PROJECT INFORMATION DOCUMENT (PID)
APPRAISAL STAGE
Report No.: AB1766
Project Name
Southwest Indian Ocean Fisheries Project
Region
AFRICA
Sector
General agriculture, fishing and forestry sector (100%)
Project ID
P072202
GEF Focal Area
International waters
Borrower(s)
GOVERNMENT OF MOZAMBIQUE
Implementing Agency
Environment Category
[ ] A [] B [X] C [ ] FI [ ] TBD (to be determined)
Date PID Prepared
August 4, 2005
Date of Appraisal
August 30, 2005
Authorization
Date of Board Approval
January 19, 2006
1. Country and Sector Background
a) Why is the Southwest Indian Ocean Important?
The world's marine environment has been divided into 19 major fishing areas by FAO. One of the largest of
these is the West Indian Ocean (WIO), accounting for some 8% of total marine waters, at 30 million square
kilometers. The Western Indian Ocean (WIO) is the site of some of the most dynamic and variable large
marine ecosystems (LMEs) in the world (Box 1). Complex current systems that include the Agulhas Current
retroflection, migrating anti-cyclonic eddies in the Mozambique Channel and di-polar vortices off East
Madagascar induce variability into the ecosystems of the region. The Indian Ocean is also largely surrounded
by developing countries, with close to half the world's population residing in countries that edge on it. The
challenges faced in meeting expectations and demands are enormous more especially so in times of
drought, climate change and unsettled socio-economic conditions. These facts are especially true for the
SWIO portion of the WIO.
Box 1: LME DEFINITION: DELINEATION
Large marine ecosystems are natural regions of ocean space encompassing coastal waters from river basins
and estuaries to the seaward boundary of continental shelves and the outer margins of coastal currents. They
are relatively large regions of 200,000 km2 or greater, the natural boundaries of which are based on four
ecological criteria: bathymetry, hydrography, productivity, and trophically related populations.
LME INDICATOR MODULES
A five-module indicator approach to the assessment and management of LMEs has been proven to be useful
in ecosystem-based projects in the United States and elsewhere. The modules are customized to fit the
situation within the context of a transboundary diagnostic analysis (TDA) process and a strategic action plan
(SAP) development process for the groups of nations or states sharing an LME. These processes are critical
for integrating science into management in a practical way and establishing appropriate governance
regimes. The five modules consist of 3 that are science-based indicators focused on: productivity,
fish/fisheries, pollution/ecosystem health; the other two, socio-economics and governance, are focused on
economic benefits to be derived from a more sustainable resource base and implementing governance
mechanisms for providing stakeholders and stewardship interests with legal and administrative support for
ecosystem-based management practices. The first four modules support the TDA process while the
governance module is associated with periodic updating of the Strategic Action Program or SAP.
The SWIO is considered a distinct biogeographical province of the Indo-West Pacific, with high levels of
regional endemism. Areas of high endemism, however, are not uniformly distributed and are generally
found around island states such as Mauritius and Reunion, and in Southern Mozambique. Although waters
of the region are considered oligotrophic with relatively low fish biomass, there is significant diversity
among fish species (see Annex 1). The coastal zone of the Southwest Indian Ocean represents a source of
major economic activity for the estimated 140 million people who live within the countries along its
boundaries and for the estimated 28- 30 million in the coastal zones. Population trends indicate a doubling of
population in about 25 years in the major coastal cities of Mombasa, Dar es Salaam, and Maputo. Fishing,
and its associated economic activities, is often extremely important to coastal communities and local
economies. In some SWIO countries, fish represents the primary source of animal protein available to local
populations. In a region faced with chronic scarcities of foreign exchange, exports of fishery products or
income from licensing of fisheries may represent vital sources of exchangeable earnings. Fish landings,
processing and supporting operations associated with the fisheries industry provide an important stimulus in
the economic development of harbors and the coastal zone.
b) Is biodiversity a relevant issue in the SWIO?
One of the most valuable assets of the West Indian Ocean region is its high biodiversity. More than 10,000
species of marine fish and invertebrates have been described from this East African Marine Ecoregion, with
several zones of exceptionally high levels of endemism having been identified. The region also has a high
diversity of so-called "charismatic" species such as cetaceans (at least twenty species), five species of marine
turtles, numerous seabirds, and an important remnant population of the threatened dugong. The region is also
home to the coelacanth, a unique marine fish, originally thought to be found only in the SWIO region, but
have also been found in Southeast Asia. In addition to living marine resources, other aspects of the marine
and coastal ecosystem provide valuable environmental services in the form of food sources, fish spawning
and rearing areas, and wave buffers through coral reefs, mangroves, seagrass beds, beaches, and estuaries.
Annex 1 provides greater details on significance and importance of the SWIO. This biodiversity underpins
many of the fisheries and provides opportunities for future potential sources of food and other natural
products. However, it also introduces elements of risk, in that greater ecological complexity complicates an
ecosystem approach to resource management. This is especially true considering the great diversity of
fishery types (more than 163 described) and the high incidence of non-target by-catch in many of these.
The offshore fisheries in the 200 mile EEZ's of the SWIOFP countries are generally exploited under license
agreements by foreign fishing fleets. These vessels are primarily interested in commercial gain and are
unlikely to exercise self-restraint in commercial activities that impact on non-target, sensitive marine species.
Government regulations and regional approaches to harmonizing fisheries management and MCS
(monitoring, control and surveillance) are essential if these fisheries are to be sustainably exploited and
biodiversity conserved.
c) What are the major threats and barriers to sustainable use of the marine and coastal ecosystem's natural
resources?
Threats to the long-term sustainable exploitation of the SWIO marine and coastal ecosystems are both
anthropogenic and environmental. Annex 18 provides a detailed analysis of the threats, root causes and
mitigation strategies employed under the project to overcome these pressures. Primary anthropogenic threats
include overexploitation of marine resources, land based sources of pollution, and other human induced
sources of habitat degradation due to economic activity, encroachment, and climate change.
Particular threats caused by commercial fishing include overexploitation of nearshore and offshore fishery
resources; unnecessarily high by-catch and incidental mortality of marine fauna in commercial fisheries
operations; and fisheries induced habitat destruction and alteration of the marine environment. Natural
environmental perturbations such as changes in oceanographic or atmospheric characteristics also pose a
threat to the living resources of the ecosystem. A major barrier to assessment of ecosystem health is
incomplete information about the level of these threats within the ecosystems. Although the region is the
focus of significant research effort and falls within the mandate of several regional institutions, important
gaps exist in the data. Existing knowledge is not comprehensive, and aggregation of data for regional
assessment is limited. Additionally, lack of institutional and human capacity and poor regional collaboration
prevent wise management of marine biological resources, especially trans-boundary species and stocks.
Participating countries are not able to adequately assess or develop marine resources within their EEZs and
hence cannot draw sustainable benefits from them.
d) How does the proposed Project fit, geographically, into the existing regional management of West Indian
Ocean natural resources?
The geographic focus of SWIOFP is the Agulhas and Somali Currents LMEs. The Agulhas Current Large
Marine Ecosystem (ACLME) stretches from the north end of the Mozambique Channel to Cape Agulhas and
is characterized by the swift, warm Agulhas current, a western boundary current that forms part of the
anticyclonic Indian Ocean gyre. The Somali Current Large Marine Ecosystem (SCLME) extends from the
Comoros Islands and the northern tip of Madagascar up to the Horn of Africa. It is characterized by the
monsoon-dominated Somali current, which has a strong, northerly flow during the summer, but reverses its
flow in the winter. These two LMEs are both complex and interactive, and are strongly influenced by the
South Equatorial Current, which is funneled across the Mascarene Plateau east of Madagascar before
diverging north and south to become components of the Agulhas and Somali Currents. These LMEs are
characterized by a dynamic system of ocean currents and upwelling cells, which regulate climate and
influence weather patterns, sea temperatures, water chemistry, productivity, biodiversity and fisheries. They
also represent an important repository of living marine resources, which underpin the livelihoods of coastal
communities (see maps in Annex 19).
Based on the needs expressed and the overall study area defined, the following countries are participating in
the SWIOFP project: Comoros, France (by virtue of its islands in the region) 1, Kenya, Madagascar,
Mauritius, Mozambique, Seychelles, South Africa (East Coast only) the United Repbulic of Tanzania2 and
Somalia (as formal observers with the Provisional Government of Somalia being the current focal point3).
The inshore and offshore boundaries of the study area are defined by national jurisdiction and comparative
advantage of SWIOFP over existing multilaterally and bilaterally supported coastal zone management
projects. The Project is therefore restricted to outer boundaries of national 200 mile Exclusive Economic
Zone (EEZ) of the participating coastal states. The inshore boundary of the study will be defined by
individual countries but are agreed to be sufficiently far offshore not to cause duplication with the
ASCLMEs (which has responsibility for coastal assessment within the LME program activities) or other
purely national projects addressing coastal and near-shore areas.
2. Objectives
Global Objective (GO)
The Project's GO (OP#8 and OP#2) is "
To promote the environmentally sustainable use of fish resources through adoption by SWIO-riparian
countries of an LME-based ecosystem approach to fisheries management in the Agulhas and Somali
LMEs that recognizes the importance of preserving biodiversity.
This will be achieved by linking regional management of these resources to an ecosystem-based model that
ensures sustainability of exploitation and that recognizes the importance of preserving of biodiversity. The
primary Project outputs will be to contribute the fisheries input into TDAs and SAPs for the Agulhas and
Somali Current's LMEs which will be jointly produced by the WIO-LaB, ASCLMEs Project, and SWIOFP
and driven by the ASCLMEs Project.
Key Performance Indicators of the GO: Progress on achieving the Global Objective of the Project will be
measured by the following performance indicators:
1 Although nine countries will participate in project activities, France will not be a recipient of the GEF grant. Thus,
although the SWIOFP consists of nine countries, and is referred to as such throughout the document, it is technically
composed of eight GEF country recipients and one non-GEF recipient country.
2 The United Republic of Tanzania consists of the Tanzanian Mainland and the People's Revolutionary Government of
Zanzibar. Fisheries is not a "Union" issue and representatives of both the mainland fisheries and Zanzibarian fisheries
agencies participated in SWIOFP preparation.
3 Observer status implies that the beneficiary countries have agreed to collectively use Project funds to support
attendance of the Provisional Government of Somali attendance at all important Project meetings, that the Provisional
Somali Government can have access to relevant Project data, and to invite and support Somali scientists on relevant
SWIOFP research cruises.
(i)
To identify and study exploitable offshore fish stocks within the SWIO, and more specifically to
become able to differentiate between environmental (LME-related) and anthropogenic impacts on
shared fisheries.
(ii)
To develop institutional and human capacity through training and career building needed to
undertake and sustain an ecosystem approach to natural resource management consistent with
WSSD marine targets;
(iii) To foster development of a regional fisheries management structure for implementing the LME-
based approach to ecosystem based management through strengthening the , Southwest Indian
Ocean Fisheries Commission (SWIOFC) and other relevant regional bodies;
(iv) To mainstream biodiversity in national fisheries management policy and legislation, and through
national participation in regional organizations that promote sustainable exploitation of fisheries
resources..
All national fisheries management plans/strategies for shared stocks of commercially exploited or exploitable
fish stocks resulting from SWIOFP will incorporate elements of biodiversity conservation (both by-catch
minimization and reduction in mortality of seabirds, marine mammals, sea turtles, etc.).
Development Objectives (DO)
The project has four development objectives, namely:
(i)
To identify and study exploitable offshore fish stocks within the SWIO, and more specifically to
become able to differentiate between environmenta (LME-related)l and anthropogenic impacts
on shared fisheries.
(ii)
To develop institutional and human capacity through training and career building needed to
undertake and sustain an ecosystem approach to natural resource management consistent with
WSSD marine targets;
(iii)
To foster development of a regional fisheries management structure for implementing the LME-
based approach to ecosystem based management through strengthening the , Southwest Indian
Ocean Fisheries Commission (SWIOFC) and other relevant regional bodies;
(iv)
To mainstream biodiversity in national fisheries management policy and legislation, and
through national participation in regional organizations that promote sustainable exploitation of
fisheries resources.
The project aims to generate scientific knowledge and develop the core legal and institutional capacity
needed to implement an action plan in order to manage these fisheries for maximum economic returns,
consistent with a management strategy that stresses environmental sustainability and socially equitable
distribution of the benefits of exploitation. The project will adopt an ecosystem approach which will lead to
an improved understanding of transboundary and environmental influences on stock health, the life histories
of key species and variability in inter-annual estimates of stock abundance.
Key Performance Indicators of DO: Progress on achieving the Development Objectives of the Project will be
measured by the following performance indicators:
· Adoption of at least one national or multi-national management plan for a specific demersal,
pelagic or crustacean fishery by each country participating in the project.
· Regional fisheries database fully operational and inclusive of new and historic data, which
contributes to the development of regional management plans for at least 2 fisheries
· Production of a baseline assessment (accompanied by database) that defines the current status of
relevant crustacean, demersal and pelagic fisheries in each of the participating SWIOFP
countries.
· Production of a sustainable fisheries management framework leveraged onto the agenda of
regional fisheries management bodies that include biodiversity conservation as an underlying
principle.
Participation in SWIOFP partially fulfills commitments made by the participating countries at the World
Summit on Sustainable Development (WSSD) to sustainably manage fisheries resources, and to national
development priorities related to alleviation of poverty through the sustainable development of marine
resources. This is a common thread in the Bank's Country Assistance Strategy for all eight countries in
SWIOFP. Namely, that poverty alleviation is fostered through a program of Bank development assistance
that places emphasis on environmental sustainability and social equitability. The project is also clearly linked
to the various National Development Plans, strategies and legislations within the participating countries,
which have been extensively elaborated in Figure 2, Annex 1.
GEF Operational Program Goals:
The SWIOFP is closely aligned to the objectives of Operational Program #8 (International Waters
Waterbody-based), particularly in its focus on addressing transboundary environmental concerns within the
framework of large marine ecosystems. In the biodiversity focal area, SWIOFP is very relevant to
Operational Program #2 (Coastal , Marine and Freshwater Ecosystems) in that it operationalizes sustainable
use of natural resources, including biodiversity.
SWIOFP Compliance to Priorities within OP#8: International Waters: SWIOFP is a regional project and
all fish and fish stocks included for assessment within the Project will be migratory, have a range that
straddle the EEZ's of two or more countries, or have species present in two or more EEZ's that may not be
genetically the same stock but would benefit from regional management experiences. SWIOFP focuses on
assessment of existing and Project-acquired information to develop and understanding of fisheries issues
within the Agulhas and Somali Current LME's. This assessment will, along with data from the ASLME and
WIO-LaB Projects, feed into an overall TDA and SAP, with an expected outcome being national
commitments to address key transboundary fisheries management issues, and establishing monitoring and
evaluation indicators (process, stress reduction and environmental status indicators) to monitor long term
ecosystem health. SWIOFP, together with the other two projects linking to the ASLME Project, is therefore
consistent with the following GEF International Waters (IW) strategic priorities:
The SWIOFP is consistent with OP #8 of the GEF, the Water-Body based Operational Program. Further it is
consistent with Strategic Priority IW-2 of the GEF Operational Programs for the International Waters focus
area. This focuses on the expansion of GEF foundational capacity building work in priority African
waterbodies. Moreover, the project stresses south-south learning opportunities, and technology transfer,
particularly within the WIO region, where great asymmetries in institutional capacities are evident. The
project will use institutions with high capacity to build capacity where it is weak.. In addition to the provision
of GEF finance, the project will catalyze investments in LME management from other financing bodies. As
the project targets two mainland LDCs and four SIDS, it helps achieve the goal of ensuring project coverage
in 90% of LDCs and 90% of SIDs. Finally, the SWIOFP further satisfies the IW Strategic Priorities by
enabling countries to achieve targets agreed at the World Summit on Sustainable Development
(Johannesburg WSSD, 2002). These include strengthened regional cooperation frameworks, adoption of an
ecosystem approach to LME management, and the maintenance or restoration of fish stocks on an urgent
basis, and where possible by 2015.
SWIOFP Compliance to Priorities within GEF OP#2: Biodiversity- is described in the discussion of
Component 6 (Mainstreaming biodiversity in national and regional fisheries management)
3. Rationale for Bank Involvement
a) How does SWIOFP fit within the LME Program to be financed by the GEF?
The SWIOFP is one of three closely linked projects. SWIOFP is the beneficiary of environmental data
produced by the Agulhas and Somali Currents Large Marine Ecosystem Project (ASCLMEs) implemented
by the UNDP, and the WIO-LaB Project which is implemented through UNEP in Nairobi. SWIOFP uses the
outputs of these other related projects to produce a "Program level" outcome- an ecologically based series of
regional or sub-regional fisheries management plans. .
This multi-project approach is driven by an internationally defined and accepted LME assessment
methodology. This is conceptually based on an ecosystem management approach that monitors and assesses
changing states of ecosystem health by tracking key biological and environmental parameters ( Box 2). The
LME modular approach is being applied to the two SWIO large marine ecosystems through the project
preparation process, and which has resulted in a number of inter-related sector interventions (see Table 1
below).
Table 1. Inter-relations between the three ASLME Projects
Module
Project
Productivity ASCLMEs
Ecosystem health & pollution
WIO-LaB/ASCLMEs
Fisheries
SWIOFP/ASCLMEs (Near-
shore based)
Management and governance
SWIOFP/WIO-LaB/ASCLMEs
Socio-economics
ASCLMEs / WIO-LaB /
SWIOFP
All eight countries that are part of SWIOFP are eligible for World Bank and GEF funding. All are also
signatories to the International Law of the Seas Convention and the Convention of Biodiversity (see Table 2
below).
Table 2: Dates of Accession/Signature
SWIOFP Participating Country
Date of Signing/Declaration
Date of Signing of Convention
Law of the Seas Convention
of Biodiversity
1. Kenya
March 2, 1985
June 11,1992
2. Tanzania (declaration)
September 3, 1985
June 12,1992
3. Mozambique
March 13, 1997
June 12,1992
4. South Africa (declaration)
December 23, 1997
June 04,1992
5. Comoros
June 21, 1994
June 11,1992
6. Madagascar
August 22, 2001
June 08,1992
7. Seychelles
September 16, 1991
June 10,1992
8. Mauritius
November 4, 1994
June 10,1992
b) How does SWIOFP fit into long-term management and development of Southwest Indian Ocean
resources?
Although the processes and ecosystem functions related to these two LMEs have a major influence on the
societies and economies of the area, very little detailed information is available upon which to base effective,
cooperative transboundary management initiatives. The management of marine resources is currently
sectoral and country-based. The main barriers to the development of an ecosystem approach to
transboundary management include inadequate data, lack of regionally based and coordinated monitoring
and information systems, lack of national and regional capacity, and the absence of full stakeholder
involvement. It is impossible, under this situation for governments to manage fisheries and other marine
resources in the absence of an understanding of the ocean-atmosphere, trophic and biogeochemical dynamics
that characterize the LMEs.
Therefore there is a clear need for an effective assessment process to capture the requisite data to fill
important gaps in information for management purposes. This project and the overall LME program aims to
replicate the successful approach used by the Benguela Current LME (BCLME) project wherein the presence
of BENEFIT (the Benguela Environment Fisheries Interaction and Training Program) was instrumental in
providing much of the requisite scientific data and information necessary to the development of a TDA and
subsequently focused the SAP which will now be used for regional management of the BCLME. The project
will not only move the countries of the region toward an important WSSD target i.e. an ecosystem based
approach to management of the LMEs, it will also help to achieve other WSSD targets including
strengthened regional cooperation frameworks, and the maintenance or restoration of fish stocks on an urgent
basis, and where possible by 2015.
The ASCLMEs and WIO-LaB Projects represent the base upon which sustainable management of shared,
offshore fisheries can be built. An ecologically based fisheries management plan is an applied expression of
these data (see Box 2). But application of such a plan is a long term process and is likely to require
significant resources. But why should the various modules of the LME approach be divided amongst the
three GEF implementing agencies?
The reason for the Bank, UNDP and UNEP to be collectively involved reflects the GEF's experience with
similar LME activities elsewhere and an acceptance by all three groups that the LME process. It has proven
very difficult for any single GEF
Implementing Agency to lead a process that
Box 2: Definition of Ecosystem Based Management of
identifies transboundary strategic natural
Fisheries (from: Pew Commission Report and that of the U.Sl
resource management issues, assist several
Commission on Ocean Policy, 2003)
nations to develop harmonized strategies to
address these issues, AND provide the long
Ecosystem-based management is an integrated approach to
term support that these countries will need
management that considers the entire ecosystem, including humans.
to develop the capacity to implement and
The goal of ecosystem-based management is to maintain an
derive sustainable benefits from the shared
ecosystem in a healthy, productive and resilient condition so that it
resources. The UNDP has very significant
can provide the services humans want and need. Ecosystem-based
management differs from current approaches that usually focus on a
experience with management of LME
single species, sector, activity or concern; it considers the
projects in Africa and elsewhere around the
cumulative impacts of different sectors. Specifically, ecosystem-
world. The Bank also has significant
based management:
regional experience that is very management
- emphasizes the protection of ecosystem structure,
oriented and has the added benefit of being
functioning, and key processes;
able to fund long term activities supporting
- is place-based in focusing on a specific ecosystem and the
regional management strategies. And while
range of activities affecting it;
the production of a harmonized regional
- Explicitly accounts for the inter-connectedness within
approach to natural resource management
systems, recognizing the importance of interactions between
issues as part of a Agulhas and Somali
m any target species or key services and other non-target
Currents LME process is a useful output in
species;
itself, sustainability will rely on being able
- acknowledges interconnectedness among systems, such as
to integrate these results into national
between air, land and sea; and
development priorities which can be funded
- Integrates ecological, social economic and institutional
by the Bank and other development
perspectives, recognizing their strong interdependencies.
assistance agencies.
The Bank's main role is to help its member governments sustainably develop, and it has the financial
resources and experience to help SWIOFP countries with the long-term implementation of environmentally
and socially sustainable management of shared fisheries resources in the SWIO. SWIOFP will be a five-year
project to undertake initial and very basic institutional capacity building and targeted research that are
essential to environmentally sustainable management of shared fish stocks. Once the shared and straddling
fish stocks of the SWIO are adequately described and understood, SWIOFP will be followed by a 7-10 year
second phase, possibly supported by one or more Bank credits. SWIOFP will lay the groundwork for a
justifiable capacity building plan developed to meet short, medium and long-term goals for sustainably
exploiting straddling and migratory fish stocks that would be built into these follow-on projects which would
apply the knowledge gained to more efficiently manage and exploit regional fisheries resources for greater
national benefit. Bank participation from the start will give greater sustainability to the proposed GEF
investment and facilitate the implementation of the Bank's longer term support for sustainable fisheries
management. The Bank's "convening power" and global knowledge can also benefit and help integrate
relevant African regional organizations working on environmentally sustainable fisheries management.
SWIOFP is closely aligned to identify priorities in marine resource management and will be an important
instrument for meeting international treaty obligations, the Code of Conduct for Responsible Fisheries, and
many of the marine resource strategies developed by regional institutions such as the NEPAD, the IOC and
SADC (see Table 3, Annex 17). It is envisaged that SWIOFP's efforts to establish ecosystem management of
shared fisheries resources will have direct application to the activities and objectives of the Southwest Indian
Ocean Fisheries Commission (SWIOFC). SWIOFP will work closely with SWIOFC to attain
ecosystem management of shared fishery resources. This could include, with SWIOFC agreement,
financial support to help establish the Commission. A more comprehensive description of SWIOFP linkages
to regional strategies, international agreements (Table 2) and institutions are provided in Annex 17.
c) What are the knowledge gaps that, if filled, would improve natural resource management in the
Southwestern Indian Ocean?
Baseline Scenario (The joint ASCLMEs project and SWIOFP perspective)
Under the Baseline Scenario, numerous, but largely fragmented, efforts will be made to improve
management of the coastal and marine environments of the WIO. Despite the number of programs underway
and planned inter alia in the arenas of fisheries management, pollution control and integrated coastal zone
management, the scale of action is being outpaced by human induced threats to the coastal and marine
environment. Countries generally lack the absorptive capacities and the financial wherewithal to take these
initiatives to scale. A number of regional initiatives are in place, nested in a regional policy framework and
growing consensus on the need to work collaboratively to address the suite of threats facing marine
ecosystems and their constituent resources. However, these focus heavily on the coastal zones of the
participating countries. Accordingly, current and planned initiatives will not by themselves be sufficient to
institute an ecosystem approach to LME management. Given the transboundary nature of many threats, their
root causes and effects, the threats to the environment cannot effectively be contained through national and
sectoral initiatives alone, and a holistic multi-sectoral regional ecosystem management approach is needed.
There are several barriers to `mainstreaming' an LME approach into national and regional management
structures and processes. These are detailed below.
Poor ecosystem level assessment capacity: A solid understanding of oceanographic, chemical and ecological
processes is necessary to manage LMEs and the fisheries resources in them. The understanding of energy
flow and trophic interactions in marine ecosystems in the SWIO is poor and connectivity studies are needed
to facilitate management of shared marine resources and systems. Biodiversity patterns and ecosystem
processes need to be recognized, understood, and managed effectively in order to maintain ecosystem
integrity and to maintain existing, and indeed to develop future, fisheries industries. The SWIO region has
been the focus of a limited number of oceanographic and fisheries-related assessment efforts. However
system wide understanding is rudimentary. Assessments are hampered by a lack of dedicated ships time, lack
of coordination of ship cruises to assess priority knowledge gaps, dearth of trained scientists within the
region, long and irregular breaks in baseline sampling, and a lack of specialized equipment. These need to be
addressed, to facilitate more comprehensive environmental assessments and thus to address the knowledge
gaps hampering management of the LMEs.
A number of workshops have been organized within the past two years in an attempt to document the
information that is currently available. This includes a Workshop sponsored by the Royal Society of London
in January of 2003 entitled "Atmosphere - Ocean - Ecology Dynamics in the Western Indian Ocean"15. In
addition, a comprehensive multi-disciplinary review of existing, oceanographic and fisheries-related
literature was undertaken during project preparation. The review shows clearly that there is a dearth of bio-
physical information and appropriate empirical data sets compared to other LMEs elsewhere on the globe.
There is considerable asymmetry in data coverage across the region. For example, the oceanographic data
sets for the continental shelves adjacent to the Agulhas Current are relatively robust. By contrast, no
appropriate oceanographic data of any kind has been collected for certain shelves off Madagascar. Further, a
detailed assessment of available hydrographic, remotely sensed and marine biological data for the SWIO was
conducted during preparation16 and verified through two multi-stakeholder workshops. A number of
information gaps have been identified and include a need to: ·
· Identify components of the offshore circulation that affect shelf regions in the SWIO and thus
the distribution of marine organisms and the geographic structure of marine ecosystems. ·
· Help determine the extent to which circulation of the ASCLMEs regions plays a critical role in
local climate variability and global climate change.·
· Provide information on the water characteristics, water quality indexes, and productivity on the
shelf regions of the West Indian Ocean that have the most marked effects on the cross-boundary
ecosystems and thus national and transboundary fish stocks.
· Identify important components of terrestrial run-off that influence coastal ecosystems and their
health.
· Identify aspects of the cross-boundary marine ecosystem on the shelves of the West Indian
Ocean are most easily disturbed by, most vulnerable to human interference or climate variability.
Lack of regionally based monitoring and information systems: To the limited extent that multi-country
assessment programs are underway at regional level, there has been little attempt to aggregate existing data,
and little attention has been paid to ensuring the ready accessibility of data by end users to facilitate joint
management efforts. There is a major unmet need, identified during project preparation to repatriate data that
has been gathered over many years in the SWIO by foreign fishing fleets and research vessels. Weak
information coordination at regional level reduces the value of the information that has been gathered on
ecosystem status. These factors, coupled with the fact that regional institutions have varying numbers of
participating countries as members, and have fragmented mandates, present the greatest barriers to adoption
of an ecosystem approach to LME management. A data and information workshop convened by the
ASCLMEs project and attended by SWIOFP showed clearly that existing programs and institutions do not
possess cross-cutting information at regional scale or, with the exception of South Africa, even across a full
range of marine issues at national scale. There is at present no regional program or institution with the
mandate to create and manage such an integrated and over-arching, regionally based information system
which could be accessed by regional stakeholders. Information systems at both national and regional scale
are fragmented, poorly described, lacking in synthesis, and generally unavailable to managers even at
national scale. What little integrated regional information that there is exists in incompatible formats, is not
centrally stored, not synthesized and thus not readily accessible to decision-makers and stakeholders.
Lack of regional level capacity building and coordination: No organization is currently responsible for
regional level capacity building on behalf of the participating countries, as the current array of regional
organizations either lack full regional membership or have an insufficient mandate to address regional issues
in an ecosystem context. In those isolated instances where there are dedicated cruises in the region's national
and international waters, information gained is often not shared with the countries and participating countries
have generally not received the benefit of ship board training areas of oceanography and fisheries. A
concerted focus on priority oceanographic related management issues is difficult as countries have a shallow
layer of qualified people. Much of the focus of capacity building, and accompanying donor support has been
related to biodiversity conservation. These gaps will need to be addressed through a structured long-term
program, aimed at building a cadre of experienced resource managers. At present no organization has
assumed an over-arching coordinating role for regional activities. However, the ODINAFRICA project,
supported by KMFRI in Mombasa, Kenya (and who is also the coordinator of the Data and Information
Management Working Group for SWIOFP preparation) is serving a facilitative role with regard to data
collection and dissemination as it has begun to: ·
· Provide Scientists in the Western Indian Ocean Region with bibliographic information;· Prepare
and distribute various data products relevant to marine sciences of the WIO region:
· Promote communication between SWIO marine and fisheries scientists and marine and fisheries
scientists globally;
· Publicize marine and fisheries science of the SWIO region and other parts of the world; and
· Provide information equipment, software and training.
Absence of public participation, education and stakeholder involvement schemes: Public participation,
education and stakeholder involvement programs are virtually non-existent at regional level. Some national
level public participation and education activities through national and donor-funded projects at regional
level are underway but limited mainly to coastal zone areas. No current institution has the mandate to expand
public participation and related activities to regional level and to strengthen regional level capacity to
undertake and sustain regionally based public participation activities. A key element to building
governmental support for a regional approach to LME management and thus for SAP approval and execution
will derive from growing public support for the approach. Thus the absence of regionally based public
participation and education approaches is a barrier to realization of this objective. The need for a structured
stakeholder awareness program is now recognized as a priority by NEPAD.
The SWIOFP Perspective within the LME Modular Assessment
The SWIOFP has adopted a scientific and capacity-building approach as a first step in promoting a regional
model of environmentally sustainable management of fisheries. This model only becomes possible when
sufficient data are available that describe a fishery, the anthropogenic pressure on the various fish stocks, and
when a sufficient understanding of the environment in which the fish live exist to support an ecosystem
approach to that management. Data on key ecosystem indicators are judged to be incomplete in the
following areas:
· Biological characteristics. Information on biodiversity in the ASLME area including habitats,
threats and monitoring, connectivity, taxonomic research and spatial species data.
· Fishing pressure. Valuable offshore fisheries are harvested predominantly by distant-water
fishing fleets from Europe and eastern Asia and the proportion of unreported catches is largely
unknown. As fish stocks elsewhere in the world are diminishing, more fleet operators are certain
to turn their attention to the commercial fish stocks along the East African coast until these
stocks have been exhausted and catches are no longer economically viable. This may be well
below the threshold of a biological sustainable population of commercial fish species.
Simultaneously, by-catches may already have put non-exploited fish species into commercial
extinction, with possible damage to biodiversity and the ecosystem of the WIO.
· Fish stocks. There are inadequate information about the species composition, distribution, and
behavior and migration patterns of non-commercial and non-commercial fish stocks in the
SWIO. It is unclear to what extent commercial marine resources are fully exploited and how
existing and potential exploitation of some fish stocks may impact on these non-target species.
The WIO has been classified by FAO has having future developmental potential and other
studies have also identified various fishery resources as under-exploited, particularly small
pelagic and off shore demersal fisheries. Nonetheless, there is debate about the potential for
further expansion.
· The effect of land based sources of pollution: Levels of primary production are highest around
margins of ocean basins near coastal areas. As a result, land based pollution can have a
particularly disruptive effect. Localized cases of pollution due to increased sedimentation in
rivers, and sewage/waste disposal have been reported in SWIO countries; however, detailed data
on primary production and the effects of land based pollution are unavailable.
· Linkages between ecosystems. The Somali and the Agulhas LMEs are unique and are of great
global importance. Yet there is generally little information about the LMEs and the systems
linking them, particularly the Somali LME, which has not been the focus of any scientific or
national studies.
4. Description
a) What is the rational for country participation in Project components?
The SWIOFP components are "thematic". Each country in the Project has the option to participate or not,
depending on whether the fishery to be assessed or activity to be undertaken is relevant to the country. The
major determining factor from the Project-side as to whether a country should participate in a Component
(decided by the countries themselves through Project Working Group Meetings) is whether the targeted
fishery or activity is "regional" in nature (i.e., excluding purely national stocks from SWIOFP). This ensures
that development of a regionally harmonized ecosystem-based approach to fisheries management within
SWIOFP is fully country-driven. In addition to the tuna and tuna-like species, fisheries resources that are
currently of particularly interest to the SWIOFP countries include smaller schooling pelagics, deep water
demersal species, deep water lobsters and crabs, langoustine, sharks, and squid.
Since the number of countries participating in a component varies, it was found necessary to appoint one of
the countries participating in a component to be a technical coordinator for that component.
The following matrix shows the distribution of countries participating in each SWIOFP component.
Table: 1 ** SCHEDULE OF EXPECTED LEVELS OF
COUNTRY PARTICIPATION
H=high; M=medium; L=low
ar
Component
Topic
Comoros
Seychelles
Mauritius
Madagasc
Kenya
Tanzania Mozambiqu
e South
Africa
France
1
Data & Information
Data collection
H
H
H
H
H
H
H
H
H
Data atlas
H
H
H
H
H
H
H
H
H
IT systems
H
H
H
H
H
H
H
H
H
2
Crustaceans resources
Deep
m
H
H
H
H
H
Shallow
H
M
H
H
M
3
Demersal resources
Deep
H
L
H
H
H
M
L
Shallow
h
M
M
M
M M L
4
Pelagic resources
Large
h
H
H
H
H
H
M
H
H
Small
h
H
H
H
H
M
H
M
super-small
l
M
H
M
L
H
L
5
MSC
Monitoring
H
H
H
H
H
H
H
H
H
Surveillance
H
H
H
H
H
H
H
H
H
6
Non-consumptive resources
Mapping
M
M
M
M
M
M
M
fisheries interaction
M
M
M
M
M
M
M
bio-indicators
M
M
M
M
M
M
M
7
Management
Compliance (indirectly related to
SWIOFP)
H
H
H
H
H
H
H
H
L
Legislation
H
H
H
H
H
H
H
H
H
Highlighted country is component
coordinator
b) What are the SWIOFP Components?
The project is designed to have seven components. Each component is subdivided into sub-components
which are further subdivided into specific activities and action steps (see also Table 2). A total of some 60
such activities were described during the development phase of the project which allows more specific
outputs from each component and is the basis for establishing costing and manpower needs. Assessment of
the SWIOFP project document for funding purposes by the World Bank is done to the subcomponent level.
Detailed description of each component is available in Annex 4.
Component 1: Data Gap Analysis, Data Archiving and Information Technology. The project will establish a
regional data management system, managed by staff of the Regional Coordination Unit (with skills specific
to this task) to underpin management of regional fisheries and undertake a gap analysis to identify the
specific research activities to be supported by the project. This regional database created during the first year
of the Project will continue to operate and service the participating and observer countries in SWIOFP,
expanding the database with new information from the SWIOFP ship cruises and other relevant data from
projects in the SWIO. The project database will include fields for existing data describing by-catch, and
provision for information from Project-leased and commercial vessels (that have Project observers
onboard).The gap analysis will rely on development of a data atlas of historic data describing offshore
fisheries of the WIO. A single regional fisheries database will be created using the data atlas, which reflects
published information, along with repatriated and consolidated data from various sources. National fisheries
related IT and communications infrastructure will also be procured or upgraded for each of the nine countries
along with training in data handling and reporting. The French Government has agreed to provide
STATBASE (an archival software system for fisheries statistics developed for a similar activity in West
Africa) to SWIOFP to facilitate archiving of existing data, and development of the data gap analysis. This
database will be transferred and/or mirrored to an existing regional fisheries management body such as the
SWIOFC at the conclusion of the Project and with the mutual consent of all SWIOFP countries.
Inputs: i) Protocols will be developed and mutually agreed that define how fisheries data are to be
shared between SWIOFP countries. Once these are in place, each country (including where possible,
Somalia) will inventory, collect and transfer copies of all relevant written output and raw data
describing shared fisheries resources to the country hosting the regional database; ii) consultant
assistance to collect data describing regional fisheries held outside of Africa by public and private
institutions and commercial fishing fleets
Outputs/Outcomes: i) Each country will analyze data relevant to components in which it will
participate and identify specific gaps in existing data that would collectively form the gap analysis
used to identify the data collection program facilitated by SWIOFP; ii) A workshop consisting of all
SWIOFP countries will be held at which a conceptual, harmonized, data gap analyses (by type of
fishery, i.e. demersal, pelagic, invertebrate) will be undertaken leading to synthesis of a year-by-year
data collection program, iii) GEF/OP2 support will allow inclusion of by-catch information and
information about fisheries related incidental mortality to marine organism other than fin fish and
crustaceans (sea turtles, marine mammals, sea birds, dugongs, etc.). These data would not ordinarily
be present in a fisheries management-oriented database. Also, SWIOFP will link with the ASLMEs
Project to host a distance learning website to share LME program information in compliance with
IW LEARN processes and systems.
Component 2: Assessment and sustainable utilization of crustaceans. The second component will undertake
an assessment of the stock dynamics of shallow and deep water crustaceans and their fisheries. Using ship-
based surveys, baseline assessment of crustacean stocks and fisheries will be undertaken in the EEZs of
Kenya, Tanzania, Mozambique, South Africa, Seychelles and Madagascar. In addition, evaluation will be
made of fisheries bycatch (which are substantial in crustacean fisheries), discard impacts, exclusion devices,
and overall ecosystems impacts of crustacean fisheries.
Inputs: i) targeted ship cruises on Project vessels; ii) data from Project "observers" on commercial
fishing vessels; iii) data supplied voluntarily by commercial fishing fleets and other international
programs operating in the Western Indian Ocean
Outputs/Outcomes: i) Identify current status of important species, threats matrix, and regional/sub-
regional management issues and needs; ii) preparation and adoption of national action strategies for
each fishery relevant to the various SWIOFP countries detailing how each relevant country will
address issues identified; and, iii) GEF OP2 funding will specifically lead to identification of
species most impacted by the commercial fishery, possible impact of the gear used on species
diversity, effectiveness of existing "excluding devices" in the fishing gear, identification of
opportunities for modifying fishing methods to reduce by-catch and possible use of the by-catch; iv)
Preparation and adoption of country specific, regionally harmonized, approaches to management of
specific fishery(ies) detailing the role of the environment and the role of anthropogenic impacts
(fishing pressure, habitat change, pollution, etc) in determining the nature of the fishery, and how the
participating countries will act to address both types of issues as noted by WSSD targets.
.
Component 3: Assessment and sustainable utilization of demersal fishes (excluding crustaceans). This
component will support assessment of the stock dynamics of demersal species and their fisheries. Ship-
based surveys will be used to undertake a baseline assessment of demersal stocks and fisheries and evaluate
demersal fisheries by-catch, discard impacts, exclusion devices, and ecosystems impacts in the EEZs of
Kenya, Tanzania, Mozambique, South Africa, Seychelles and Madagascar.
Inputs: i) targeted ship cruises on Project vessels; ii) data from Project "observers" on commercial
fishing vessels; iii) data supplied voluntarily by commercial fishing fleets and other international
programs operating in the Western Indian Ocean
Outputs: i) Identify current status of important species, threats matrix, and regional/sub-regional
management issues and needs; ii) preparation and adoption of national action strategies for each
fishery relevant to the various SWIOFP countries detailing how each relevant country will address
issues identified; and, iii) GEF OP2 funding will specifically lead to identification of species most
impacted by the commercial fishery, possible impact of the gear used on species diversity,
effectiveness of existing "excluding devices" in the fishing gear, identification of opportunities for
modifying fishing methods to reduce by-catch and possible use of the by-catch; iv) Preparation and
adoption of country specific, regionally harmonized, approaches to management of specific
fishery(ies) detailing the role of the environment and the role of anthropogenic impacts (fishing
pressure, habitat change, pollution, etc) in determining the nature of the fishery, and how the
participating countries will act to address both types of issues as noted by WSSD targets.
Component 4: Assessment and sustainable utilization of pelagic fish. This component will assess the stock
dynamics of large, small, and mesopelagic species and develop strategies to optimize small and large scale
pelagic fisheries, including fish aggregating devices (FADs). Activities will include ship-based surveys to
assess the potential of new and existing pelagic fisheries, studies on migration and movement of selected
large pelagic species (including sharks), and research on optimization and development of FADs for large
and small scale pelagic fisheries. Baseline assessment of pelagic stocks and fisheries will be undertaken in
the EEZs of all nine SWIOFP countries. This component is specifically designed to strengthen the projects
of the IOTC by focusing on activities related to smaller scale fisheries and by incrementally adding to the
design of the IOTC Tuna Tagging Program (using archival popup and sonic tags).
Inputs: i) targeted ship cruises on Project vessels; ii) data from Project "observers" on commercial
fishing vessels; iii) historic and recent data supplied voluntarily by commercial fishing fleets and
other international programs operating in the WIO.
Outputs: i) Identify current status of important species, threats matrix, and regional/sub-regional
management issues and needs; ii) preparation and adoption of national action strategies for each
fishery relevant to the various SWIOFP countries detailing how each relevant country will address
issues identified; and, iii) GEF OP2 funding will specifically lead to identification of species most
impacted by the commercial fishery, possible impact of the gear used on species diversity,
effectiveness of existing "excluding devices" in the fishing gear, identification of opportunities for
modifying fishing methods to reduce by-catch and possible use of the by-catch; iv) Preparation and
adoption of country specific, regionally harmonized, approaches to management of specific
fishery(ies) detailing the role of the environment and the role of anthropogenic impacts (fishing
pressure, habitat change, pollution, etc) in determining the nature of the fishery, and how the
participating countries will act to address both types of issues as noted by WSSD targets.
Component 5: Monitoring of fishing effort and catch, existing value, and exploitation conflicts. The project
will build capacity for regional management by developing and testing fisheries monitoring techniques. The
component will support training of scientific observers at sea; monitoring of commercial landings and
establishment of land based monitoring and data verification systems; establishment of discharge monitoring
programs in support of the GEF Marine Electronic Highways Project; aerial surveys and data collection to
monitor fishing effort in select areas of the SWIO; linkage of communication infrastructure; and foster
development of coordination mechanisms and verification systems in support of other bilateral projects
aiming to develop a regional Vessel Monitoring System. It will also support an assessment of the financial
value of exploited fisheries and use conflicts that might exist because of exploitation (and particularly
exploitation by foreign fishing fleets).
Inputs: i) Simultaneous, seasonally stratified, air surveys of exploited areas (taking into account the
target fisheries); ii) input of MCS data from ongoing government activities and from programs
funded by donors; iii) consultant assistance to determine value, and fishery-specific value chains of
commercial fisheries; iv) capacity building and training
Outputs: i) Part of overall Project output leading to agreements between countries sharing fishery
resources that improve harmonized MCS actions; ii) Agreements between countries that each will
recognize regional pressure and the need to consult as precursor to setting exploitation limits on a
fishery (particularly regarding licensing of foreign fishing fleet access to its 200 mile EEZ)
Component 6: Mainstreaming biodiversity in national and regional fisheries management. This component
will be financed under the GEF Biodiversity Focal Area. The Component approach will include specific
activities that lead to an understanding of the overall relationships between fisheries and biodiversity
processes and species diversity and how these relationships can be managed at the national and regional
levels. Typical examples will include:
· A regional approach to by-catch assessment and reduction in all fishery types
· Identification of biodiversity "hotspot" issues, such as spawning aggregations and nursery areas
· Understanding the possible impacts of fisheries on seed populations, larval transport.
· Ecological implications of selective removal of target species, such as top predatory sharks
· Identification and understanding of the inshore/offshore dynamics of several key commercially
valuable species and associated biodiversity
· Potential impact of changes in fishing technology, including Fads.
Without an improved understanding of the relationship between fisheries in the SWIOFP region and the
associated biodiversity, any future decision support of fishery development could be flawed and
compromised. While it is recognized that such topics are often difficult to investigate, this is no reasons to
ignore their probable implications on long term sustainable fishery development and an ecosystem approach.
This component will undertake an assessment of the interaction between non-commercial marine resources
(such as sea-birds, turtles and other species) and commercial fisheries. Studies will be funded out of a grant
fund and would generate a baseline assessment, GIS mapping of key species, assessments of marine
biodiversity as alternative sources of income and identification of bio-indicator species and relationships
between target species and ecosystem health. The following sub-components and activities are planned under
Component 6:
Inputs: i) Data from Project "observers" on commercial fishing vessels; ii) competitive research
grants to regional universities funded by the Project to investigate success of "excluding devices" in
fishing gear and pilot new measures to minimize fishing impact on important species; iii) linkage to
other government/donor and international biodiversity assessment and management activities within
and outside the WIO; iv) data from Project vessels through harmonized cruises for other Project
components
Outputs (largely contributing to OP#2): i) Biodiversity map including indications of sensitive areas
for reproduction and rearing of sensitive species; ii) Action plan detailing issues and actions related
to fishery exploitation impacts on non-target species and how nations of the SWIO will manage
commercial fishing impacts (production systems) on biodiversity (establishing legislation; (iii)
Establish an ongoing monitoring program that includes Monitoring, Control and Surveillance of
Action Plan implementation and that will allow comparison of the biodiversity, ecosystem health
and status of exploited fisheries against the baseline established by SWIOFP
Objectives and functions of the SWIOFC
Without prejudice to the sovereign rights of coastal States, the Commission shall promote the sustainable
utilization of the living marine resources of the area of the Commission, by the proper management and
development of the living marine resources, and address common problems of fisheries management and
development faced by the Members of the Commission. To this end the Commission shall have the following
functions and responsibilities:
1.
to contribute to improved governance through institutional arrangements that encourage cooperation
amongst members;
2.
to help fishery managers in the development and implementation of fishery management systems that take
due account of environmental, social and economic concerns;
3.
to keep under review the state of the fishery resources in the area and the industries based on them;
4.
to promote, encourage and coordinate research related to the living marine resources in the area and draw
up programmes required for this purpose, and to organize such research as may be necessary;
5.
to promote the collection, exchange, dissemination and analysis or study of statistical, biological,
environmental and socio-economic data and other marine fishery information;
6.
to provide a sound scientific basis to assist Members in taking fisheries management decisions;
7.
To provide advice on management measures to member governments and competent fisheries
organizations;
8.
to provide advice and promote co-operation on monitoring, control and surveillance, including joint
activities, especially as regards issues of a regional or sub-regional nature;
9.
to encourage, recommend and coordinate training in the areas of interest of the Commission;
10. to promote and encourage the utilization of the most appropriate fishing craft, gear, fishing techniques and
post harvesting technologies;
11. to promote liaison with all competent institutions within the area served by the Commission and adjacent
waters, including in particular any agreement or arrangement for the management and conservation of the
high seas non-tuna fisheries resources of the Southern Indian Ocean, the Indian Ocean Tuna Commission,
the South East Atlantic Fisheries Organization and the Commission for the Conservation of the Antarctic
Marine Living Resources;
12. to seek funds and other resources to ensure the long term operations of the Commission;
13. to draw up its plan of work;
14. to carry out such other activities as may be necessary for the Commission to achieve its objectives, as
defined above.
Because it is virtually impossible to undertake a detailed design of the biodiversity component until existing
data are collected, processed and discussed on a regional identification of the detailed program to describe
biodiversity in the two LME's will not be possible until after the Data Atlas is produced (under Component
1). This will be after the first year of the Project. Once these biodiversity data are available to all countries,
a regional biodiversity component coordination meeting will be called by Mauritius (the coordinating
country for biodiversity in SWIOFP).. This meeting will prepare the detailed work plans for field data
collection to be supported under the Project. These will include how the Project scientific observers will be
deployed on commercial fishing boats and Project research vessels, how these data collection programs will
link to data collection from other component of SWIOFP, and the ASCLMEs and the WIO-LaB Projects.
The Grant Agreement will include a condition of disbursement that specifies Bank and GEFSEC Monitoring
Unit "no objection" to this detailed workplan before disbursement of funds under the Biodiversity Focal
Area can begin.
Component 7: Strengthening regional and national fisheries management. The last component will support
the emerging regional fisheries management framework in the SWIO and build capacity in regional and
national fisheries management bodies. The project will work closely with the SWIOFC to establish a
regional PMU and build the capacity of national project offices to undertake project activities. The
project will also assist with the regional harmonization of national fisheries regulations.
Inputs: i) Support for Project staff (scientific and regional management) to participate in meetings
of regional bodies relevant to resource management in the WIO; ii) Provide relevant research
advice to an established regional fisheries management body; iii) publication of activities and
interim results from SWIOFP to keep relevant government and non-government groups appraised of
Project progress; iv) meetings of national legal officers to draft agreements for regional
endorsement, provide legal expertise for regional harmonization of national fisheries
legislation , and strengthen a regional fisheries management authority as may be required by
participating countries
Outputs: i) legal agreements and memoranda of understanding between two or more SWIOFP
countries facilitating regionally harmonized resource management; ii) a stronger regional
management structure for management of shared or straddling fisheries resources through leveraging
development of the SWIOFC; iii) . Legal agreements and memoranda of understanding between two
or more SWIOFP countries facilitating regionally harmonized resource management. These
agreements and regionally harmonized management plans will be for specific fisheries shared
between the participating countries and will collectively feed into the TDAs and SAPs for the
Agulhas and Somali Currents LMEs, and
In addition to the activities of specific components, there will be cross-cutting specialist activities, some of
which will be integrated with the ASCLMEs Project and will likely include studies on ecosystem effects,
training, bio-economics and marketing, and conflict resolution. Project costs by component and finance
source is presented below.
TABLE 2. COMPONENT FINANCING SUMMARY (US$)
Component Total
GEF
Total GEF
GEF Actual
Alternative
Incremental
OP8 &OP2
1
Data gap analysis, data archiving
6.89 4.61 2.4
and information technology
2 Assessment
and
sustainable
21.83 7.73 3.0
utilization of crustaceans
3 Assessment
and
sustainable
22.62 8.1 3.0
utilization of demersal fishes
4 Assessment
and
sustainable
43.03 3.8 1.0
utilization of pelagic fish
5
Monitoring of fishing effort and
33.96 4.17 1.0
catch, existing value, and
exploitation conflicts
6 Mainstreaming
biodiversity
in
7.5 2.25 .0.5*
national and regional fisheries
management
7 Strengthening
regional and national
9.96 4.45 1.1
fisheries management
145.79
35.11
12.0
(*US$ 3 million has been earmarked for funding under the biodiversity focal area. The total GEF costs for Biodiversity related
activities are spread under components 1,2 ,3 & 4 and are estimated at US$ 2.5 million. Therefore the total GEF incremental cost for
Biodiversity adds up to US$ 3 million (2.5+.0.5))
c) How will SWIOFP be implemented?
Implementation of SWIOFP will occur in three stages, namely:
Stage 1: The first stage of 12-18 months will focus on collection and analysis of existing data including data-
gap analysis, harmonization of data collection and analysis procedures for new data, and initiation of core
capacity building. SWIOFP will identify regional management issues and responses as its major outcome.
Real capacity needs cannot be fully identified until after the Project is nearing completion and the
assessments of which fisheries are priorities have been and discussed on a regional basis (a detailed capacity
building plan would be one output of SWIOFP and provide guidance for funding needs in follow-on
activities). As such, capacity building in SWIOFP will be limited to that needed to undertake the Project.
This will include:
· The Project includes support to allow sharing of regional fisheries knowledge and experience
between countries. There are several very strong fishing nations in the Project such as France
(IRD, IFREMER), Seychelles, South Africa, Mozambique and Mauritius. The Project has been
designed to allow this experience to be shared and used in a "South:South" partnership to build
experience of countries that are not as strong or have as long a history of offshore fisheries
management;
· Training programs will mainly focus on "On-The-Job" activities. The Nansen Program that will
be involved (under bilateral arrangements with the Ministry of Foreign Affairs, Norway and the
FAO) includes ship-based Norwegian experts and experts from the Institute for Marine Research
of the Norwegian Directorate of Fisheries that will be involved in daily SWIOFP operations;
· The Project will support short training courses and a small number of BSc/MSc degree courses
in African universities;
Stage 2: Once the activities of stage 1 are complete and a data collection program has been designed to fill
the gaps in existing knowledge of the offshore fishery, the field monitoring program will begin to collect
new information describing fish stocks and basic systematics, and fishing pressure in the Project study area.
Collection of new data and establishment of a baseline is expected to run for 24-36 months.
Stage 3: Once the baseline is established and data analyzed, Stage 3 of the Project will begin. During this
stage, the countries will identify regional issues that need to be addressed by SWIOFP countries. This will
include a harmonized and mutually agreed set of priority actions that each country agrees to undertake to
address the identified regional issues. Once this has been completed, SWIOFP will provide input into
preparation of two TDA's and one SAP4. (one TDA each for the Somali Current LME and one for the
Agulhas Current LME, and a SAP for the ACLME). The UNDP-implemented ASCLMEs Project will host
and drive the production of these TDA's and SAP's, while SWIOFP provides finance for its own
participation in the work. This last stage is expected to take 18 months and will lead into development of a
follow-on project to SWIOFP.
SWIOFP also includes a commitment of at least US$150,000 to allow relevant staff and managers to
participate in international GEF international waters and biodiversity conferences, and to produce project-
related information for presentation at these meetings.
5. Financing
Total Project Finance Breakdown (US$)
Source: ($m.)
BORROWER/RECIPIENT 0
GLOBAL ENVIRONMENT FACILITY
12
LOCAL SOURCES OF BORROWING COUNTRY
7
BILATERAL AGENCIES (UNIDENTIFIED)
12
French GEF
1
NORWAY: MINISTRY OF FOREIGN AFFAIRS
3
Total
35
6. Implementation
Coordination Between IA's and Project beneficiaries
The SWIOFP will rely extensively on partnerships for implementation and financing of project activities.
SWIOFP will be implemented in partnership with several institutions: (i) The GEF; (ii) the countries
themselves; (iii) France (through technical assistance and the French GEF); (iv) Norway (through the
Fridtjof Nansen Program); (v) South Africa through use, and cost-sharing, of its fisheries research vessels
(vi) Seychelles through use, and cost-sharing, of its fisheries research vessel; (vii) Tanzania through use and
cost sharing of its fisheries research vessel; and (viii) FAO and the emerging Southwest Indian Ocean
Fisheries Commission. All of these partners will provide in kind or financial support to SWIOFP
implementation. French assistance will be parallel finance through provision of several leased vessels that
can be used to undertake SWIOFP activities. These vessels will be funded for a specific number of days per
year. Norway will provide part of the cost of its scientific research vessel, the RV Fridtjof Nansen- mainly
the crew, scientists on board, maintenance and scientific consumables. The RV Fridjtof Nansen will also be
4 The TDA for the ASCLME will by definition not be definitive due to the political instability in Somalia, making on
the ground work in that country not possible at this time.
used by the ASCLMEs Project, which will share the operational costs with SWIOFP when the vessel is used
for joint activities.
An unusual nature of the finance of SWIOFP is that there will be a proportionally greater amount of
counterpart contribution than usually seen in similar projects. Besides the usual contribution of staff, office
space and support services by participating countries, the Project will have access to research vessels from
South Africa and Seychelles. These countries will contribute maintenance and equipment while the Project
pays for operational costs (mainly fuel). Finally, the country to host the regional coordinating PMU has
agreed to provide office space and other support services to house the unit. The SWIOFP regional PMU will
also have some functions in common with its sister Project, the ASCLMEs, which will allow cost-sharing
between these two Projects. Annex 17 provides further elaboration on the partnership arrangements.
Consultation, Coordination and Collaboration between and among IAs and Projects
The Implementing Agencies (UNDP, UNEP and the WB) have been and will continue to work
collaboratively toward the realization of the overall objectives of the ASCLME Program. Each of the three
IAs has been represented at most of the preparation sessions for the respective projects of the Program. The
WB implemented SWIOFP project and the UNDP implemented ASCLME project were developed in close
collaboration between the respective Project Managers and other expert resources associated with the two
projects. These two projects have collaborated closely in developing their respective baselines and logical
frameworks. The latter accommodates outputs of the WIO-LaB project. In addition, UNDP has ensured that
the project has been designed to complement other planned and complementary GEF projects within the
ASCLME region, in Africa and globally. A list of the relevant projects is provided in Annex 10 of the
Project Document.
The Program Coordination Committee (PCC) would be comprised of members from each of the projects.
Overall responsibility for coordination will be assumed by the ASCLMEs project. Each of the projects would
be represented on the PCC by the respective task team leaders for the IAs, Project Managers, and two
members from each of the respective Project Steering Committees. The PCC would meet not less than once
annually, and will meet at the call of any of the project managers. Among other things, the PCC would focus
on establishing a unified approach to capacity building, LME module coverage, TDAs and SAPs
development, donor recruitment and other related issues. The UNDP, working through the PCC would also
ensure that projects in combination, and in relation to other related GEF projects and program operative in
the region.
The UNDP ASCLMEs project will also assume ultimate responsibility for the development of the TDAs and
SAPs that will be a principal product of the programmatic approach. It is foreseen that a two TDAs and two
SAP s will be prepared within the programmatic approach for the two LMEs, one for the Agulhas Current
LME and a separate TDA and SAP for the Somali LME5. The UNDP ASCLMEs project will utilize TDA
and SAP inputs from the WIO-LaB and SWIOFP projects in final TDAs and SAPs preparation, utilizing also
Interministerial Committees (IMCs) and technical workgroups as necessary to assure a comprehensive TDA
and SAP for the Agulhas LME and a preliminary TDA for and SAP for the Somali LME. A harmonized
implementation structure for the projects has been agreed:
· Each of the Project Managers will sit on the respective Project Steering Committees established
under the Program to assure a continuing and effective set of programmatic linkages, the
avoidance of activity duplication, and the creation of cost efficiencies at the administrative level.
· The Regional Management Office of SWIOFP will house the Ship Coordination Specialist. This
expert will be an ASCLME Program officer and the funding to support the position, including
provision of office space and support, will be assumed by SWIOFP.
· The Regional Management Office of the UNDP ASCLMEs project will house the ASCLMEs
Information Systems Officer. This expert will be a ASCLMEs program officer and funding to
support the position, including provision of office space and support, will be assumed by the
UNDP ASCLMEs project.
5 As previously mentioned, it will not be possible to do a comprehensive TDA and SAP for the Somali LME due to the
continuing instability in Somalia, which comprises a large shoreline area for the Somali LME. Emphasis at the early
stages would be on completing a preliminary TDA for the Zanzibar Current area.
· Annual Work Program for the three projects will be prepared jointly, using the vehicle of an
annual Program meeting. The responsibility for hosting this meeting will alternate among the
projects, and the UNDP ASCLMEs project will be responsible for overall coordination. Further,
the annual program meetings will include comprehensive reports from each of the projects on
the status of information gathering pursuant to TDAs and SAPs preparation.
· There will be a UNDP ASCLMEs/WB SWIOFP Coordination Committee whose membership,
as initially discussed, will include the National SWIOFP Manager of each SWIOFP country and
the Regional Executive Secretary, and the senior member of the UNDP ASCLMEs Project
Steering Committee from each country and the ASCLMEs project manager. This group will
meet immediately before and in conjunction with the Annual Work Program meeting. This will
be a technical meeting and deal with inter-project coordination issues. Chairmanship of the
meeting will alternate among the Project Managers.
· EcoAfrica will execute the DLIST project on behalf of the UNDP ASCLMEs project and for the
benefit of the three projects within the ASCLMEs Program as a whole. EcoAfrica has
successfully assumed such a role for the GEF supported Benguela Current Large Marine
Ecosystem project.
The project will be implemented on the national and regional level. The project management structure will
consist of three units: a high level political steering committee, a Regional Executive Secretariat, which will
act as the project's core operational unit and national management units for each of the participating
countries. The bulk of implementation of the technical aspects of SWIOFP will occur through National
Management Units that are entirely staffed by civil servants. The Regional Executive Secretariat will act as
a kind of Project Management Unit which will provide financial, regional procurement, ship coordination
and harmonization services to the National Management Units. The Political Coordination of the Project
will be managed by a Regional Political Steering Committee with delegates being "permanent secretary-level
staff" that has authority to speak for their respective governments.
The Regional Executive Secretariat will be staffed by four full-time persons: 1) a Regional Executive
Secretary (who will head a Regional Management Board), 2) a Data and Information Technology Manager
whose major role will be to oversee management and maintenance of the regional database, 3) a Regional
Procurement and Financial Manager and 4) a Ships Manager to coordinate and integrate use of the various
vessels undertaking SWIOFP and ASCLMEs survey work. Regional Coordination will be established in one
country using a selection criteria determined by the nine countries. The regional coordination unit will also
be integrated with the ASCLMES Project secretariat and national management structure. This will aid in the
planning and utilization of sampling activities and ships time. For greater detail, see Annex 6.
There will be a standard structure for National Management Units in each country including the following
posts: a National Executive Secretary, a Sub-component Manager, a National Procurement and Financial
Manager and different Project Leaders. Some countries will host a specific Component Coordinator such as
for Pelagic fish (Seychelles), Demersal fish (Kenya), Crustaceans (South Africa), non-consumptive resources
(Mauritius) and Monitoring (Madagascar). Although Component Coordinators will be situated in a given
country, their responsibilities will have a regional scope. All national project management and coordinating
staff will be civil servants.
The proposed project management structure of SWIOFP was developed in a transparent way by all
participating countries, and will operate solely as a means to achieve project implementation. It will,
however, have a mandate to work in harmony with and support existing regional institutional frameworks
and management agreements in place when the program begins. It is intended that SWIOFP, and its project
implementation structure, will support and strengthen management mechanisms that are already in place,
rather than replace them.
Flow of Funds:
The total amount of money for the regional SWIOFP will be apportioned to the various SWIOFP member
countries reflecting each country's agreed obligation to contribute to those Project components and
subcomponents in which they have agreed to participate. This gives direct technical and financial
management responsibilities to countries participating in SWIOFP and facilitates overall Project financial
management through the regional executive secretariat, without compromising the contractual obligations
that each country will have with the Bank through the individual Project Grant Agreements (8 needed -
France is a participant in the Project but not a beneficiary of the GEF grant). Funds to support the
coordination activities of the regional executive secretariat and pay harmonization activities between two or
more countries will be retained by the regional office. Interest accrued on this special account will be
retained in the Project Special Account and used equally to support SWIOFP activities of all countries
7. Sustainability
The initiative to promote ecosystem management of natural resources through an LME assessment involving
a suite of 3 separate projects is a complicated initiative. It will involve a large number of countries, many
institutions, and three separate but closely integrated operations under a common program. Clearly, this
presents administrative and logistic hurdles and an element of risk at both the program and project levels
which may affect long term sustainability. However, as the preparation phase was extremely thorough and
involved participation by all parties, this risk is substantially reduced. In spite of this inherent complexity, the
extensive partnership arrangements developed and envisaged by the SWIOFP and the ASCLMEs and WIO-
LaB Projects, will increase the sustainability of project investments by incorporating project outcomes into
on-going and long term development initiatives and, also the institutional sustainability.
At the LME program level, a number of on-going political processes within the region provide the
foundations for ensuring the political sustainability of interventions, and level of confidence that an
ecosystem management framework for the Agulhas and Somali Currents LMEs will be operationalized as
part of SAPs implementation. These processes include those related to NEPAD, the Nairobi Convention,
SADC, and the SWIOFC. The LMEs program has established early linkages with the SWIOFC, and while
the ASCLME Project and SWIOFP projects will be able to assist the SWIOFC over the period of project
implementation by fulfilling many of the objectives that are foreseen by the SWIOFC, the SWIOFC will
continue to exist beyond the life of the program and thus will be an instrument of sustainability over the
longer term. The Nairobi Convention will also be a key vehicle for assuring the longer term sustainability of
the outcomes. Finally, the overall program will help leverage resources from national budgets, and multi-
lateral and bilateral funders to implement the activities identified as priorities in the SAP. Interventions will
help match funding needs with prospective funding sources. Economic evaluations of the costs and benefits
of LME management will provide a basis for justifying budgetary appropriations to the Program including
from fishery license fees. This will be facilitated through efforts to mainstream activities within Poverty
Reduction Strategies and Disaster Mitigation Program, which influence the budget plans of governments and
donors.
At the project level, participating countries in SWIOFP have designed this project to help ensure that
sustainable benefits accrue either through direct exploitation of the fisheries resources themselves or through
more scientifically informed granting of access rights. The data on national fish stocks is expected to
improve the ability of member countries to more efficiently regulate their commercial fisheries and possibly
increase the revenue associated with them, while the development of the longer-term resource management
model accommodates a revenue-generating scheme based on the use of EEZ marine resources in an
environmentally and socially sustainable way. See also section C.4 of the Project Brief.
It is envisaged that, after the five-year SWIOFP is completed, a 7-10 year follow-on program will be
initiated. This second phase would be oriented more towards sustainable exploitation of fisheries identified
as having commercial value, and more effective management over impact of commercial fishing on "non-
target" species, such as seabirds, large mammals, turtles, etc.
Financial Sustainability: The SWIOFP countries have undertaken the design and implementation with the
clear belief that the Project will help ensure that sustainable benefits accrue either through direct exploitation
of the resource themselves or through more scientifically informed granting of access rights. The data on
national fish stocks generated by the project is expected to improve the ability of SWIOFP countries to more
efficiently regulate their commercial fisheries and possibly increase the revenue associated with them. The
development of the longer-term resource management model of SWIOFP accommodates a revenue-
generating scheme based on the use of EEZ marine resources in an environmentally and socially sustainable
way. This includes assessing levies, access rights, permit fees and other instruments and making
recommendations for more appropriate fees based on the true value of the resource, It also includes
development of a "retention" mechanism that will provide for the permanent funding of resource
management and scientific assessment that is based on the value of the fisheries resource use fees and rentals
collected by government.
It is envisaged that after the five-year SWIOFP is completed, a 7-10 year follow-on program will be initiated
to focus upon management. The second phase of this long term commitment to sound regional marine
resource management would be oriented more towards sustainable exploitation of fisheries identified as
having commercial value, and more effective management over impact of commercial fishing on "non-
target" species such as seabirds, large mammals, turtles, etc. This is particularly important since the demand
for investment in developing offshore fisheries will continue to grow even in the absence of sustainable
management options. SWIOFP will be an important means of shifting fisheries management in the SWIO
countries towards adoption of an ecosystem approach. The SWIOFC and other regional institutions are also
expected to provide forum for leveraging funds for the activities identified for future phases of SWIOFP.
Institutional sustainability: Financial sustainability of the project's outputs will be assisted by the regional
nature of the project, the relatively low long term financial burden created by project activities, and the
increased financial benefits associated with more efficient fisheries regulation. Although SWIOFP will create
a regional PMU that will be hosted by a participating country, it will by project end, incorporate itself within
a regional institution to be determined by the SWIOFP participating countries. The primary tasks of the staff
of the regional PMU will be to manage data collection and regional project coordination. The former will not
be required after the project's end and the latter will most likely be transferred to the Southwest Indian
Ocean Fisheries Commission.
8. Replicability:
Replication of SWIOFP achievements will focus on scaling-up regional and sub-regional management
activities based on the outputs of the fisheries management plans rather than on geographical expansion.
The SWIOFP lays the groundwork for embarking on a long-term development strategy for offshore fisheries
including the likelihood of spinning-off many sub-regional projects using SWIOFP's scientific/information-
based approach to management. The Programmatic Approach, through its use of the three IAs to undertake
specific projects within the Programme based on comparative advantage, is a promising approach for
replication in other, future GEF IW projects. Further, the emphasis on establishing strong scientific baselines
across a broad range of oceanographic and biodiversity values is also an approach that could be replicated in
other developing regions where a modular approach is being applied to the management of LMEs. The
elements of SWIOFP that will be replicated through potential follow-on projects are:
·
Targeted and prioritized capacity building appropriate to the likely commercial gain from sustainable
management of a fishery(ies);
·
Mainstreaming ecosystem-based management of shared fisheries resources through continuing baseline
monitoring programs and scientific linkages between SWIO countries;
·
Promoting regionalization of shared fisheries resources by continued support to existing regional bodies
such as the SWIOFC, maintaining a regional database of fisheries and offshore environmental data
available to all fisheries managers in the West Indian Ocean, and promoting scientific links and regular
interactions between scientists in the SWIOFP countries.
Stage 3 of the project (the last 43 to 60 months) is designed to assist participating countries in developing
this "post SWIOFP" phase and, as part of implementation of stage 3, funds will be earmarked for workshops
and production of specific regional, sub-regional and national plans. Replication will also be greatly assisted
by the project's close alignment with regional institutions with a mandate covering SWIO LMEs. It is
forseen that the project will result in establishment of comprehensive scientific information base that will
serve as a platform for informing long-term management decisions for shared waters, fisheries and
biodiversity. This is an approach that could well be of use for other GEF IW initiatives. The programmatic
approach to public participation and community education through the incorporation of DLIST and other
stakeholder involvement activities across a range of GEF projects in the SWIO region is also an approach
that could lend itself to useful replication in other development regions where the GEF has cross-
Programmatic interventions planned or underway.
The Project will take advantage of the IW:LEARN to develop training courses at the regional level and will
be used to help both disseminate and harvest lessons/ good practices to and from other projects. SWIOFP,
in close cooperation with ASCLMEs also aims at building the capacity among transboundary water resource
projects worldwide through Internet-based applications, networking within a community of practice, and
knowledge management. The information systems and networking initiatives planned through the
ASCLMEs (with SWIOFP input) will be closely tied to IW Learn information systems. Provision is made for
south-south knowledge transfer, which would benefit from the IW Learn network, and the participation of
project stakeholders in IW Learn sponsored conventions, including the biennial GEF IW Conference6.
SWIOFP and the ASCLMEs share the person responsible for overseeing this activity (the data and
information systems specialist for both projects), but the specialist will be within the ASCLME coordination
office in South Africa.
A minimum of US$150,000 is earmarked in the SWIOFP budget to allow relevant staff and managers to
participate in biennial GEF IW and biodiversity conferences, and to produce project related information for
presentation.
9. Lessons Learned from Past Operations in the Country/Sector
International best practice highlights a number of issues for improved fisheries management including the
need to link governments, communities and fishers in co-management of resources provide habitat protection
to rejuvenate depleted stocks, change exploitation patterns to avoid excessive discards or immature catch,
and adjust fishing capacity and licensing to match resource constraints. Experience from other fisheries
management initiatives also show achieving such objectives requires effective institutions to support
resource management and a sound body of knowledge upon which decision making can be based. Lessons
have been drawn from various initiatives and programs. Annex 2 provides details on the linkages to the
various projects that have influenced the design of this project.
Historically, management of marine resources in the WIO has been fragmented and uncoordinated. Political
instability and poor capacity has resulted in nations failing to benefit from their marine resources. The
benefits of these fragile and limited marine resources only seem to accrue to fishing nations other than the
coastal states themselves. Countries of the region have joined together in regional efforts to better manage
regional resources. Organizations like the IOC, the IOTC and the SWIOFC (and associated High Seas
Fisheries Agreement) provide opportunities for countries riparian to the WIO to meet and discuss regional
issues related to fisheries and management of regional stocks. There are also scientific activities sponsored
by these groups (such as the Tuna Tagging Program of the IOTC and the SADC program for Monitoring,
Control and Surveillance of fishing pressure. But these programs and organizations are either focused on a
single fishery (tuna) or do not include all countries in the region.
SWIOFP is an initiative aimed at consolidating the scientific activities of all African countries that are
riparian to the WIO, and it begins a process whereby these countries can make sensible decision about the
value of the resource and appropriate budget needed for their sustainable and equitable management. To
achieve this, preparation has followed a strict process of stakeholder involvement through a participatory
process. All SWIOFP countries shared responsibility for designing (and eventually, implementing) the
Project, which has resulted in a strategy of national implementation with regional coordination.
The LME approach to fisheries also highlights the need for fisheries development to be better integrated with
ecosystem management, which often calls for an additional level of integration and coordination between
assessment of the various fisheries and evaluation and description of the environment in which the fish live.
6 A minimum of US$150,000 is earmarked in the SWIOFP budget to allow relevant staff and managers to participate in
biennial GEF IW and biodiversity conferences, and to produce project related information for presentation
Implementation of LME programs have, up to now, been the responsibility of a single GEF-implementing
organization. Experience has shown that a single organization, even one as large as the Bank or as
technically focused as UNDP and UNEP, may have difficulty designing and managing such a large,
multisectoral undertaking. Although each of the 3 GEF implementing groups (World Bank, UNDP and
UNEP) has individual strengths, each also has weaknesses that do not become apparent until
implementations of multisectoral LME programs begin. The proposed assessment of the Agulhas and
Somali Current LME's using the standard LME modular approach with UNDP, the Bank and UNEP all
being involved is a pilot to see if all three implementing agencies can work together to design a stronger
LME program that will be implemented in a more efficient manner than at present. Project design within
this Programmatic Approach allows each implementing agency to concentrate on a specific technical area,
but requires that each project within the program participates in all preparation activities of the other project
and feed outputs from the other projects into its own project design.
Based on the above, and experiences with preparation and implementation of other regional projects in
Africa (Lake Victoria Environmental Management Project and the Lake Malawi Biodiversity Management
Project), the development of SWIOFP was accomplished in a fully participatory manner. Preparation was
coordinated through a SWIOFP Secretariat, hosted by Mozambique. Implementation of the Project will be at
the national level and each country will have its own National Secretariat, managed by a National
Coordinator. National Coordinators will be the government organization in each that that is currently the
Project preparation focal point. This ensures consistency and helps preserve institutional memory of original
Project objectives. Activities at the national level will be assigned to implementing institutions and run by
civil servants. National activities will be integrated into a regional component/subcomponent/activity by a
regional coordinating Project Management Unit.
10. Safeguard Policies (including public consultation)
Safeguard Policies Triggered by the Project
Yes
No
Environmental Assessment (OP/BP/GP 4.01)
[ ]
[X]
Natural Habitats (OP/BP 4.04)
[ ]
[X]
Pest Management (OP 4.09) [
]
[X]
Cultural Property (OPN 11.03, being revised as OP 4.11)
[ ]
[X]
Involuntary Resettlement (OP/BP 4.12)
[ ]
[X]
Indigenous Peoples (OD 4.20, being revised as OP 4.10)
[ ]
[X]
Forests (OP/BP 4.36)
[ ]
[X]
Safety of Dams (OP/BP 4.37)
[ ]
[X]
Projects in Disputed Areas (OP/BP/GP 7.60)*
[ ]
[X]
Projects on International Waterways (OP/BP/GP 7.50)
[X]
[ ]
The only relevant safeguard policy triggered by SWIOFP is that relating to Projects in International
Waterways. This policy requires all "riparians" to be informed and to consent to the Project. As all
countries riparian to the WIO within or bordering the Project Study Area are within and designed the Project,
de-facto approval is effectively given (and confirmed once each country signs the Credit Agreement to fund
the work).
11. List of Factual Technical Documents
12. Contact point
Contact: William Leeds Lane
Title: Sr Environmental Spec.
Tel: (202) 473-7325
Fax:
Email: WLane@ifc.org
* By supporting the proposed project, the Bank does not intend to prejudice the final determination of the parties' claims on the
disputed areas
13. For more information contact:
The InfoShop
The World Bank
1818 H Street, NW
Washington, D.C. 20433
Telephone: (202) 458-5454
Fax: (202) 522-1500
Web: http://www.worldbank.org/infoshop
Document Outline