Document of The World Bank FOR OFFICIAL USE ONLY Report No: 75855 v1 RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF SOUTH WEST INDIAN OCEAN FISHERIES PROJECT PROJECT GRANT TF056039 June 28, 2007 TO THE REPUBLIC OF KENYA (On behalf of the UNION OF THE COMOROS, REPUBLIC OF MADAGASCAR, REPUBLIC OF MAURITIUS, REPUBLIC OF MOZAMBIQUE, REPUBLIC OF SEYCHELLES, REPUBLIC OF SOUTH AFRICA, and the UNITED REPUBLIC OF TANZANIA) January 15, 2013 AFTN1 AFRVP This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization. ABBREVIATIONS AND ACRONYMS ASCLME Agulhas and Somali Currents Large Marine Ecosystems Project EAF Ecosystem Approach in Fisheries management FAO Food and Agriculture Organization of the United Nations FFEM Fonds Français pour l’Environnement Mondial (French Global Environment Facility) GEF Global Environment Facility GEO Global Environmental Objective IOTC Indian Ocean Tuna Commission LME Large Marine Ecosystem NMU National Management Unit RMU Regional Management Unit RPSC Regional Policy and Steering Committee SAP Strategic Action Plan SWIO South West Indian Ocean SWIOFC South West Indian Ocean Fisheries Commission SWIOFP South West Indian Ocean Fisheries Project TDA Transboundary Diagnostic Analysis UNDP United Nations Development Programme UNEP United Nations Environment Programme WIOLaB Western Indian Ocean Land Based Impacts on the Marine Environment Project Regional Vice President: Makhtar Diop Country Director: Johannes C. M. Zutt Sector Manager: Magda Lovei / Jamal Saghir Task Team Leader: Xavier F. P. Vincent 2 AFRICA SOUTH WEST INDIAN OCEAN FISHERIES PROJECT P072202 CONTENTS Page A. SUMMARY ........................................................................................................................... 3 B. PROJECT STATUS .............................................................................................................. 4 C. PROPOSED CHANGES ...................................................................................................... 5 ANNEX 1: REALLOCATION OF PROCEEDS ......................................................................... 9 ANNEX 2: RESULTS FRAMEWORK AND MONITORING .............................................. 11 3 SOUTH WEST INDIAN OCEAN FISHERIES PROJECT RESTRUCTURING PAPER A. SUMMARY 1. The South West Indian Ocean Fisheries project (SWIOFP) is a GEF-funded Project ($12 million) which was approved by the Board on June 28, 2007 and became effective on April 16, 2008. The revised Closing Date is March 31, 2013. In addition to the main GEF support, the project benefits from parallel financing from the French Global Environment Facility (FFEM); Norway (FAO/EAF Nansen Project); and FAO (South West Indian Ocean Fisheries Commission). 2. The SWIOFP is one of three linked projects that address resource management in two separate Large Marine Ecosystems (LME) in the Southwest Indian Ocean (SWIO). The core project consists of the Agulhas and Somali Currents Large Marine Ecosystems Project (ASCLME) implemented by the UNDP. The ASCLME Project, along with the associated Western Indian Ocean Land Based Impacts on the Marine Environment Project (WIO-LaB) implemented by UNEP and SWIOFP, aims at providing descriptive information about the targeted LMEs and to develop a common Transboundary Diagnostic Analysis (TDA) and Strategic Action Plan (SAP) to the three sister-projects. 3. The SWIOFP Global Environmental Objective (GEO) is to promote the environmentally sustainable use of fish resources through adoption by SWIO-riparian countries of a LME-based ecosystem approach to fisheries management in the Agulhas and Somali LMEs that recognizes the importance of preserving biodiversity. 4. The project objectives are to (i) identify and study exploitable offshore fish stocks within the Project Area, and differentiate between environmental and anthropogenic impacts on shared fisheries; (ii) develop institutional and human capacity through training and career building; (iii) develop a regional fisheries management structure and associated harmonized legislation; and (iv) mainstream biodiversity in national fisheries management policy and through national participation in regional organizations that promote sustainable exploitation of fisheries resources. 5. SWIOFP provided the ASCLME with the necessary information to prepare the common TDA and SAP. 6. The SWIOFP comprises six components: Component 1: Data gap analysis, data archiving and information technology including (i) Fisheries data collection and evaluation; (ii) Compiling of a data atlas; and (iii) establishment of information technology, data handling and communications systems. Component 2: Assessment and sustainable utilization of crustaceans including (i) assessment of deep-water crustaceans; and (ii) assessment of shallow-water crustaceans. Component 3: Assessment and sustainable utilization of demersal fishes including (i) assessment of deep-water demersal fish; and (ii) assessment of shallower water fish. Component 4: Assessment and sustainable utilization of pelagic fish including (i) assessment of large pelagic species; (ii) assessment of small pelagic species and (iii) assessment of super-small pelagic species. 4 Component 5: Mainstreaming biodiversity in national and regional fisheries management including (i) assessing the state of knowledge of non-consumptive resources and marine biodiversity; (ii) identification of key biodiversity values; (iii) identification of interaction with fisheries including by-catch and (iv) identification of bio-indicators of ecosystem health. Component 6: Strengthening regional and national fisheries management, including (i) identification of relevant national and international legislation and other instruments relevant to the SWIOFP goal; (ii) harmonization of legislation between countries; and (iii) development of regional resource management structures and capacity. 7. The project is managed by Kenya, which acts on behalf of all the participating countries, and it is implemented through an independent Regional Management Unit (RMU), based in Kenya, and National Management Units (NMU) in the participating countries. The South West Indian Ocean Fisheries Commission (SWIOFC) acts as the Regional Policy and Steering Committee (RPSC) of the project. 8. The change proposed in this restructuring paper is a reallocation of proceeds. This change is necessary to properly illustrate the regional nature of expenses incurred by the project and reduce unnecessary administrative procedures, and for this purpose it is proposed to pool expenses into the regional sub-categories (RMU) rather than spread over the various beneficiary countries sub-categories. This regional budget pooling has been discussed and agreed to with the project’s governing body (the RPSC hosted by the SWIOFC), consisting of representatives of all participating countries, and the Bank. 9. Minor budget reallocation is also necessary due to a need to re-adjust amounts for each budget category and components so as to reflect the realities of project and to achieve the GEO. The changes mainly relate increasing allocation for Consultant Services and decreasing the other categories, and adjustment of component budget. 10. The GEO and associated outcome targets remain the same and are achievable. B. PROJECT STATUS 11. The current GEO performance rating is Satisfactory since important acceleration and progress have been observed in project implementation, and most historical delays have been offset. There is no outstanding audit report. 12. To date, the SWIOFP project has contributed to recent progress made in biological research, strengthened regional networking and improved collaboration in the socio- economic, environmental and geopolitical dimensions. The project has built real momentum notably in training civil servants and students from all over the region, in stock assessments, in research cruise deployment and in regional databases development. Worth mentioning are the MSc courses that have proved to be excellent instruments in supporting capacity development and project activities at low cost. A regional fisheries management structure is materializing through the effective use of the South West Indian Ocean Fisheries Commission as a platform to discuss information on fisheries development and management, and member countries recently agreed to transform the Commission from an advisory body under FAO Article VI, to a management body under FAO Article XIV. 5 13. Improved knowledge of exploitable fisheries resources has been supported by gap analyses for the four main groups of species (crustaceans, demersal, pelagic and non- consumptive species), 33 research cruises, and implementation of seven (7) regional databases (bibliographic, fisheries statistics, cruise data management for active and static gear, small scale fisheries inventory and observer data) and more than six (6) peer- reviewed scientific papers1. 14. Improved institutional and human capacity has been supported by various training including Turtle Tagging and Monitoring, Stock Assessment, Observers, Ecosystem Approach in Fisheries management, and financing provided to 18 Master of Sciences (MSc) students and 2 Bachelor of Sciences (BSc). 15. Improved regional fisheries management structure has been supported fueling the regional fisheries body, the South West Indian Ocean Fisheries Commission’s (SWIOFC) Scientific Committee with research data and using the SWIOFC as the Regional & Policy Steering Committee of the project, consequently reinforcing the role of SWIOFC as a platform to debate fisheries information and management and supporting the materialization of a regional fisheries management structure. Twelve (12) SWIOFC meetings have taken place since the project started. The project also supported the Beneficiary Countries to develop a common understanding of and position on tuna management in preamble of sessions of the regional fisheries management organization for tuna fisheries, the Indian Ocean Tuna Commission (IOTC), and SWIOFC member countries agreed to create a specific Working Group to discuss tuna matters. 16. Mainstreaming of biodiversity in fisheries management has been supported by the definition of fisheries and environmental indicators to be used in the future by the Beneficiary Countries for monitoring ecosystem health, the training of fisheries managers in Ecosystem Approach in Fisheries management (EAF), the development of 11 EAF fisheries management plans and the preparation of a Transboundary Diagnostic Analysis (TDA) and a Strategic Action Plan (SAP) for the region. C. PROPOSED CHANGES  Financing 17. Budget reallocation is necessary mainly to reflect properly illustrate the regional nature of expenses incurred by the project and reduce unnecessary administrative procedures and to, in a lesser extent, reflect changes in means of implementation. 18. Due to the regional nature of expenses incurred by the project, and to reduce unnecessary administrative procedures such as requesting authorization to overdrawn on country categories, it is proposed to pool expenses into the regional sub-categories (RMU) rather than spread them over the various beneficiary countries sub-categories. As a matter of fact, expenses charged against country categories are not illustrative of national expenses but expenses done in a country for the region. At time, one country may seem to have spent beyond set budget yet the expenditure may be regional in nature 1 12 peer reviewed scientific papers, 31 reports, 18 international conference presentations, 14 scientific documents, 2 theses and 4 software as of September 2012. 6 covering expenses of participants from all the beneficiary countries (e.g. regional workshop, survey). 19. Change in means of implementation consists in use of more consultant time than estimated during the November 2011’s restructuring and use of the Regional Management Unit (RMU) and component 6 instead of National Management Units (NMUs) and technical components, i.e., components 1 to 5. o Project Costs Components Current (US$) (*) Proposed (US$) % change Component 1 1,226,322.92 1,190,543.81 - 2.9% Component 2 2,601,409.55 1,900,640.19 - 26.9% Component 3 1,455,016.79 1,366,955.55 - 6.1% Component 4 1,739,476.97 1,551,046.85 - 10.8% Component 5 408,629.07 419,094.50 + 2.6% Component 6 4,499,874.27 5,571,719.10 + 23.8% Contingency 69,270.43 0.00 - 100.0% TOTAL 12,000,000.00 12,000,000.00 (*) Source: Restructuring Paper Nov. 29, 2011 20. The increase of the regional and national fisheries management budget (component 6) illustrates greater use of regional mechanisms and implementation of cross-cutting activities compared to the original budget. Increase is possible by the transfer of the financing from the technical components (1 to 4), for which expenses have been lower than expected. o Reallocations Category of Disbursed2 To be Allocation (US$) % of Financing % of Expenditure disbursed change Current/Revised Current (*) Revised Current Revised (1) Good & Works 1,036,042.87 51,660.63 1,095,663.08 1,087,703.50 9.1% 9.1% -0.7% (a) Kenya 117,315.41 0.00 38,484.86 117,315.41 0.3% 1.0% (b) South Africa 31,807.52 0.00 11,198.13 31,807.52 0.1% 0.3% (c) Seychelles 32,026.44 0.00 173,828.16 32,026.44 1.4% 0.3% (d) Tanzania 29,787.79 0.00 42,359.70 29,787.79 0.4% 0.2% (e) Madagascar 25,883.04 0.00 18,980.00 25,883.04 0.2% 0.2% (f) Mauritius 6,575.07 0.00 16,376.82 6,575.07 0.1% 0.1% (g) Comoros 32,071.56 0.00 32,453.17 32,071.56 0.3% 0.3% (h) Mozambique 46,343.85 0.00 46,427.19 46,343.85 0.4% 0.4% (i) RMU 714,232.19 51 660.63 715,555.05 765,892.82 6.0% 6.4% (2) Consultant Services 1,383,453.26 439,077.28 1,669,190.33 1,822,530.54 13.9% 15.2% 9.2% (a) Kenya 159,503.33 0.00 1,755.21 159,503.33 0.0% 1.3% (b) South Africa 54,879.10 0.00 28,629.10 54,879.10 0.2% 0.5% (c) Seychelles 1,074.56 0.00 2,000.00 1,074.56 0.0% 0.0% 2 As registered by the Bank on Dec. 31, 2012. 7 (d) Tanzania 24,151.15 0.00 23,152.44 24,151.15 0.2% 0.2% (e) Madagascar 1,644.99 0.00 1,000.00 1,644.99 0.0% 0.0% (f) Mauritius 12,000.83 0.00 13,000.00 12,000.83 0.1% 0.1% (g) Comoros 22,478.38 0.00 6,994.21 22,478.38 0.1% 0.2% (h) Mozambique 40,833.69 0.00 7,186.92 40,833.69 0.1% 0.3% (i) RMU 1,066,887.23 439,077.28 1,585,472.45 1,505,964.51 13.2% 12.5% (3) Training &Workshops 1,208,875.89 16,419.00 1,248,583.09 1,225,294.89 10.4% 10.2% -1.9% (a) Kenya 99 849.46 0.00 78,774.92 99 849.46 0.7% 0.8% (b) South Africa 126 001.11 0.00 77,577.48 126 001.11 0.6% 1.1% (c) Seychelles 93 527.94 0.00 86,777.36 93 527.94 0.7% 0.8% (d) Tanzania 38 748.90 0.00 39,840.43 38 748.90 0.3% 0.3% (e) Madagascar 30 751.42 0.00 24,965.81 30 751.42 0.2% 0.3% (f) Mauritius 44 099.23 0.00 47,205.48 44 099.23 0.4% 0.4% (g) Comoros 82 355.71 0.00 62,651.49 82 355.71 0.5% 0.7% (h) Mozambique 43 967.77 0.00 31,991.83 43 967.77 0.3% 0.4% (i) RMU 649 574.35 16 419.00 798,798.29 665 993.35 6.7% 5.5% (4) Operating Costs 5,652,017.10 2,212,453.97 7,917,293.07 7,864,471.07 66.0% 65.5% -0.7% (a) Kenya 751,160.83 0.00 244,307.91 751 160.83 2.0% 6.3% (b) South Africa 274,333.31 0.00 431,915.91 274 333.31 3.6% 2.3% (c) Seychelles 78,500.59 0.00 173,937.48 78 500.59 1.4% 0.7% (d) Tanzania 245,549.24 0.00 290,662.05 245 549.24 2.4% 2.0% (e) Madagascar 94,677.76 0.00 113,099.50 94 677.76 0.9% 0.8% (f) Mauritius 82,352.66 0.00 159,779.57 82 352.66 1.3% 0.7% (g) Comoros 151,734.46 0.00 99,325.93 151 734.46 0.8% 1.3% (h) Mozambique 142,056.53 0.00 221,280.44 142 056.53 1.8% 1.2% (i) RMU 3,831,651.72 2 212 453.97 6,182,984.28 6 044 105.69 51.5% 50.4% (5) Unallocated - (6) 0.00 0.00 69,270.43 0.00 0.6% 0.0% 100.0% TOTAL 9,280,389.12 2,719,610.88 12,000,000.00 12,000,000.00 100.0% 100.0% 0.0% (*) Source: Restructuring Paper, Nov. 29, 2011 21. Main change in categories is in the Consultant Services, that increases slightly to reflect needs for more consultant time than expected during November 2011 restructuring. The Consultants Services budget remains however low compared to initial budget, increasing from $1,669,190.33 to $1,822,530.54 compared to $2,827,700 before Nov. 2011 restructuring, since regional collaboration and arrangements permit direct implementation by the staff of participating institutions with limited use of consultants’ support. 8 ANNEX 1: Reallocation of Proceeds REPUBLIC OF KENYA (ON BEHALF OF THE UNION OF COMOROS, REPUBLIC OF MADAGASCAR, REPUBLIC OF MAURITIUS, REPUBLIC OF MOZAMBIQUE, REPUBLIC OF SEYCHELLES, REPUBLIC OF SOUTH AFRICA, AND THE UNITED REPUBLIC OF TANZANIA) – SOUTH WEST INDIAN OCEAN FISHERIES PROJECT P072202 TF056039 Restructuring Paper 1. Proceeds for Republic of Kenya (On behalf of the Union of Comoros, Republic of Madagascar, Republic of Mauritius, Republic of Mozambique, Republic of Seychelles, Republic of South Africa, and the United Republic of Tanzania), South West Indian Ocean Fisheries Project (SWIOFP), Grant No TF056039, P072202 will be reallocated as follow: Category of Expenditure Allocation (US$) % of Financing Current/Revised Current (*) Revised Current Revised (1) Good & Works 1,095,663.08 1,087,703.50 9.1% 9.1% (a) Kenya 38,484.86 117,315.41 0.3% 1.0% (b) South Africa 11,198.13 31,807.52 0.1% 0.3% (c) Seychelles 173,828.16 32,026.44 1.4% 0.3% (d) Tanzania 42,359.70 29,787.79 0.4% 0.2% (e) Madagascar 18,980.00 25,883.04 0.2% 0.2% (f) Mauritius 16,376.82 6,575.07 0.1% 0.1% (g) Comoros 32,453.17 32,071.56 0.3% 0.3% (h) Mozambique 46,427.19 46,343.85 0.4% 0.4% (i) RMU 715,555.05 765,892.82 6.0% 6.4% (2) Consultant Services 1,669,190.33 1,822,530.54 13.9% 15.2% (a) Kenya 1,755.21 159,503.33 0.0% 1.3% (b) South Africa 28,629.10 54,879.10 0.2% 0.5% (c) Seychelles 2,000.00 1,074.56 0.0% 0.0% (d) Tanzania 23,152.44 24,151.15 0.2% 0.2% (e) Madagascar 1,000.00 1,644.99 0.0% 0.0% (f) Mauritius 13,000.00 12,000.83 0.1% 0.1% (g) Comoros 6,994.21 22,478.38 0.1% 0.2% (h) Mozambique 7,186.92 40,833.69 0.1% 0.3% (i) RMU 1,585,472.45 1,505,964.51 13.2% 12.5% (3) Training &Workshops 1,248,583.09 1,225,294.89 10.4% 10.2% (a) Kenya 78,774.92 99 849.46 0.7% 0.8% (b) South Africa 77,577.48 126 001.11 0.6% 1.1% (c) Seychelles 86,777.36 93 527.94 0.7% 0.8% (d) Tanzania 39,840.43 38 748.90 0.3% 0.3% (e) Madagascar 24,965.81 30 751.42 0.2% 0.3% (f) Mauritius 47,205.48 44 099.23 0.4% 0.4% (g) Comoros 62,651.49 82 355.71 0.5% 0.7% (h) Mozambique 31,991.83 43 967.77 0.3% 0.4% (i) RMU 798,798.29 665 993.35 6.7% 5.5% (4) Operating Costs 7,917,293.07 7,864,471.07 66.0% 65.5% (a) Kenya 244,307.91 751 160.83 2.0% 6.3% (b) South Africa 431,915.91 274 333.31 3.6% 2.3% (c) Seychelles 173,937.48 78 500.59 1.4% 0.7% (d) Tanzania 290,662.05 245 549.24 2.4% 2.0% (e) Madagascar 113,099.50 94 677.76 0.9% 0.8% (f) Mauritius 159,779.57 82 352.66 1.3% 0.7% 9 (g) Comoros 99,325.93 151 734.46 0.8% 1.3% (h) Mozambique 221,280.44 142 056.53 1.8% 1.2% (i) RMU 6,182,984.28 6 044 105.69 51.5% 50.4% (5) Unallocated 69,270.43 0.00 0.6% 0.0% TOTAL 12,000,000.00 12,000,000.00 100.0% 100.0% 2. The current GEO performance rating is Satisfactory since most historical delays have been offset. There is no outstanding audit report. The SWIOFP project has contributed to recent progress made in biological research, strengthened regional networking and improved collaboration in the socio-economic, environmental and geopolitical dimensions. The project has built real momentum notably in training civil servants and students from all over the region, in stock assessments, in research cruise deployment and in regional databases development. Worth mentioning are the MSc courses that have proved to be excellent instruments in supporting capacity development and project activities at low cost. A regional fisheries management structure is materializing through the effective use of the South West Indian Ocean Fisheries Commission (SWIOFC) as a platform to discuss information on fisheries development and management, and member countries recently agreed to transform the Commission from an advisory body under FAO Article VI, to a management body under FAO Article XIV. 3. The proposed reallocation is necessary to mainly to reflect properly illustrate the regional nature of expenses incurred by the project and reduce unnecessary administrative procedures and to, in a lesser extent, reflect changes in means of implementation. Due to the regional nature of expenses incurred by the project, and to reduce unnecessary administrative procedures such as requesting authorization to overdrawn on country categories, it is proposed to pool expenses into the regional sub- categories (RMU). As a matter of fact, expenses charged against country categories are not illustrative of national expenses but expenses done in a country for the region. At time, one country may seem to have spent beyond set budget yet the expenditure may be regional in nature covering expenses of participants from all the beneficiary countries (e.g. regional workshop, survey). Change in means of implementation consists in use of more consultant time than estimated during the November 2011’s restructuring and use of the Regional Management Unit (RMU) and component 6 instead of National Management Units (NMUs) and technical components, i.e., components 1 to 5. 10 ANNEX 2: Results Framework and Monitoring AFRICA: SOUTH WEST INDIAN OCEAN FISHERIES PROJECT Situation as of December 12, 2012 Global Environmental Objective (GEO): 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. GEO Level Results Target (end June 2012) Situation (December 2012) Target (March 2013) Indicators Indicator One: Development of Data collection completed and Transboundary Diagnostic Strategic Action Plan a regionally harmonized strategy Transboundary Diagnostic Analysis (TDA) endorsed by (SAP) prepared and for ecosystem-based Analysis (TDA) prepared countries. SAP national adopted by the beneficiary management of shared fish consultation took place countries stocks in the SWIO adopted by except for South Africa and all countries participating in the Somalia (planned in Jan. Project through strengthening 2013). A draft Strategic existing regional management Action Plan (version 3) bodies such as the SWIOFC drafted and to be submitted to countries by January 2013. Indicator Two: Adoption by all Drafting of regional M & E The M&E plan have been Finalization and formal SWIOFP countries through the plan (and baselines based on prepared, and submitted to adoption of environmental SWIOFC of a monitoring and input from Components 1-6) SWIOFC Session for status and stress reduction evaluation framework (including adoption. It will be reviewed indicators, dissemination environmental status and stress by the SWIOFC Scientific of M& E Plan within reduction indicators) that defines Committee for final adoption region ecosystem by SWIOFC. Ecosystem Approach in Fisheries management (EAF) score is now available for all countries. Indicator Three: Adoption of at Drafting of at least one sub- Eleven (11) management Formal adoption of at least one national or multi- regional management plan. plans under preparation least one national or a national plan for a specific Identification of specific (Mozambique and Kenya are sub-regional management demersal, pelagic or crustacean fisheries and countries to preparing two (2) each, plan fisheries by all countries participate in joint France one). Five (5) are participating in project management based on input final draft, four (4) draft, two from Components 1-4 (2) under drafting. Kenya and Tanzania, Madagascar and Comoros met to coordinate management plans (small pelagic / line fisheries), Seychelles and Tanzania met to exchange on knowledge on management plans implementation. Possibility for coordination between Seychelles and Mauritius exists. Intermediate Result (Component One): (i) Assessment of the state of knowledge of fisheries resources in the WIO and recommendations on new data collection initiatives and (ii) development of a regional data management system to underpin management of SWIO fisheries. Intermediate Result indicator Database operational and All seven (7) databases are Database operational and One: Regional database piloted updated operational and updated. updated and ranked effective by majority of SWIOFP countries Intermediate Result indicator Harmonized regional data gap Consultant procurement on - Two: An analysis of the gaps in analysis technical report going. knowledge of SWIO fisheries resources in response to the needs of fisheries management and a research agenda for implementation by SWIOFP Intermediate Result indicator Training underway in all Training completed, Training completed in all Three: Training in data handling countries including GIS for Comoros. countries (8) and reporting provided for each of SWIOFP beneficiary countries Intermediate Result (Component Two): (i) Baseline assessment of shallow and deep water crustacean stocks and fisheries in the EEZs of Mozambique, Kenya, South Africa, Tanzania, Seychelles, Madagascar and Comoros and (ii) Assessment of crustacean fisheries by catch, evaluation of discard impacts, testing of exclusion devices and measurements of ecosystems impacts in selected areas of the SWIO. 11 Intermediate Result indicator 10 surveys completed (14 in Fourteen (14) surveys - One: Ship-based surveys and total) completed including 13 data-collection to support SWIOFP-financed surveys. planned projects and assess the One (1) survey canceled due potential of new and existing to unavailability of adequate fisheries vessel. Possibility to use another project data next year to fill data gaps. Intermediate Result indicator Retrospective analysis of three Retrospective analysis - Two: Production of fishing sectors completed (3 in completed, posted on Retrospective Analyses for the total) SWIOFP website, and will three major crustacean fishing probably be published as a sectors FAO Fisheries Circular document. Intermediate Result indicator Completion and review of 2 2 MSc thesis completed, 2 Completion and review Three: Capacity building by MSc projects (2 in total) submitted, 1 to be completed of another 2 MSc projects completing of Masters of by March 2013. (4) Sciences (MSc) Intermediate Result indicator At least 1 peer-reviewed Four (4) scientific papers At least 1 peer-reviewed Four: # of published articles publications prepared (1 in peer-reviewed, of which two publications prepared (2) based on SWIOFP survey data total) (2) published, one (1) in press and one (1) submitted to peer- review. Four (4) papers in preparation. Intermediate Result (Component Three): Baseline assessment of demersal stocks and fisheries in the EEZs of Kenya, Tanzania, Mozambique, South Africa, Seychelles, Comoros and Madagascar Intermediate Result indicator 1 trawl and 4 dropline cruises Twenty four (28) surveys - One: Ship-based surveys and completed completed, including 22 data collection to assess the (6 in total) SWIOFP-financed and potential of new and existing eleven (11) specifically for fisheries. the component. Three (3) dropline surveys took place in October – November 2012, as one (1) trawl survey in Kenya. Intermediate Result indicator Retrospective analysis of three Retrospective analysis final - Two: Production of fishing sectors completed (3) draft reviewed and updated Retrospective Analyses for the (one document covering major of demersal fisheries three fishing sectors) Intermediate Result indicator N/A Five (5) MSc grants 2 MSc completed and Three: Capacity building by approved. reports submitted (2) completing MSc. One (1) MSc thesis submitted (tbc) in Dec 2012, and to be completed by project Closing Date. Writing started for 4 MSc thesis. Intermediate Result indicator At least 2 peer-reviewed One (1) paper submitted to - Four: # of published articles publications prepared (2 in peer review journal in May based on SWIOFP survey data total) 2012. Two (2) peer-reviewed papers under preparation. Intermediate Result (Component Four): Baseline assessment of selected large, medium and small pelagic stocks in the EEZs of all nine SWIOFP countries and development of strategies to optimize small and large scale pelagic fisheries, including FADs. Intermediate Result indicator Data Collection and analysis, 1 Nineteen (19) cruises Data Analysis One: Ship-based surveys and cruise completed (6 in total) completed of which 9 Assessment completed data collection to assess the SWIOFP-financed potential of new and existing specifically for the fisheries. component (including for studying pelagic fish movement and multi-purpose cruises). One (1) additional survey took place in November under FFEM financing. Pelagic trawl surveys canceled due to unavailability of adequate vessel and gear. Intermediate Result indicator N/A Retrospective analysis Retrospective analysis of Two: Production of completed (one document two fishing sectors Retrospective Analyses for covering two fishing sectors). completed (2) major pelagic fisheries Intermediate Result indicator Completion of 2 MSc thesis (2 Five (5) MSc application Completion of one more Three: Capacity Building by in total) approved. Two (2) MSc MSc thesis (3) completing of Masters of theses submitted. One to be 12 Sciences (MSc) ready by January 2013, one probably after Closing Date. One student, upgraded to PhD, will submit a report. Intermediate Result indicator Data collection and analysis One (1) article submitted to At least 4 peer-reviewed Four: # of published articles peer review journal. Two (2) publications prepared based on SWIOFP survey data articles under preparation. and/or submitted (4) Intermediate Result (Component Five): Baseline assessment of fisheries interactions with non-consumptive marine resources and assessment of marine biodiversity as alternative sources of income Intermediate Result indicator Extension to 3 more countries Four (4) observer - One: Observer programme in (7 in total) programmes have been place for monitoring fisheries financed by SWIOFP. Two interaction with non- (2) countries to start port consumptive marine resources observer program, two (2) on-board observer programs. Intermediate Result indicator MPA Mapping completed and Draft retrospective analysis Map Produced Two: Mapping of hotspots, hotspots identified (1 in total) completed and inclusive of sensitive zones and protected hotspots and MPAs. areas & Biodiversity reference Consultant under sites recruitment for producing atlas. Training planned for country involvement in preparation of atlas. Intermediate Result indicator N/A Three (3) MSc applications 2 MSc close to Three: Capacity building by approved. Two theses to be completion (2) completing of Masters of completed by end of project Sciences (MSc) (Dec. 2012, Jan. 2013), and one after completion (Sept. 2013). Intermediate Result indicator RBA report completed for Regional By-catch - Four: Rapid By-catch eight countries (8) Assessment report produced, assessment (RBA) for small- based on bycatch data and scale fisheries realized in all RBA when needed. Report beneficiary countries probably to be published as a FAO Fisheries Circular report. Intermediate Result (Component Six): Development of regional fisheries management framework and support to regional and national fisheries management bodies. Intermediate Result indicator Harmonized guidelines Fisheries legislation Implementation of One: Review of national produced harmonization report harmonized guidelines (# fisheries regulations and produced and submitted for of countries) identification of areas where review. Policy and harmonization is needed Governance report also produced with ASCLME. Intermediate Result indicator Participation of beneficiary Beneficiary countries Review by the SWIOFC Two: Establishment of a countries in SWIOFC participated to SWIOFC of contribution of functional working relationship Sessions, Scientific Committee meetings. Database SWIOFP and of the between SWIOFP and and technical working groups produced. compliance of countries to Southwest Indian Ocean regional management Fisheries Commission decisions 13