CLME-TT/2 Final
Barbados, February 2007
Original:
Engish
CARIBBEAN LARGE MARINE ECOSYSTEM
OUTLINE PAPER (APPROVED)
CLME Project Implementation Unit
Centre for Resource Management and Environmental Studies (CERMES)
University of the West Indies
Cave Hill Campus, Barbados
March 2, 2007
TABLE OF CONTENTS
1.0 Purpose of Outline Paper ......................................................................................................3
2.0 Overall Context.....................................................................................................................4
3.0 Project components...............................................................................................................4
3.1 Component 1: Project Management.................................................................................5
3.2 Component 2: Analysis of Transboundary Living Marine Resources Issues and
Identification of Needed Actions ...........................................................................................5
3.3 Component 3: SAP Development and Identification of Reforms and Investments for
Management of Shared Living Marine Resources.................................................................7
3.4 Component 4: Targeted Projects Aimed at Strengthening the Policy Cycle and Early
Strategic Action Programme Implementation .......................................................................8
3.4.1 Flyingfish ..................................................................................................................9
3.4.2 Shrimp and Groundfish.............................................................................................9
3.4.3 Lobster ....................................................................................................................10
3.4.4 Reef Fisheries and Biodiversity..............................................................................10
4.0 Programme..........................................................................................................................10
5.0 Budget .................................................................................................................................11
1.0 Purpose of Outline Paper
The purpose of this outline document is to develop a shared vision for the Full Sized Project
which is a key objective of the PDF-B project. Reviewing the Concept Paper the key features
of the Full Sized Project are:
- Through the mechanism of the Transboundary Diagnostic Analysis, to characterise
and analyse the root and underlying causes of transboundary issues relating to the
management of marine resources in the CLME and develop and agree on a Strategic
Action Programme to address those causes (component 2, TDA).
- Compilation and sharing of existing sources of information required for good
governance of marine resources, and identification and filling of knowledge gaps
(component 2, TDA) through appropriate technical programmes.
- Establishing a culture of networking and cooperation among the countries for
management of marine resources, focusing on strengthening existing institutions and
structures (component 3, SAP development).
- Establishment of a monitoring and evaluation framework for the ecosystem status of
the CLME in line with the ecosystem management approach and SAP implementation
(component 3, SAP development).
- Create successes that serve as examples of how countries can collaborate to manage
transboundary marine resources through `Strengthening by doing' (component 4,
Demonstration projects)
A flexible framework is needed to accommodate the diverse requirements of living marine
resources (LMR) governance in the Wider Caribbean and to facilitate the inclusion of all
stakeholders. In designing the project concept, a variety of complementary approaches to
development of a management framework for LMR were adopted. The framework
accommodates these approaches which have their particular strengths and weakness.
The Large Marine Ecosystem approach uses five key modules (productivity, fish and
fisheries, pollution and ecosystem health, socio-economics and governance) as the basis of an
ecosystem based management approach and has a very strong and robust scientific basis. It is
directly supportive of the TDA, providing productivity, fish and fisheries, pollution and
ecosystem health information for the development and application of monitoring and
assessment indicators.
The TDA/SAP approach is aimed at reaching an agreement through a regional Strategic
Action Programme on measures needed to remove barriers to effective governance of
transboundary shared resources and as a framework for coordinated interventions. The
TDA/SAP approach assumes that there are centralised policy making structures already in
place and that the SAP can be streamlined into the national and sectoral planning
frameworks.
The multi-scaled LME governance approach proposed by the CLME Technical Task Team
views governance at the local and national levels and their linkages into regional and
international management and policy processes as especially important in the CLME. The
LME project emphasizes governance but recognizes that science is an important and integral
component of the management and policy process. The project takes the approach that
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generation of scientific information should be demand-driven and determined by
management and assessment needs for informed decision and policy making. There has
already been a considerable investment in scientific monitoring, assessment, and research in
the Wider Caribbean and it is important for the project to make best use of available
information.
The TDA SAP process supporting the pilot projects provides the means of identifying, to
the extent financial resources allows, information on which to base management decisions. A
portion of the funding provided by the GEF will be earmarked for urgent and immediate
monitoring and assessment needs as identified by the relevant stakeholders, including policy
makers and scientists.
The project framework will actively seek partners to provide the required technical and
scientific inputs to augment the support provided by the GEF for introducing an ecosystem-
based approach for the CLME project. A number of potential partners have already been
approached and have indicated an interest in contributing their expertise and funding. Key
partners who have already agreed to participate in the project under this kind of arrangement
include Census for Marine Life, Nature Conservancy, University of Miami, University of
West Indies, Organization for American States (OAS), and FAO.
The purpose of this outline paper is to present a balanced project vision for the planning and
implementation of the CLME project.
2.0 Overall Context
In agreeing on a project vision, there are a number of features of the Caribbean Large Marine
Ecosystem and the management of its living resources which need to recognised, including:
- The large number of culturally, politically and socio-economically diverse countries
(26) and dependent territories involved and their wide range of living resource
management capacities.
- The mosaic of Economic Exclusion Zones, many still to be formally delimited, which
covers the entire region with the exception of two small areas of high seas, and
consequently a high incident of transboundary resource issues.
- The wide range of types of fishery in the CLME with different management demands
and models
- The absence of any major fishery stocks from which revenues can be derived to
support an all-inclusive RFMO.
- A high dependence, particularly for SIDS, on marine resources and the resulting
overexploitation of coastal and off-shore living resources.
- A fragmentation and wide diversity of national, sub-regional and regional marine
resource governance institutions
In designing this project, these specific CLME features were taken into account, and it is for
this reason that this project stresses the importance of the LME governance framework.
3.0 Project components
The following project proposals have been developed in consultation with UNDP-GEF,
IOCARIBE and the PDF-B project team. These ideas have also been discussed at a
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preliminary stage with the Technical Team tasked with the production of the TDA, which
includes representatives from WECAFC-FAO, OSPESCA, CRFM and selected countries, at
the project kick-off meeting in October 2006. This finalized document is the result of
consensus reached by the member countries and other project partners at the CLME Project
Concept/TDA Synthesis Workshop held in Kingston, Jamaica on February 28 March 3,
2007.
3.1 Component 1: Project Management
The project will be guided by the Steering Committee comprising of representatives of the
participating states, the GEF implementing and executing agencies, other key bilateral and
international donors (FAO, NOAA, EU, etc.) and stakeholders. The Steering Committee will
review and approve all technical documents, review budgets and financial reports and
provide general implementation guidance to PCU. It will meet once a year and all its
decisions will be made on the basis of consensus basis. In addition to the Steering
Committee, at the Sub-Regional level, advisory bodies will be formed, comprising
representatives of the countries and the implementing and executing agencies, to review all
sub-regional activities, including demonstration projects.
The project will be administered from a small Project Coordination Unit, the location of
which has yet to be decided. In choosing the PCU location, communications and logistics as
well as the facilities offered by the host country will be important criteria. The PCU will be
staffed by a Chief Technical Advisor, ideally a marine resource expert, a scientific officer and
two technical assistants sourced regionally. The number of support staff will be limited in
order to keep administration costs to a minimum. For it to operate effectively, the PCU will
have to be able to exercise a considerable degree of financial independence, particularly with
respect to local contracting. The PCU will be supported by international and regional
consultants selected from agreed rosters.
Implementation of the project will be dispersed as widely as possible around the participating
region, with the PCU acting as the coordinating body. The PCU will assume primary
responsibility for implementation of component 2 (TDA) and coordination of component 3
(SAP Development). In addition, the CLME information system and project web-site will be
hosted by the PCU.
The project will include a fourth component that has demonstration projects. Implementation
of the four demonstration projects will be undertaken through Inter-Agency Agreements
(IAA) or sub-contracts with named project partners. The PCU will provide oversight for each
of the project components. Each demonstration project will be managed through a Project
Implementation Unit, which will report technically to the PCU, but will be financially
independent.
3.2 Component 2: Analysis of Transboundary Living Marine Resources Issues
and Identification of Needed Actions
Early on in implementation of the PDF-B project, it became apparent that development of a
detailed TDA at the regional level would not be possible given the available PDF-B resources
and timeframe and that TDA finalisation would have to be deferred to the Full Sized Project.
In addition, it was concluded, due to the CLME's size, complex mosaic of EEZs and diverse
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ecosystems, that development of a series of sub-regional TDAs would be more appropriate
than a single analysis. Three sub-regions were selected for TDA development: Insular
Caribbean, Central/South America and Guianas/Brazil.
The final TDA (incorporating Sub-Regional components) will be based on existing
information and will characterise, scope and identify the underlying/root causes of
transboundary issues relating to management of living marine resources from an ecosystem
perspective. Following GEF best practice, the TDA process will lead to the identification of
the priority interventions for inclusion in the SAP needed to address underlying/root causes,
including filling of knowledge gaps, legal, policy, and institutional reforms, investments,
economic instruments, awareness raising and stakeholder involvement. The TDA will be
formulated by the Technical Task Team (TTT) selected during the PDF-B project phase. An
initial TDA will be completed in the PDF-B project and the final TDA in the Full Sized
Project. The initial TDA will be used to help design of the Full Sized Project.
The final TDA will be the first activity to be undertaken in the Full Sized Project and will
include detailed Causal Chain Analyses (CCA), Stakeholder Analysis and Public
Involvement and Communication Strategy, institutional mapping and legislative review and a
socio-economic evaluation. The TDA will inform the development of the SAP, including
development of a multi-level management and governance framework (component 3) and
inform the final design of the demonstration projects (component 4). The TDA through the
CCA will identify possible interventions to be included in the Strategic Action Programme,
some of which may be implemented within the demonstration projects. To assist
prioritisation during SAP development, the TDA will incorporate a socio-economic
evaluation and pre-feasibility studies of key interventions.
The project design recognizes that there has already been a considerable amount of science
monitoring, assessment, and research relevant to the goods and services provided by the
resources of the Wider Caribbean. Much of the pertinent information is centralized in a few
areas or is in forms that makes it difficult to access. Therefore, in parallel to the TDA, the
project will assist in the design and development of a CLME information management
system that will build on existing initiatives. The project needs to ensure that this system will
be sustainable over the long term. One of the purposes of the information system will be to
collate and facilitate the accessibility and dissemination of this widely scattered information,
as well as to analyse the information and data produced for monitoring and evaluation of the
ecosystem status of the CLME and implementation of the SAP. The design of the system will
take account of other regional and sub-regional objectives to be discussed and agreed by the
participating countries.
The Full Sized Project will establish a Stakeholder Advisory Group (STAG) to review the
key project documents. It would comprise a team of up to 12 involved and aware
stakeholders from the region who have an active interest in living marine resource
management issues. The stakeholders will be carefully selected as part of the Stakeholder
Analysis. They will be representatives of stakeholder groups which are not normally given a
formal voice in the TDA/SAP development process, yet whose insights and perceptions of
the project development may be especially illuminating given their immediate involvement
with living marine resource management issues. The role of the Stakeholder Advisory Group
will specifically be to provide feedback to the TDA/SAP process and design and monitoring
of the demonstration projects.
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3.3 Component 3: SAP Development and Identification of Reforms and
Investments for Management of Shared Living Marine Resources
A SAP is a negotiated policy document which establishes clear priorities for action to resolve
the priority transboundary living marine resource management problems. It identifies policy,
legal and institutional reforms and investments needed to address the priority transboundary
waters problems. The preparation of a SAP is a cooperative process among key stakeholders
in the countries of the region.
The PDF-B project document required the production of a preliminary SAP endorsed by 26
countries and 19 dependent territories; however, in practice, it is not feasible or perhaps even
appropriate at this early project stage. It was therefore decided to delay SAP development
until after finalisation of the TDA as part of the Full Sized Project. The SAP development
process will be informed by the TDA and the interim results of the demonstration projects.
Following the principle of subsidiarity and GEF TDA/SAP best practice, the sub-regional
TDAs will naturally lead to the development of Sub-Regional SAPs, nested and linked within
a framework of a Regional SAP. The question would then arise what governance framework
would be needed to implement such a multi-layered SAP?
The SAP component will assist the countries to create a management and governance
structure for the Caribbean LME, utilizing the strengths inherent in existing institutions and
structures (e.g. through a tripartite mechanism comprising FAO/WECAFC, IOC/CARIBE
and UNEP/Caribbean Environment Programme) before the creation of new ones. The first
step will be to map out the present institutional framework within the different fisheries and
within the context of other ecosystem considerations including productivity, pollution and
ecosystem health, and socioeconomics. This work will be undertaken as part of the TDA.
There will also be a review of relevant international fisheries agreements and other
agreements and institutions affecting the health and sustainability of the goods and services
of the CLME.
The institutional strengthening activities will include:
- Strengthening of existing decision-making institutions by the creation of a regional
and sub-regional framework capable of delivering EBM of the living marine
resources; and, where appropriate, promoting competence for management within
existing bodies, including creating strong linkages with other economic sectors and
stakeholder groups.
- Strengthening the linkages between the advisory and decision-making
bodiesincluding the operationalization of arrangements for implementation of the
Precautionary Principle and Code of Conduct for Responsible Fisheries.
- Encouraging the Caribbean states to ratify and implement relevant international
agreements (UNCLOS, UN Fish stocks Agreement, FAO Compliance Agreement,
etc) and to support the development of national enabling legislation.
- Developing and promoting regional agreements and capacity to enable the Caribbean
states to participate in international Fisheries Management Organisations, in particular
the International Commission for the Conservation of Atlantic Tunas.
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The final step, the development and agreement on the LME management and governance
framework will be carried out in parallel with the development of the SAP and should be seen
as an integral part of the SAP process. The strengthened management framework would be
responsible for implementation of the SAP and monitoring and evaluation of the CLME
ecosystem status and trends through an agreed set of indicators and information system (see
below).
The SAP component will promote the arrangements needed to link the demonstration projects
to the regional and sub-regional and ecosystem-wide management and governance
framework that will serve as an essential foundation for ecosystem-wide assessment and
management of the LMR of the CLME.
The SAP will incorporate a monitoring and evaluation framework based on a suite of GEF
IW indicators (process, stress reduction and ecosystem status) and will include reporting and
updating procedures for recording SAP implementation. It will be important to establish the
baselines against which the indicators are to be measured, which will be one of the most
difficult tasks in the SAP development. The indicators must be measurable and, directly or
indirectly, assess progress.
A review of existing monitoring programmes will be undertaken in order to identify a suite of
ecosystem status indicators (ESI) which can adequately describe the status and track trends of
the CLME environment whilst still being cost effective and technically feasible. The suite of
ESI, in the form of an integrated Regional Ecosystem Monitoring Programme (REMP), will
track the status and long-term trends in CLME fisheries, biodiversity habitat degradation and
pollution. The development of the REMP should be seen as a long-term goal and should be
phased to match the institutional capacity and the levels of funding available in the region.
The REMP should be capable of producing consistent, comparable results and support the
decision making process at the national, sub-regional and regional levels. The preliminary
programme will inevitably be modest, focusing on priority transboundary pollutants and key
ecosystems and fisheries under threat. The design of the REMP programme will be
underwritten by the analysis done under the TDA and the results from the demonstration
projects (component 3) and an integral part of the design will be a regional awareness and
capacity building programme, targeting participating monitoring and advisory bodies. The
REMP design will also be closely linked to that of the CLME information system to be
developed under component 2.
3.4 Component 4: Targeted Projects Aimed at Strengthening the Policy Cycle
and Early Strategic Action Programme Implementation
In designing the SAP implementation demonstration projects the guiding principle of
`strengthening by doing' is to be followed. Four separate fisheries specific projects are to be
developed, focusing on SAP development at different levels. The demonstration fisheries
will be:
- Flyingfish;
- Shrimp and groundfish;
- Lobster; and
- Reef fisheries and biodiversity
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The demonstration projects will target application of best available information, including
latest credible science-based assessments, to the management and policy processes at the
appropriate level or levels. Data and information, analysis and advice, decision making,
implementation and review and evaluation will be analysed for strengthens and weaknesses
through the TDA process (component 2) and the demonstration project design. The draft
project proposals will be discussed and finalised with the countries and STAG early in the
first year of the Full Sized Project. It is important that the demonstration projects target
potential SAP interventions particularly with regard to the Precautionary Approach and Code
of Conduct for Responsible Fisheries, and that the interim results feed into the SAP and LME
Governance framework development process.
The demonstration project design will take note of the following the four propositions:
1. Any interruption at any stage of the policy cycle will result in dysfunctional
governance of the target resources or ecosystems
2. Vertical linkages between functional policy cycles are necessary for effective LME
governance
3. Horizontal linkages between functional policy cycles are often necessary for effective
LME governance
4. Linkages between functional policy cycles specific to the `analysis and advice' and
`decision making' stages of the cycle are essential for effective LME governance
The four demonstration projects will high-light different aspects of the policy cycle at
different governance levels.
The operation of these policy cycles will identify institutional and information gaps that need
to be filled and the necessary monitoring and assessment will be funded by the GEF project
to the extent that the budget allows, and complemented, as appropriate, by support from
technical partners.
3.4.1 Flyingfish
Based on an emerging fishery, this demonstration project will focus on: strengthening of
linkages between `analysis and advice' and `decision making' policy bodies; improve
coordinated implementation at the Sub-Regional level; and increase stakeholder involvement
at local, national and Sub-Regional levels. A potential promoter for this project is the CRFM
whilst key partners include the WECAFC ad hoc Flyingfish Working Group and the OECS.
This is seen as a guide demonstration project, a yardstick from which the implementation
success of other more involved projects can be measured.
3.4.2 Shrimp and Groundfish
This project will target the increasing complex and sophisticated shrimp and groundfish
fishery of the Guianas-Brazil shelf. The weakness and strengths of the policy cycle have been
well studied by the FAO-WECAFC fishery working group and key areas for interventions
have been recommended. This demonstration project will be a model for what is achievable
in terms of ecosystem-based management of a sub-regional, mixed fishery
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3.4.3 Lobster
The lobster fishery is significant in that it is ecosystem wide and transboundary as a result of
planktonic dispersal, whilst local and national in terms of its management and governance.
The challenge will be to create an implementable policy cycles at the local level with the
necessary vertical linkages to the higher sub-regional and regional levels. The local
governance structure needs to be able to deliver data and information to the higher levels and
implement regional management rules, whilst still maintaining some degree of self
regulation. The demonstration project needs to find the correct balance between top-down
and bottom-up approaches to achieving sustainable resource management. Involvement of
local stakeholders and increased public awareness will be crucial in building an effective
policy cycle and governance structure. OSPESCA is a potential promoter of the
demonstration project. The project would in the first instance have a limited geographical
scope however linkages to other areas within the Wider Caribbean where the lobster fishery
is of significant importance will be developed.
3.4.4 Reef Fisheries and Biodiversity
The reef fisheries and biodiversity demonstration project will articulate a policy cycle for a
subset of reef systems. These are highly complex and provide a wide range of goods and
services at the local and global scale. The demonstration project will develop an assessment,
management, and governance framework to ensure the ecological integrity of the reef and its
ability to withstand environmental shocks and stresses such as climate change. The
demonstration project will be implemented at a limited number of carefully selected sites,
identified on the basis of their ability to provide comparative lessons on effective reef
fisheries and reef biodiversity governance over the period of the project. The sites may be
transboundary and or associated with existing Marine Protected Areas. Of particular interest
to the project will be the adjoining secondary reef areas where regulation is less stringent and
fishing pressure is heavier. Again, the importance of involving the local stakeholders in the
decision-making process will be crucial in creating an effective governance structure.
A key objective of this component will be to engage as many of the countries in the
implementation of the demonstration projects and in doing so encourage participation and
engagement in the SAP process.
The demonstration projects will be designed to be replicable, and within the life of the project
the lessons learnt will be transferred to comparable fisheries in the Caribbean and potentially
wider afield. As part of the demonstration project design, a programme of activities will be
developed to disseminate the lessons learnt.
4.0 Programme
A draft project programme is presented in a separate Excel spreadsheet file entitled CLME
Timeline that accompanies this document.).
The overall programme length is 4 years, beginning Q1 2008 and ending Q4 2011. The
features to note are:
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- Rapid establishment of the PCU, finalisation of the TDA and commencement of the
demonstration projects within the first nine months. As much preparatory work as
possible needs to be done at the PDF-B stage to ensure a quick project start-up.
- Work on design of the LME management and governance framework and institutional
strengthening will begin during the TDA and will continue until finalisation of the
SAP. Inter-governmental negotiations have their own rhythm and cannot be dictated
by a strict project timetable and therefore the maximum time needs to be made
available
- SAP development will begin after TDA finalisation and delivery of interim results
from the demonstration projects. The SAP development will culminate with a donors'
conference and information dissemination programme.
- The demonstration projects will have an 8 month design phase and 3 year execution
phase, which will give sufficient time to assess the results, including the effectiveness
of any new governance arrangements.
5.0 Budget
The GEF project budget excluding co-funding and the PDF-B funding is $7.08 million: a
draft project budget given in Table 1. The final budget division will be made once the
detailed activities are agreed.
Additional co-funding will be actively pursued during the PDF-B stage for the SAP
development implementation component.
Table 1: Draft Project Budget
$million
Component 1
Project management and Coordination
1.18
Subtotal 1.18
Component 2
Finalisation
of
TDA
0.55
Design and development of CLME information system
0.25
Subtotal 0.80
Component 3
SAP
development
0.50
Design of Monitoring and Evaluation Framework
0.20
Institutional
capacity
building 0.40
Development of CLME governance framework
0.30
Donors Conference and information dissemination
0.20
Subtotal 1.60.
Component 4
Design and implementation of demonstration projects
3.50
Subtotal 3.50
TOTAL
7.08
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