request for project preparation grant (PPG)

Project Type: Full-sized project

the GEF Trust Fund

Submission Date: 15 February 2008

Re-submission Date: 25 March 2008

GEFSEC Project ID¹:      

GEF Agency Project ID: PIMS 4063

Country(ies): Indonesia, Malaysia and Philippines

Project Title: Sulu-Celebes Sea Sustainable Fisheries Management Project (SCS)

GEF Agency(ies): UNDP

Other Executing partner(s): UNOPS

GEF Focal Area(s): IW

GEF-4 Strategic program(s): SP-1

name of parent/program/umbrella project: ASIA Coral Triangle

a. Project preparation Timeframe

Start date	March 2008
Completion date	December 2008

b. project preparation activities ($)

The PPG process will include implementation of the following activities: Stakeholder consultation and engagement The PPG process shall engage the Tri-National Committee for Sulu-Sulawesi Marine Ecoregion and the national and local stakeholders through the lead agencies represented in the Committee. The first level of consultation will be with the Sub-Committee for Sustainable Fisheries of the Tri-National Committee where country delegations are selected by lead agencies, which are the Ministry of Marine Affairs and Fisheries (Indonesia), Ministry of Agriculture and Food Industry (Malaysia) and the Department of Environment and Natural Resources (Philippines) (Attachment 1). The Sub-Committee shall determine the composition of the project development team and the plan of work. The PPG activities will include the gathering of available information on the status of the small pelagic fisheries (both bio-physical and socio-economic) the site-based and transboundary issues affecting the fisheries, significant sites for urgent interventions, best fisheries management practices, management opportunities and challenges, rationale for collaborative action among the countries of Sulu-Celebes Seas and critical gaps in knowledge and enabling mechanisms. The consultation will likewise solicit inputs from the Fisheries Cooperation Working Group of the BIMP-EAGA Natural Resources Development Cluster. Relevant government agencies NGOs and other donors participating in the formulation of a Coral Triangle Initiative (CTI) will be consulted to ensure alignment with the agreed principles and proposed Action Plan for the CTI. The information shall be verified with national and local stakeholders through consultations, which will also serve as venues for filling in some of the information gaps. A tri-national workshop shall be convened to put together the stakeholder inputs into the proposed project scope and strategy for the fisheries management of the Sulu-Celebes Seas. Analysis of best fisheries management practices The stakeholder engagement will allow the gathering of information useful for analyzing best management practices in Sulu-Celebes Seas beneficial to the small pelagics and for identifying priority areas in the three countries where these can be demonstrated. The PPG shall determine the available opportunities and mechanisms for promoting the integrated management approach of Growth-Control-Maintenance (GCM) in the proposed demonstration sites. Appraisal of the fisheries, management systems, governance structures, and policies and gap analysis The stakeholder engagement will determine the data requirements, availability and sources of information and means to access the information to provide the basis for completing a thorough analysis of the status of small pelagic fisheries resources, management systems and governance structures. From the baseline data gathered, an analysis of the social and economic costs and benefits related to the sub-regional fisheries of the three countries will be assessed. The projected costs to the concerned economies given the present threats and interventions will be determined. Similarly, the socio-economic costs of the desired scenario of joint and collaborative actions of fisheries management by the three countries will be assessed. A comparative analysis will be made between the current and desired situations. The analysis shall also look at the policy, legal and institutional arrangements and agreements that support the integrated approach of Growth, Control and Maintenance in Sulu-Celebes Seas in line with the goal to regulate fishing pressure and reduce stress on the fish stocks. This will cover agreements and governance structures of the SSME at the tri-national level. Bi-lateral, national as well as local levels that are influenced by these larger agreements and structures will also be assessed. Other regional agreements and structures proposed to be included in the analysis are BIMP-EAGA, ASEAN, APEC, SDS-SEA Partnership and Coral Triangle Initiative. Relevant action plans, programs and projects under these agreements and governance regimes will be covered by this exercise. The analysis will examine the impacts of these existing agreements and governance strucutures on the status of existing fisheries resources/management, transboundary issues and priorities that will inform the design of the project. It will also seek to identify gaps in knowledge, site-based interventions, policies and capacities for enforcement and management that must be addressed to deal with both site-based and transboundary issues, which impact the small pelagic resources. Key policy, legal and institutional gaps identified during the assessment process will be addressed by the SAP. 4. Institutional reforms to address capacity gaps/needs A review of institutional reforms needed to catalyze improved and coordinated fisheries management at the local, national and tri-national levels will be undertaken. The analysis will determine strategies for the effective implementation of both prevention and enforcement activities to reduce overfishing and improve management and may include: 1) capacity-building to improve law enforcement across the tri-national borders; 2) improvement of licensing and monitoring system of fishing boats to address the issue of dual registration; 3) approaches to fishing effort management such as fishing gear restrictions, size limits of fish catch, closed fishing seasons, and zoning of fishing areas; 4) policy development; 5) strengthening effective institutional mechanisms; 7) collaborataive scientific capacity to inform effective fisheries management; and 8) capacity for effective monitoring and evaluation. 5. Project Scoping and Definition Based on the consultations and analysis described above the PPG will finance the definition of the Project scope and strategy. This will include the identification, analysis and description of: Background and context which will describe: Geographic scope Global significance The PPG consultation process Priority areas of concern (general priorities + demo sites) An analysis of root causes (based on preliminary TDA results) Legal, institutional, policy and socio-economic environment and gaps analysis (based on the preliminary TDA) Rationale and objectives which will include: Rational for a GEF intervention (Justification of added value of GEF) Local, national and global environmental benefits sought Project goals, objectives, outcomes, outputs and activities constituting the most effective response to the agreed fisheries issues to be addressed Targeted beneficiaries Stakeholder participation and partnerships Risks and assumptions Incremental costs and financing Cost effectiveness analysis Implementation and execution arrangements Monitoring and evaluation (including a logical framework that identifies a suite of IW indicators (process, stress reduction and environmental status) to track the project’s progress) Sustainability and replicability.
List project preparation activities	GEF Grant	Co-financing	Total
Stakeholder consultation and engagement	40,000	40,000	80,000
Analysis of best fisheries management practices	15,000	10,000	25,000
Analysis of existing regional agreements and governance structures	10,000	10,000	20,000
Institutional reforms to address capacity gaps/needs	20,000	10,000	30,000
Project Scoping and Definition	0	30,000	30,000
Total project preparation financing	85,000	100,000	185,000

* No PPG management costs will be covered by GEF financing.

c. PPG Budget Requesting Finance by GEF

Cost Items	Total Estimated Person Weeks (PW)	GEF ($)	Co-financing ($)	Total ($)
Local consultants *	18 (GEF)	24,750	30,000	54,750
International consultants*	17 (GEF)	38,250	20,000	58,250
Miscellaneous		0	10,000	10,000
Travel		22,000	40,000	62,000
Total PPG Budget		85,000	100,000	185,000

• National Consultant = 275/day x 5 = 1,375 per week x 18 =24, 750

• International Consultant = 450/day x 5 = 2,250 per week x 17 = 38,250

*Split between local and international consultants might be indicative and subject to the procurement guidelines of the
Agencies. Additional information regarding consultants should be provided in Annex A.

Co-financing sources:

UNDP: $20,000 (MFF)

Philippines: $20,000

Indonesia: $20,000

Malaysia: $20,000

NGOs (e.g. CI): $20,000

d. GEF Agency(ies) Certification

This request has been prepared in accordance with GEF policies and procedures and meets the GEF criteria for project identification and preparation.
John Hough UNDP/GEF Deputy Executive Coordinator, a.i.	Anna Tengberg UNDP/GEF Regional Technical Advisor
Date: 25 March 2008	Tel. and Email: Anna.Tengberg@undp.org

Annex A

Consultants Financed by the Project Preparation Grant (PPG)

Attachment 1: Composition of country delegation to the First Meeting of the Sub-Committee for Sustainable Fisheries, Tri-National Committee for Sulu-Sulawesi Marine Ecoregion, Kota Kinabalu, Sabah, Malaysia, 20-21 March 2007

CHAIR: Department of Fisheries Sabah (Malaysia)

DELEGATION OF INDONESIA:

• Research Center for Aquaculture Fisheries, Ministry of Marine Affairs and Fisheries

• Research Center for Capture Fisheries, MMAF

• Conservation and Marine National Parks, MMAF

• WWF-Indonesia

DELEGATION OF MALAYSIA:

• Ministry of Agriculture and Food Industry

• Department of Fisheries Sabah

• Department of Fisheries Malaysia

• Environmental Protection Department

• WWF-Malaysia

DELEGATION OF PHILIPPINES

• Bureau of Fisheries and Aquatic Resources, Department of Agriculture

• Conservation International-Philippines