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 ID 1 : GEF AGENCY PROJECT ID: PIMS 3879 COUNTRY(IES): Regional: Indonesia, Timor Leste, (Papua New Guinea) plus Australia PROJECT TITLE: Arafura and Timor Seas Ecosystem Action Programme (ATSEA) GEF AGENCY(IES): UNDP OTHER EXECUTING PARTNER(S): Agency for Marine and Fisheries Research (BRKP) Ministry of Marine Affairs and Fisheries (Indonesia), in cooperation with Department of Agriculture, Fisheries and Forestry (DAFF) (Timor Leste), Department of the Environment, Water, Heritage and the Arts (DEWHA) (Australia) in collaboration with 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 April 2008 Completion date Dec 2008 B. PROJECT PREPARATION ACTIVITIES ($) The PPG process will include implementation of the following activities: Component 1: Harmonisation of differing baseline data from Timor Leste and Indonesia 1.1. Stakeholder Consultation and Engagement In order to provide an up-to-date picture on the state of the Arafura and Timor Seas, and as a starting point for the development of the Full Project, an expert workshop will be held using cofinancing involving all relevant government ministries and sectors from each Arafura and Timor Seas littoral nations, as well as recognized experts in various fields and other stakeholders. 1.2.Gap Filling Studies Reviews will be prepared and funded by the PPG on the current state of knowledge, trends and gaps with regard to the Arafura and Timor Seas region on issues such as: physical and chemical oceanography; coastal and marine bio-diversity; fisheries, including IUU fishing; aquaculture; bio-prospecting and bio-technology; coastal and marine tourism; land-based sources of marine pollution (including mining, forestry and agriculture); offshore oil and gas industries (including environmental issues associated with such); ports and shipping (including environmental issues associated with such); introduced marine pests; climate change and sea level rise; marine science, research and development; information sharing and management; national and regional policies; and actions and other responses (including update on ATSEF activities). The Census of Marine Life (CoML) has offered to undertake a Status Review of coastal and marine biodiversity in the ATS region as part of the gap-filling study, subject to biodiversity data from the project being made available to 1 Project ID number will be assigned initially by GEFSEC. If PIF has been submitted earlier, use the same ID number as PIF. PPG Template, August 30, 2007 1
OBIS the Ocean Biodiversity Information System. Work currently being undertaken by the Australian Government as part of a Marine Bioregional Planning process for northern Australian oceans will also contribute significantly to our understanding of the current state of knowledge and ecosystem priorities in the Arafura and Timor Seas. Another gap-filling study will focus on the transboundary problems of the Arafura-Timor Seas, including a detailed governance analysis which considers the local, national and regional institutional, legal and policy environment. Timor Leste will carry out extra preparatory analysis of its current related marine policies, programmes and action plans for the barriers analysis required for the formulation of the full-size project to bring it up to the same level as Indonesia that have gone through a similar but more in depth exercise in a previous ATSEF project. Component 2. Development of Project Implementation and Monitoring and Evaluation Arrangements This will be carried out through series of regional key stakeholder consultations involving the three main countries, and Papua New Guinea representative(s) will also be invited. PNG will be involved initially during the PPG stage with the aim of its inclusion only during the Full Size Project implementation stage. 2.1. Logical framework PPG resources will be utilized to elaborate a detailed logical framework based on the definition of a project goal, objective, outcomes, outputs and activities, and a work plan and time frame for project implementation will be formulated. 2.2 Roles and responsibilities A detailed delivery strategy will be elaborated, with clearly identified roles and responsibilities of specific institutions for the overall management of the project. A thorough analysis will be undertaken of the capacity of the Ministries of the two countries involved and other appropriate local institutions that can support the implementation of the full-size project. Details on oversight of technical activities including requisite reporting procedures will be established. UNDP guidelines, as articulated in the Results Based Management Framework, will be used in formulating these details. 2.3 Monitoring and evaluation plan A detailed M&E plan and delivery strategy will be developed including clear identification of institutional roles and responsibilities, as well as appropriate budget allocations (based on best practices and UNDP guidelines). This will also reflect the requirements of the Implementing Agency vis-à-vis its standard reporting and evaluation mechanisms. The M&E plan will include provisions for independent evaluation and knowledge management, so that valuable lessons learned can inform practitioners and decision makers beyond the demonstrations areas. Component 3. Development of Financial Plan The main objectives of this is to engage with potential project partners, secure the significant cofinancing that is required for the FSP, as well as secure buy-in and ownership of the FSP proposal. In this activity, the Lead Consultant will engage in discussions with all stakeholders involved throughout the processes. This component will also include an analysis of the cost-effectiveness of the FSP approach. PPG Template, August 30, 2007 2
Component 4. Project Technical and Policy Review Two additional meetings of the RSC will be held at the mid-point and end of PPG, to review progress, advise/approve any necessary management responses, and to review and approve the draft FSP proposal prior to submission to GEF. Component 5. Project Preparation Coordination Regional and national project coordination and management arrangements for both the PPG and FSP implementation, including cross-sectoral, high-level official (e.g. Ministerial), and Regional and National Arafura and Timor Seas Steering Committees (based on the existing ATSEF framework), will be supported by the ATSEF Regional Secretariat. As the lead country, Indonesia s Agency for Marine and Fisheries Research Ministry of Marine Affairs and Fisheries will also coordinate activities related to project preparation, which will be funded by UNDP- Indonesia. The Outputs of the PPG process will be: 1. A comprehensive Full Size Proposal of ATSEA 2. Supporting regional documents that will be produced by the following: Inception and Expert Workshops to initiate the process of conducting PPG for the Arafura and Timor Seas region and other workshops to build consensus among stakeholders. Identification and characterization of the priority transboundary environmental and natural resource management issues and their root causes. List project preparation activities GEF Co-financing Total Grant Component 1: Harmonisation of differing baseline 80,000 30,000 110,000 data from Timor Leste and Indonesia Component 2: Development of Project 25,000 25,000 50,000 Implementation and M&E Arrangements Component 3: Development of Financial Plan 20,000 25,000 45,000 Component 4:Project Technical and Policy Reviews 25,000 40,000 65,000 Component 5: Project Preparation Coordination 0 40,000 40,000 Total project preparation financing 150,000 160,000 310,000 PPG Template, August 30, 2007 3
Indicative co-financing: UNDP Indonesia: Cash: USD 30,000 GO Timor Leste: In-kind USD 30,000 GO Indonesia: In-kind and Cash USD 50,000 GO Australia: In-kind and Cash USD 50,000 C. PPG BUDGET REQUESTING FINANCE BY GEF Cost Items Total Estimated Person Weeks (PW) GEF ($) Co-financing ($) Total ($) Local Consultants* 192 96,000 36,000 132,000 International Consultants* 12 36,000-36,000 Travel 18,000 47,000 65,000 Miscellaneous 0 27,000 27,000 Project Preparation 0 50,000 50,000 Coordination Total PPG Budget 150,000 160,000 310,000 * 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. 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 Date: 25 March 2008 Anna Tengberg UNDP/GEF Regional Technical Advisor Asia-Pacific Tel. and Email: Anna.Tengberg@undp.org PPG Template, August 30, 2007 4
Annex A Consultants Financed by the Project Preparation Grant (PPG) Position Titles Lead Consultant (International Water Specialist, PhD in Marine & Fisheries Resources, coastal management experience preferred National Specialist(s) Indonesia (Indonesian Marine policy, Coastal community development, Fisheries Oceanography, Social economy specialists) National Specialist(s) Timor Leste (TL Social economy and Fisheries and aquaculture specialists) $/ Person Week Estimated PWs Tasks to be performed 3,000 12 a) To lead in the development of the FSP proposal and workplan, addressing in detail, on a monthly basis, each of the activities outlined in the FSP Proposal. A completed draft will be provided to the Regional Steering Committee for consideration and approval (will travel throughout the region as required). b) Conduct an analysis of cost effectiveness of all components of the FSP for three ATSEF member countries (plus some basic consideration for PNG) c) Carrying out the bridging facilitation function for the three ATSEF member countries d) Editing and finalizing the FSP for submission to GEF Secretariat 687.5 160 Identify national stakeholders (Government, industry, academic institutions, and private sectors) to be engaged in PPG activities; Facilitate stakeholder consultation and information dissemination; Develop a stakeholder participatory matrix for the 5 foci of ATSEF, which are to (1) deter, prevent, and eliminate illegal and unsustainable fishing; (2) Maintain sustainable fish stocks, biodiversity and marine and coastal habitats; (3) Identify/develop alternative sustainable livelihoods with indigenous and coastal communities; (4) Research & monitor the systems dynamics of marine, coastal & catchment ecosystems, oceanography and climate change, and (5) Improve capacity for information management and sharing among ATSEF member nations. Updating ATSEF National Plan of Action by involving government officials in the provincial and district level.; Draft a profile of marine and fisheries policy in Indonesia that describes the baseline situation in the Arafura and Timor Seas provinces in early 2008; Complete an analysis of existing policy, legal and institutional arrangements for conservation and management of shared oceanic fish stocks between Indonesia and Australia, and between Indonesia and Timor Leste; Describe international responsibilities and level of Indonesia s engagement; Collect and summarize information required to support a cost effectiveness analysis; Manage and coordinate activities during PPG phase; Provide periodic project status briefings to key Government stakeholders 687.5 32 Identify national stakeholders (Government, industry, academic institutions, and private sectors) to be engaged in PPG activities; Facilitate stakeholder consultation and information dissemination; Develop a stakeholder participatory matrix for the 5 foci of ATSEF, which are to (1) deter, prevent, and eliminate illegal and unsustainable fishing; (2) Maintain sustainable fish stocks, biodiversity and marine and coastal habitats; (3) Identify/develop alternative sustainable livelihoods with indigenous and coastal communities; (4) Research & monitor the systems dynamics of PPG Template, August 30, 2007 5
marine, coastal & catchment ecosystems, oceanography and climate change, and (5) Improve capacity for information management and sharing among ATSEF member nations. Identification of TL possible contribution to ATSEF National Plan of Action by involving relevant government officials (via Collection and summarizing information required to support a cost effectiveness analysis; Provide periodic project status briefings to key Government stakeholders PPG Template, August 30, 2007 6