate through PDF-B activities or other related initiatives of
direct relevance to this project such as in the case of ROPME, which serves as Secretariat for the
Kuwait Action Plan.
UNEP and FAO do not agree that the stakeholders are nowhere clearly defined in the proposal. It
is clearly stated that National Steering Committees will be established in the various participating
countries and that, membership will be drawn from a wide range of stakeholders. Obviously the
detailed membership of these committees cannot be provided in all instances in a brief of this
length but again are defined in the national workplans published from the PDF-B.
Verification of the project achievements will be done by FAO Task Force, Fisheries
Administration and Governmental bodies in the participating countries the log frame matrix has
been modified to indicate this.
.
C-13

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ANNEX D
AVAILABLE REFERENCE DOCUMENTS
The following Reference Documents are relevant to the project:
INTERNATIONAL AGREEMENTS AND CONFERENCES
- UN Convention on the Law of the Sea, 1982
- FAO Code of Conduct for Responsible Fisheries, 1995
- United Nations Conference on Environment and Development (UNCED) ­ Chapter 17 of
Agenda 21, 1992
- Convention on Biological Diversity: paragraph 4 of decision II/10 of the Contracting Parties
- The 'Jakarta Mandate on Marine and Coastal Biological Diversity'
- Report of the FAO Technical Consultation on Reduction of Wastage in Fisheries (28
October-1 November 1996, Tokyo). 1997; FAO Fisheries Report 547
DOCUMENTS PRODUCED DURING THE PDF PHASE
- Report of the Workshop of National Co-ordinators of the UNEP/GEF/FAO Project on
reducing the impact of tropical shrimp-trawling fisheries on living resources through the
adoption of environmentally friendly techniques Rome, Italy, 17-19 March 1999; FAO
Fisheries Report 605
- Thirteen national reports on the situation of the shrimp fisheries in thirteen selected
countries. 2000 (in press)
-Report of the four GEF/UNEP/FAO regional workshops on reducing the impact of tropical
shrimp trawling fisheries. 2000; FAO Fisheries Report 627

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ANNEX E
OVERVIEW OF THE S HRIMP-TRAWLING FISHERY IN THE PARTICIPATING COUNTRIES
Bahrain:
335 operational shrimp trawlers of varying sizes, between 5 and 23 m in total length. The
shrimp catch was 2 571 tonnes in 1997, which is 25.6% of the total catch of the country.
During the period 1980-1997, the maximum shrimp landings were 3 565 tonnes in 1996, while
the lowest catch of 752 tonnes was recorded during the Gulf War in 1992. Although it has
been known that a significant amount of fish by-catch is captured together with the shrimp,
reliable data did not exist prior to an ongoing two-year survey aimed at monitoring such by-
catch. Results from this survey have not yet been published. Bahrain has also conducted
experiments with a by-catch reduction device during the 1999­2000 season. Indicative figures
are a reduction of finfish by 50%, crabs by 10% and with no loss of shrimp catch.
Cameroon:
65 licensed shrimp trawlers mainly operated by "Time Charter" companies, a kind of joint
venture with foreign ownership. The official landings of shrimp are only around 500
tonnes/year, but this figure is believed to be an underestimate, as some of the "Time Charter"
companies are not declaring the real quantities caught. In addition to industrial trawlers,
approximately 200 fishing canoes are exploiting small estuary shrimp (Nematopalaemon
hastatus) with very-small-meshed conical nets (ngoto). Two-boat trawling is increasing in
shallow waters, targeting mainly fish. Shrimp trawlers also catch large amounts of fish as by-
catch. Some of the fish by-catch, including a certain amount of juveniles is landed at the local
market, but, undoubtedly, a significant amount of low-valued fish and juveniles is also
discarded at sea. Capture of juvenile food fish is a threat to sustainable exploitation of
demersal fish resources, and trawling in shallow waters creates serious conflicts with artisanal
fishers.
Colombia:
Shrimp fisheries on both sides of the country on the Pacific and the Caribbean coasts. On the
Pacific coast there are 115 units, mainly small boats, 70% of them operating in coastal areas
(where artisanal fishers also exploit shrimp and fish resources with other small-meshed fishing
gear). In 1996, 4 139 tons of shrimp were caught on the Pacific side. At the same time the
Pacific fishery is developing quickly; it is estimated that the shrimp resources are over-
exploited. Recent progress in technology has lead to diversification of the fishing effort
towards deeper shrimp species. Regarding by-catch, the estimate is 14 664 tons (of which,
many juveniles). Normally this by-catch is kept for the local market and in many fishing
companies is sold as a bonus for crew members. On the Caribbean coast the fleet consists of
various sizes of vessels, but more than half are larger trawlers. In the Caribbean, the shrimp
catch in 1996 was 916 tons and it is estimated that the shrimp resource is over-exploited. The
fishery is decreasing seriously in terms of catch. The by-catch on the Caribbean side is about 9
868 tons. It is indicated that 4 kg of by-catch is discarded for every kilogram of shrimp.

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Costa Rica:
73 trawlers ("Florida type" with outriggers) that operate on the Pacific side of the country.
The annual shrimp catch amounts to approximately 2 000 tonnes. The amount of by-catch is
estimated at 3 000 t/year, of which around 2 400 t are discarded. There are about 7.5 kg of by-
catch for 1 kg of shrimp taken. When fishing in coastal waters, the use of a turtle-excluder
device (TED) is mandatory in waters shallower than 80 fathoms. A vessel-monitoring system
(VMS) exists. High discard rates, particularly of juveniles, and overfishing of the resources in
general, are reported.
Cuba:
Fleet 51 fishing vessels involved in shrimp trawling, mainly at night and with 14 support
vessels, which ensure a daily transfer of shrimp and incidental catch to port. The annual catch
of shrimp is 2000 tonnes in addition to 11 000 tonnes of fish in a combined trawl fishery. The
average trawl catch in recent years has been 6 to 8 kg of fish for 1 kg of shrimp. There is no
discard: approximately 22% of the non-shrimp catch are landed for human consumption, the
rest is reduced to fishmeal or silage for animal consumption. The shrimp-fishing grounds are
well demarcated and there are fishing closures during recruitment seasons, and other
regulations exist for reducing fishing effort and for the protection of areas with a known high
density of juveniles or large quantities of small-size fish.
Indonesia:
Trawler fleet (1996) of 431 vessels from 19 to 849 GT. Three types of trawl riggings are used:
single trawl towed from the stern of the vessel; outrigger twin trawls (two trawls); and
outrigger quad trawls (four trawls). According to Presidential Decree No085/1982 all units
should be equipped with a by-catch efficiency device (BED), which is a modified form of a
turtle-excluder device (TED). The law of 1982 restricts trawling for shrimp to the Arafura Sea
(eastern Indonesia). The shrimp catch from that area was approximately 20 000 tonnes, in
1996, which is 10% of the total catch in that area. The remaining catch includes landed as well
a discarded by-catches, mainly of fish. Generally, the shrimp/by-catch ratio is 1 to 8-15. The
yield from shrimp has more or less levelled off over a long period of observation, but
fluctuation is observed from year to year. The catches of demersal and pelagic fish are
increasing slightly. The estimate for 1998 is around 200 000 tonnes of by-catch, of which 170
000 tonnes were discarded. Nearly 2/3 of the total landings consist of fish.
Iran:
39 industrial trawlers of 27-m length and 750-hp engines fishing with outriggers (two trawls),
approximately 870 wooden vessels of 16-m average length and 100­220-hp engines (dhows)
and approximately 1 500 fibreglass boats of 7 m mean length with 25­45-hp engines. The
catch of shrimp is approximately 7 000 tonnes. The shrimp trawler catch consists of 10­17%
shrimp, 10­25% small fish, 40­60% juvenile fish (less than 30 cm in length) and 10­20%
larger fish. Most of the small fish and juveniles are discarded, more so at the start of the
season when shrimp catches are good. In Hormozgan province discarding is banned and a

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collecting scheme for such by-catch has been established. The shrimp-fishing season in each
province is approximately six weeks, and opening and closing is based on the maturity and
body length of shrimp and percentage (20%) of remaining stock.
Nigeria:
264 licensed trawlers (1999) catching approximately 10 000 tonnes of shrimp per year. By-
catch of fish is significant and a system of landing most of these catches has developed rapidly
in the country. The shrimp trawlers freeze the valuable catch on board. The remaining fish by-
catch is traded at sea through a system in which motorised canoes buy the fish and transport it
to shore where it is processed and marketed. This latter practice now involves a significant
number of people who make a living from this activity (for some people, this kind of trade
now replaces their previous fishing activities); it is also a major source of income for the
trawler crew, who are poorly paid (less than US$ 20 per month). The negative side of this
practice is that shrimp trawlers now aim o catch as much fish as possible, often in shallow
waters where not only fish but also juveniles are most abundant. As trawling for fish is often
conducted in shallow waters where the artisanal fleet operates, conflicts, including damage to
gear, are an increasing problem. The control of fishing vessel operations (MCS system) is
poorly developed to combat this questionable fishing practice.
Philippines:
Fleet of 445 trawlers, 62% classified as small-commercial (i.e. 3.1 to 20 GT); 37% medium
commercial (20.1 to 150 GT) and 1% large-commercial (150.1 GT and above). The annual
catch of shrimp is approximately 32 000 tonnes. White shrimp (Penaeus merguiensis), tiger
shrimp (P. semisulcatus) and endeavour shrimp (Metapenaeus ensis) are the most important
species, together with the smaller Acetes species which, in weight, constitutes 34% of the total
catch. Although the trawl is the most common fishing gear for shrimp, there is a tradition of
catching shrimp with gillnets. Discard rates are unknown, but likely to be relatively small, as
there is a market for most of the captured fish. It is anticipated that significant proportions of
fish by-catch consist of juveniles of valuable food-fish species. The Philippines has developed
a set of regulations, but enforcement of these is considered a problem.
Trinidad and Tobago:
Fleet of 126 vessels, of which 19 are industrial trawlers (in 1998) operating, according to
existing regulation, offshore in deeper waters while smaller boats fish nearer the shore. The
annual landings of shrimp (several species mixed) are around 1 000 tonnes. A significant
quantity of finfish, squid and crabs are caught as by-catch (certain species of finfish may be
targeted, depending on market demand, or during the wet season when shrimp abundance
decreases). According to estimates, the small trawlers discard almost all the by-catch, while
larger industrial or semi-industrial trawlers normally keep around 40 % of their by-catch on
board. In order to conform with US requirements for shrimp-exporting nations, the large
trawlers carry turtle-exclusion devices (TEDs) on board (The local fishery authorities give high
priority to the development and introduction of a combined turtle and fish excluder). Existing
regulations require a different size of mesh according to whether the trawler targets shrimp or
fish. A major concern is overfishing and capture of juvenile (pre-spawning) shrimp. A conflict

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exists between trawling and other fishing methods (gillnets, pots, demersal long-lining, and
handlines), because artisanal fishers blame the trawlers for the depletion of the demersal fish
stocks.

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Venezuela:
Fleet of 351 trawlers. In 1997, the landings of the shrimp trawlers amounted to 3 665 tonnes
of shrimp and almost 20 000 tonnes of fish. The trawl fishery is a combined fishery for
shrimp, molluscs and fish. The shrimp component represents between 2.5 and 6% of the
general catch. Of the additional catch, 30­35% is normally landed, the remaining 60­65%
(mainly fish, with an estimated 80% of juveniles from species of commercial interest) is
discarded. In principle, turtle-excluder devices are used on board industrial trawlers (however,
significant losses of fish and shrimp are reported). For administrative purposes, the fishing
grounds are demarcated into zones with a portion of the fleets authorised to fish in each of
them. Technological research has been carried out for a number of years to reduce the discards
and assess the impact of the use of excluder devices fixed on the net. In addition, regular
surveys are carried out to estimate the amount of by-catch produced by the vessels, its
composition, size structure, and geographical distribution. Concern is expressed about
overexploitation of shrimp resources, particularly in coastal areas, and the capture of juvenile
fish.

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ANNEX F
LIST OF ACTIVITIES AND TIMETABLE
COMPONENT
Sub-Component
Activity
2001
2002
2003
2004
2005
COMPONENT A. GLOBAL INFORMATION ON SHRIMP FISHERIES
A.1 Electronic publication on shrimp-fishing methods
A.2 Inventory of by-catch reduction devices (BRDs)
A.3 Annual reports by countries on their shrimp fisheries
A.4 Inventory of legal and policy frameworks for sustainable shrimp fisheries
A.5 Guidelines and information on sustainable shrimp
fishing technology
A.6 Directories of experts and institutions experienced in this field
COMPONENT B. NATIONAL LEVEL ACTIONS TO INTRODUCE MORE-SUSTAINABLE
PRACTICES
B.1 Introduction of sustainable shrimp-fishing technology in Nigeria
B.1.1 Problem identification concerning by-catch
B.1.1.1 Socio-economic studies of by-catch trading
B.1.1.2 Resource assessment/distribution surveys
B.1.1.3 Underwater mapping of fishing grounds
B.1.2 Development/adaptation of by-catch reduction technologies
B.1.2.1 Selection of appropriate by-catch technologies for testing
B.1.2.2 Testing of BRDs on commercial trawlers
B.1.2.3 Evaluation of experimental results
B.1.3 Introduction of by-catch reduction technologies
B.1.3.1 Local production of BRDs
B.1.3.2 Introduction of BRDs to the fishing fleet, including production of the
relevant extension material
B.1.3.3 Fishing regulation and MCS
B.2 Introduction of sustainable shrimp-fishing technology in Iran
F-1

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B.2.1 Problem identification concerning by-catch
B.2.1.1 Training of observers
B.2.1.2 Surveys of seasonal and spatial catch composition
B.2.2 Development/adaptation of by-catch reduction technologies
B.2.2.1 Selection of appropriate by-catch technologies for testing
B.2.2.2 Testing of BRDs on commercial trawlers
B.2.2.3 Evaluation of experimental results
B.2.3 Introduction of appropriate by-catch reduction technologies
B.2.3.1 Practical testing during fishing season
B.2.3.2 Training of fishers in the production and use of BRDs
B.2.3.3 Awareness campaigns
B.3 Introduction of sustainable shrimp-fishing technology in Venezuela
B.3.1 Problem identification concerning by-catch
B.3.1.1 Mapping of targets and by-catch on five artisanal fishing grounds
B.3.1.2 Catch composition in the industrial fisheries in the Gulf of Venezuela
B.3.1.3 Field guide for species identification
B.3.2 Development/adaptation of by-catch reduction technologies
B.3.2.1 Testing of combined turtle and fish excluders for industrial trawlers
B.3.2.2 Testing of BRDs in the artisanal shrimp fishery
B.3.3 Introduction of appropriate by-catch reduction technologies
B.3.3.1 Demonstration and training
B.3.3.2 Voluntary practical testing of BRD on commercial trawlers
B.3.3.3 Workshop on management strategies
B.4 Development of BRDs and improved technologies in Mexico
B.4.1 Pacific
B.4.1.1. Improvement of shrimp trawls
B.4.1.2 Assessment of the impact on the sea bottom and the biological
environment
B.4.1.3 Demonstration and training
F-2

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B.4.2 Caribbean
B.4.2.1 Assessment of the impact on the sea bottom and the biological
environment
B.4.2.2 Development of BRDs
B.4.2.3 Technical assistance to shrimp-fishing countries of the Caribbean
B.5 Introduction of sustainable shrimp-fishing technology in Costa Rica
B.5.1 Problem identification concerning by-catch
B.5.1.1 Training of observers
B.5.1.2 Shrimp by-catch composition
B.5.2 Development/adaptation of by-catch reduction technologies
B.5.2.1 Design and testing of BRDs, with assistance of Mexican experts
B.5.3 Introduction of appropriate by-catch reduction technologies
B.5.3.1 Demonstration and training for fishers
B.5.3.2 Practical testing of BRDs on a voluntary basis
B.6 Introduction of sustainable shrimp-fishing technology in Indonesia
B.6.1 Problem identification concerning by-catch
B.6.1.1 Survey of shrimp resources and by-catch composition in the Arafura
Sea
B.6.2 Development/adaptation of by-catch reduction technologies
B.6.2.1 Selection of appropriate BRD designs
B.6.2.2 Testing of BRDs
B.6.2.3 Evaluation of experimental results
B.6.3 Introduction of appropriate by-catch reduction technologies
B.6.3.1 Practical testing by 2-3 vessels during a fishing season
B.6.3.2 Dissemination of the results to fishers; extension work
B.6.3.3 Management framework
B.7 Introduction of sustainable shrimp-fishing technology in The Philippines
B.7.1 Problem identification concerning by-catch
B.7.1.1 Assessment of by-catch and discard levels
F-3

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B.7.2 Development/adaptation of by-catch reduction technologies
B.7.2.1 Testing of BRDs
B.7.2.2 Testing of devices to increase survival of released by-catch
B.7.2.3 Testing of alternative fishing gears for shrimp
B.7.3 Introduction of appropriate by-catch reduction technologies
B.7.3.1 Practical testing by several vessels on a voluntary basis
B.7.3.2 Awareness programme/workshops
C. REGIONAL ACTIVITIES TO EXPAND PARTICIPATION AND WIDER ADOPTION OF
MORE- SUSTAINABLE PRACTICES
C.1 Development and implementation of sustainable practice in Trinidad and
Tobago
C.1.1 Develop awareness material and a consultative process with the industry
C.1.1.1 Preparation of awareness materials and information package
C.1.1.2 Formation of a National Steering Committee
C.1.1.3 Consultations with the fishing industry
C.1.2 Co-ordination of activities with Venezuela
C.1.2.1 Sub-regional meeting for selection of BRDs and to agree on testing
procedures
C.1.2.2 Testing of BRDs on shrimp trawlers from Venezuela and Trinidad and Tobago
C.1.2.3 Bilateral discussion on implication of by-catch reductions
C.1.2.4 Development of awareness programmes and MCS
C.1.3 Data collection on landings and fishing grounds
C.1.3.1 Observer programme of the industrial fleet
C.1.3.2 Analysis of catch data from industrial and artisanal fleets
C.1.3.3 Mapping of fishing grounds for industrial and artisanal fleets
C.1.4 Management plan for trawl fishery in Trinidad and Tobago
C.1.4.1 Development of management plan
C.1.4.2 Draft legislation
C.1.4.3 Implementation of management plan and MCS
C.2 Development and implementation of sustainable practice in Cameroon
F-4

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C.2.1 Survey of fishing grounds
C.2.2 Joint testing of BRDs on Nigerian vessels
C.2.3 Co-ordination of regulations with neighbouring countries
C.3 Development and implementation of sustainable practice in Colombia (Pacific
coast)
C.3.1 Survey of fishing grounds
C.3.2 Joint testing of BRDs in the Pacific in co-operation with Mexico and Costa Rica
C.3.3 Co-ordination of regulations with neighbouring countries
C.4 Development and implementation of sustainable practice in Cuba
C.4.1 Survey of fishing grounds
C.4.2 Joint testing of BRDs on Venezuelan vessels
C.4.3 Co-ordination of regulations with neighbouring countries
C.5 Development and implementation of sustainable practice in Bahrain
C.5.1 Survey of fishing grounds
C.5.2 Joint testing of BRDs on an Iranian vessel
C.5.3 Co-ordinate regulations with neighbouring countries
C.6 Assistance from SEAFDEC to implement BRD technology in Asian countries
C.6.1 Development of juvenile-fish excluder
C.7.2 Production of training material
C.7.3 Assistance to The Philippines in the implementation of BRDs
D. PROJECT CO-ORDINATION AND MANAGEMENT
D.1 Establishment of the task force within FAO and nomination of a Project Co-
ordinator
D.2 Establishment of a management framework
D.3 Backstopping of national activities
D.4 Convening of regional and global expert meetings
1 In addition Bahrain will participate in project activities although, since it is not GEF-eligible, financial support will be provided from other sources.
1 In-kind
1 To be confirmed.
F-5

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F-6

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PROJECT REVIEW SHEET
Work Program Inclusion - UNEP International Waters
Project Title: " Global: Cameroon, Costa Rica, Columbia, Cuba, Mexico, Indonesia, Iran, Nigeria, Trinidad & Tobago, Philippines &
Venezuela: Reduction of Environmental impact from tropical shrimp trawling through introduction of by-catch
reduction technologies and change of management."
Date: September 5, 2000
Work Program Inclusion per criteria
Reference Paragraphs and Explanatory Notes:
established in Draft # 8 of the project
review criteria
1. Country Ownership
· Country Eligibility
· Countries are eligible under paragraph 9b of the GEF Instrument ­ see
cover page
· Country Drivenness
Clear description of Project's fit within:
· National Priorities were identified during the PDF-B phase and are
· National reports/communications to Conventions
detailed in the 13 national reports which are in press ­ see Annex D
· National or sector development plans.
· Regional priorities were identified during four regional workshops ­
· Recommendations of appropriate regional
see Annex D, FAO Fisheries Report 627
intergovernmental meetings or agreements.
· All countries are signatories to the FAO "Code of conduct for
responsible fisheries".
· Endorsement
· Endorsement by national operational focal points
· All participating countries endorsed the original PDF-B in 1997.
· All countries with the exception of Costa Rica had endorsed by 21st
September. See cover page & Annex G
2. Program & Policy Conformity
· Program Designation Describe how project objectives are
· The project is fully consistent with the objectives of Operational
& Conformity
Program #10, - see para 1.
consistent with Operational Program
objectives or operational criteria
1

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Work Program Inclusion per criteria
Reference Paragraphs and Explanatory Notes:
established in Draft # 8 of the project
review criteria
· Project Design
Describe:
· Sector issues, root causes, threats and barriers are comprehensively
described in the FAO Report No 627 where the results of regional
consultations are detailed. An overview of the shrimp trawl fisheries
· Sector issues, root causes, threats, barriers etc
and associated problems of by-catch and discards in participating
affecting global environment
countries is provided in Annex E.
· Project logical framework, including a consistent
· The global significance of shrimp trawl by-catch is outlined in para 2,
strategy, goals, objectives, outputs
the majority of which is generated by tropical shrimp trawl fisheries.
inputs/activities, measurable performance
· Barriers to non-adoption of more sustainable practices include inter
indicators, risks and assumptions
alia, economic barriers to adoption of BRDs; difficulties in accessing
· Detailed description of goals, objectives, outputs
information regarding such technologies; and financial disincentives
and related assumptions, risks and performance
at the scale of the trawl operator to their application. ­ see par. 26,
indicators
Annex A.
· Brief description of project activities, including
· A detailed logical framework is included as Annex B. Objectively
an explanation how the activities would result in
verifiable indicators include: numbers of vessels adopting BRDs;
project outputs (in no more than 2 pages)
published regulations and laws; increased production of commercial
· Global environmental benefits of the project.
fin-fish; monitoring data showing reduction in discards and
· Incremental cost estimation based on the project
unacceptable by-catch such as turtles.
logical framework
· The overall goals are to: improve the availability of technical
· Describe project outputs (and related activities &
information and advice regarding BRDs; strengthen national
costs) that result in global environmental benefits
management; and to improve integration of biodiversity concerns into
· Describe project outputs (and related activities &
shrimp trawl fisheries management. ­ see paras 10-12 & Annex B
costs) that result in global and national
· Activities are grouped into 4 major components and include:
environmental benefits
development and dissemination of information; national level actions;
· Describe project outputs (and related activities &
regionally co-ordinated actions and overall project co-ordination and
costs) that result in national environmental
management. ­ see paras 16-22 & Annex F
benefits
· Outputs that result in global and regional environmental benefits are
· Describe the process used to jointly estimate
those that address by-catch and discard reduction; adoption of BRDs
incremental cost with in-country project partner
by individual trawls and entire fisheries; and enhanced awareness at
· Present the incremental cost estimate. If presented
all levels regarding the problems of shrimp trawl by-catch.
as a range, then a brief explanation of the
· Outputs that result in national and global benefits include: results of
challenges and constraints and how these would
experimental trawls that demonstrate enhanced product quality;
be addressed by the time of CEO endorsement.
potentially enhanced fin-fish catch as a consequence of reduced catch
of commercially important fish fry.
· National disbenefits include reduced shrimp catch, and reduced
income from sale of by-catch resulting in reduced foreign exchange
earnings in the trawl fishery sector.
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Work Program Inclusion per criteria
Reference Paragraphs and Explanatory Notes:
established in Draft # 8 of the project
review criteria
· There are no outputs or activities that result solely in national
environmental benefit.
· Estimation of incremental cost is described in paragraphs 30 ­ 33 and
in Annex A in which it is noted that environmental benefits are
difficult to quantify in dollar terms.
· A variety of economic disincentives to adoption of more sustainable
practices apply at the present time and the project aims to overcome
these barriers in part by demonstrating longer term environmental and
economic benefits from the use of BRDs. The agreed costs of actions
have been discussed and analysed at both the national and regional
levels and significant participation of the private sector is envisaged.
­ see par 26, Table 2 & Annex A.
· Sustainability
Describe proposed approach to address factors
Issues regarding sustainability are discussed in para 21 in which it is
(including financial
influencing sustainability, within and/or outside the
noted that increasing international pressures may result, in the medium to
sustainability)
project to deal with these factors
longer term, in global market forces demanding the adoption of such
techniques for by-catch reduction. It is anticipated that once the benefits of
adoption of the technology can be adequately demonstrated in particular
fisheries then the spread of the technology should be rapid.
· Replicability
Describe the proposed approach to replication (for e.g.
Replicability of demonstration activities in particular fisheries will be
dissemination of lessons, training workshops,
promoted through involvement of trawl fishers from other countries in
information exchange, national and regional forum
join experimental fishing and provision of opportunities for regionally
etc.) (could be within project description)
based exchange of information and experience in the application of the
chosen techniques and technologies ­ see para 18.
Through its regular programme activities and the global information
dissemination components of this project FAO will facilitate easier access
to information and advice thus enhancing adoption of appropriate
technologies throughout the industry ­ see para 16
· Stakeholder
· Describe how stakeholders have been involved in
· Primary stakeholders include governments, the private sector and
Involvement
project development
individual trawl operators who have been involved in regional expert
· Describe the approach for stakeholder
meetings throughout the PDF-B phase ­ see paras. 23-26.
involvement in further project development and
· Regional expert meetings have involved participation of private sector
implementation
interests and national institutions.
· Monitoring &
· Describe how project design has incorporated
· Project design has benefited from FAO experience in the development
Evaluation
lessons from similar projects in the past
and operation of its regular programme activities concerned with
· Describe approach for project M&E system, based
addressing the globally important issue of fisheries by-catch.
on the project logical framework, including the
· Indicators for individual objectives and outputs are described in
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Work Program Inclusion per criteria
Reference Paragraphs and Explanatory Notes:
established in Draft # 8 of the project
review criteria
following elements:
Annex B and include inter alia national reports of reduced discard
· Specifications of indicators for objectives and
levels; increased finfish production; numbers of vessels adopting new
outputs, including alternate benchmarks, and
technologies; published regulations and laws; introduction of new
means of measurement.
management regimes. See Annex B.
· Outline organisational arrangement for
· Monitoring of project progress will be the primary responsibility of
implementing M&E
the Task Manager, the FAO internal Task Force, and the UNEP
· Indicative total cost of M&E (may be reflected in
Bureau of Fund Management Services. Monitoring will be undertaken
total project cost).
via Quarterly Operational Reports, half yearly and end of year
financial and substantive reporting in accordance with UNEP & FAO
internal guidelines for project monitoring and evaluation. See para 34
· Milestones are established para 35 for determining project progress
towards expected outcomes at the national level.
· A terminal evaluation will be conducted within three months
following closure of project activities.
· The indicative total cost of the M&E related activities is ##### and is
included within the Implementing Agency Fee.
3. Financing
· Financing Plan
· Estimate total project cost.
· Total Project cost is estimated at 9.22 million US$ - see cover page
· Estimate contribution by financing partners.
and framework budget Table 2.
· Propose type of financing instrument
· Estimated contribution from financing partners is 4.49 million US$ -
see cover page
· Grant financing
Implementing Agency
Propose IA fee
· 507,309 US$ according to the fee formula
Fees
· 50,000 premium due to the global nature of the project supervisory
costs are anticipated to be greater (20,000) than for single country
projects. In addition monitoring and evaluation costs are anticipated
to be of the order of 30,000 US$ greater than allowed for in the fee
since independent evaluators will have to visit five regions and 11
countries.
· Cost-effectiveness
· Estimate cost effectiveness, if feasible
· It is not feasible to estimate the cost-effectiveness of the entire project
· Describe alternate project approaches considered
due to the nature and diversity of the proposed interventions. Cost
and discarded
effectiveness of alternatives for specific technologies will be
undertaken within the context of the experimental fishing trials and
applied during final selection of gear in each fishery.
· The project proponents are unaware of any other realistic approach to
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Work Program Inclusion per criteria
Reference Paragraphs and Explanatory Notes:
established in Draft # 8 of the project
review criteria
regionally co-ordinated action that could be adopted to achieve the
desired outcomes.
4. Institutional Coordination & Support
IA
Coordination Describe how the proposed project is located within
· The project is to be implemented within the framework of FAO's
and Support
the IA's
programme in support of the Code of Conduct for responsible
· Country regional/global/sector programs
fisheries.
· Core commitments
· GEF activities with potential influence on the
· Significant co-financing at the global and co-ordination levels is
& Linkages
proposed project (design & implementation)
provided through FAO support to the global information
development and dissemination activities of Component A. see para
16.
· The project serves as a model for technology transfer in the fisheries
industry and has derived benefit from a number of earlier national
level activities ­ see paras 5 & 9.
· Consultation,
· Describe how the proposed project relates to
· Fisheries directed activities funded by the GEF are limited in scope at
Coordination and
activities of other IAs and 4 RDBs in the
the present time, nevertheless in the activities involving trawl
Collaboration
country/region.
fisheries that are the subject of this intervention, attempts will be
between IAs, and
· Describe planned/agreed coordination,
made to link to other GEF-IW interventions as appropriate.
IAs and EAs, if
collaboration between IAs in project
appropriate.
implementation.
5. Response to Reviews
Council
Respond to Council comments at pipeline entry
None received.
Convention Secretariat
Respond to comments from Convention Secretariat.
N/A
GEF Secretariat
Respond to comments from GEFSEC on draft project
Minor modifications made at the request of the Secretariat. The project is
brief.
submitted under OP 10 at the request of the Secretariat.
Other IAs and 4 RDBs
Respond to comments from other IAs, 4RDBss on
Comments received from the Worldbank & responded to on 19th
draft project brief.
September. Changes introduced to the brief & other technical points will
be addressed during the finalisation of the operational project document
STAP
Respond to comments by STAP at work program
None received
inclusion.
Review by expert from
Respond to review by expert from STAP roster
Review received 5th September response prepared and included in Annex
STAP Roster
C1. Changes made to the logframe and text of the brief. 21st September.
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