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
Completion date
March 2008
December 2008
B. PROJECT PREPARATION ACTIVITIES ($)
The PPG process will include implementation of the following activities:
1.
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 socioeconomic) 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 SuluCelebes Seas.
2.
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
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Project ID number will be assigned initially by GEFSEC. If PIF has been submitted earlier, use the same ID number as PIF.
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mechanisms for promoting the integrated management approach of Growth-Control-Maintenance (GCM)
in the proposed demonstration sites.
3.
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, sitebased 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:
o Geographic scope
o Global significance
o The PPG consultation process
o Priority areas of concern (general priorities + demo sites)
o An analysis of root causes (based on preliminary TDA results)
o Legal, institutional, policy and socio-economic environment and gaps analysis
(based on the preliminary TDA)
- Rationale and objectives which will include:
o Rational for a GEF intervention (Justification of added value of GEF)
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o
o
o
o
o
o
o
o
o
o
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
Stakeholder consultation and engagement
Analysis of best fisheries management practices
Analysis of existing regional agreements and
governance structures
Institutional reforms to address capacity gaps/needs
Project Scoping and Definition
GEF Grant
40,000
15,000
10,000
Co-financing
40,000
10,000
10,000
Total
80,000
25,000
20,000
20,000
0
85,000
10,000
30,000
100,000
30,000
30,000
185,000
Total project preparation financing
* No PPG management costs will be covered by GEF financing.
C.
PPG BUDGET REQUESTING FINANCE BY GEF
Cost Items
Local consultants *
International consultants*
Miscellaneous
Travel
Total PPG Budget


Total Estimated
Person Weeks (PW)
18 (GEF)
17 (GEF)
GEF ($)
24,750
38,250
0
22,000
85,000
Co-financing ($)
30,000
20,000
10,000
40,000
100,000
Total ($)
54,750
58,250
10,000
62,000
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): $20,000
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D.
GEF AGENCY(IES) CERTIFICATION
This request has been prepared in accordance with GEF policies and procedures and meets the GEF
criteria for project identification and preparation.
Anna Tengberg
UNDP/GEF Regional Technical Advisor
John Hough
UNDP/GEF Deputy Executive Coordinator,
a.i.
Date: 25 March 2008
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Tel. and Email: Anna.Tengberg@undp.org
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Annex A
Consultants Financed by the Project Preparation Grant (PPG)
Position Titles
Local
National Specialist [Marine
fisheries expert, with policy
and socio-economic
background] – Indonesia
National Specialist [Marine
fisheries expert, with policy
and socio-economic
background] – Malaysia
National Specialist [Marine
fisheries expert, with policy
and socio-economic
background] – Philippines
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$/
Person
Week
Estimated
PWs
1,375
18
Tasks to be performed
Identify national stakeholders (Government, non-government
organizations, fisheries experts) to be engaged in PPG activities;
Facilitate stakeholder consultation and information dissemination;
Develop a stakeholder participatory matrix on best fisheries
management practices in Indonesia; Complete a description of
existing data holding for small pelagic fisheries; Draft a profile of
small pelagic fisheries in Indonesia that describes the baseline
situation in early 2008, status and trends; Complete an analysis of
existing policy, legal and institutional arrangements for
conservation and management of small pelagic fisheries in
Indonesia; Describe regional consultative arrangements,
responsibilities, relationships for small pelagic fisheries and
relevance in respect of Indonesia’s engagement; Describe
international responsibilities and level of Indonesia’s engagement;
Undertake an analysis of social and economic costs and benefits
associated with the national fisheries; Collect and summarize
information required to identify and prioritize transboundary
fisheries management concerns that need prompt tri-national
action by IMP; Provide periodic project status briefings to key
stakeholders especially government representatives.
Identify national stakeholders (Government, non-government
organizations, fisheries experts) to be engaged in PPG activities;
Facilitate stakeholder consultation and information dissemination;
Develop a stakeholder participatory matrix on best fisheries
management practices in Malaysia; Complete a description of
existing data holding for fisheries for small pelagic fisheries; Draft
a profile of small pelagic fisheries in Malaysia that describes the
baseline situation in early 2008, status and trends; Complete an
analysis of existing policy, legal and institutional arrangements for
conservation and management of shared oceanic fish stocks in
Malaysia; Describe regional consultative arrangements,
responsibilities, relationships for small pelagic fisheries and
relevance in respect of Malaysia’s engagement; Describe
international responsibilities and level of Malaysia’s engagement;
Undertake an analysis of social and economic costs and benefits
associated with the national fisheries; Collect and summarize
information required to identify and prioritize transboundary
fisheries management concerns that need prompt tri-national
action by IMP; Provide periodic project status briefings to key
stakeholders especially government representatives.
Identify national stakeholders (Government, non-government
organizations, fisheries experts) to be engaged in PPG activities;
Facilitate stakeholder consultation and information dissemination;
Develop a stakeholder participatory matrix on best fisheries
management practices in the Philippines; Complete a description
of existing data holding for fisheries for small pelagic fisheries;
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Draft a profile of small pelagic fisheries in the Philippines that
describes the baseline situation in early 2008, status and trends;
Complete an analysis of existing policy, legal and institutional
arrangements for conservation and management of shared oceanic
fish stocks in the Philippines; Describe regional consultative
arrangements, responsibilities, relationships for small pelagic
fisheries and relevance in respect of the Philippine’s engagement;
Describe international responsibilities and level of the Philippine’s
engagement; Undertake an analysis of social and economic costs
and benefits associated with the national fisheries; Collect and
summarize information required to identify and prioritize
transboundary fisheries management concerns that need prompt
tri-national action by IMP; Provide periodic project status
briefings to key stakeholders especially government
representatives.
International
Fisheries Socio-economic
analysis adviser
2,250
17
Consolidate data and information generated at the national level;
Specifically, this includes:




Best fisheries management practices in the three
countries;
Existing data holding for fisheries for small pelagic
fisheries at the tri-national level;
Profile of small pelagic fisheries in the region that
describes the baseline situation in early 2008, status and
trends;
Analysis of social and economic costs and benefits
associated with the fisheries in the region
Identify regional stakeholders (Government, non-government
organizations, fisheries experts) to be engaged in PPG activities
based on recommendations by the national consultants; Facilitate
stakeholder consultation and information dissemination at the
regional level; Collect and summarize information required to
identify and prioritize transboundary fisheries management
concerns that need prompt tri-national action by IMP, based on
national and tri-national consultations; Provide periodic project
status briefings to key stakeholders especially government
representatives.
Policy and Institutional
Specialist
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Conduct a comprehensive analysis of existing policy, legal and
institutional arrangements for conservation and management of
shared oceanic fish stocks at the tri-national level; Describe
regional consultative arrangements, responsibilities, relationships
for small pelagic fisheries and relevance in respect of the
engagement of the three countries; Describe international
responsibilities and level of engagement of the three countries on
fisheries management;
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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, 2021 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
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