NORMATIVE FRAMEWORK
TCP PROJECT FORMAT
"Operational Fisheries Management Planning"
(For a detailed description on the definition and process of operational
fisheries management planning, see the Explanatory Note attached
to the end of this document.)
I. PROJECT SUMMARY
This is a concise statement of the results stemming from the problem
statement (below) that are expected by the end of the project.
Data Needs:
- Main features of the project with emphasis on expected outcomes.
Data Sources:
- Individual sections of project report
II. BACKGROUND AND JUSTIFICATION
Identify the problem for which assistance is requested and provide evidence
that TCP criteria - which govern eligibility for TCP funding - are met.
The project should describe the fisheries management background in which
the request for assistance is based. For example, the department making
the request may have a biological research and economic studies, and may
have undertaken strategic planning studies, but had not integrated this
work into operational management plans. Or, the department may have had
no previous experience in organizing stakeholders' meetings or other consultative
approaches. Or they may wish to facilitate industry members to federate
to facilitate government-industry negotiations by creating single representative
bodies.
There may be particular weaknesses in some of the component activities
needed to undertake operational planning and if so, a brief description
should be given of the fishery, its national and/or regional importance
and relevant conservation, economic and social factors to indicate the
nature of such mechanisms that work to impede planning activities.
If there are particular resource management issues, they should be described.
It may be that spawning biomass has been over-fished, populations need
protection from fishing during spawning, reduction of fleet capacity is
proving impossible, or basic population biology that is needed to undertake
accurate stock assessments is lacking. Other operational data may be missing
such as accurate data on landings by species, fishing gear and area of
capture. There may be a lack of institutional capacity to resolve these
problems, or they may be solved by the provision of funds to buy the necessary
supplies - computers, printing of forms, etc.
And there may be a need in drafting, implementing and enforcing fishing
regulations to ensure compliance with the data; each of these activities
would require assistance of a fundamentally different kind.
The applicant should also indicate how they expect implementation of
effective operational fisheries management to contribute to better administration
of their fisheries and to help in achieving governmental objectives, socio-economic
and biological. The applicant should describe the consequences for the
fishery, in terms of employment, resource conservation, foreign exchange
earnings, regional development, distribution of benefits and other factors
relating to social welfare and equity. The relation between the proposed
activities of the project and the consequences, in the absence of effective
operational fisheries management, should also be noted. This part of the
proposal should describe, as explicitly as possible, how the programming
activities will ameliorate existing institutional deficiencies.
If there are other related assistance projects, the applicant should
indicate how the proposed programme would relate to them and describe
the existence of any supplementary or complementary objectives and programme
activities. The applicant should describe why the fisheries assistance
that is being requested, would be best provided by FAO, in contrast, e.g.
to another organization.
The applicant should note how improved operational fisheries management
would relate to the broader strategic objectives of the government, within
and outside of the fisheries sector. It should be clear that the proposed
activity will not endanger other programmes in effect, or considered,
in other sectors, e.g. planning for exploitation of fisheries resources
in an area intended by another department as a marine reserve.
The proposal should also indicate what actions the Government intends
to take at the end of the project and as a consequence of its development
results. It should, in particular, clarify how the Government intends
to ensure realization of the planned project results in a sustainable
manner, and the extent to which this will depend on national budgetary,
or policy decisions, or funding decisions by other donors.
The applicants should list the relevant organizations that the project
will involve or will affect. This list should include government departments,
fishing industry groups, fisherfolk representative organizations and NGOs,
and it should be noted whether they are involved in conservation, environmental
protection or some other form of activity. Comments may also be given
on the nature of interaction between the project and the different groups
and a diagnosis of the problems these organizations face and their particular
strengths, if any.
The applicant should describe the consequences of any delay in response
to the assistance request and whether it means only deferring benefits
that are to be obtained from the fishery, or would additional harm to
be done to the resource and the fishing communities in the absence of
the assistance. In this way, the critical contribution of FAO's assistance
should be noted.
If possible, a description should be given of the priority that is attached
to the request by the Government and by industry. The request should note
if resources will be available on a continuing basis to fund the management
activities after the end of the project and if not it is likely that the
Government will commit future funds for further programme costs.
Data Needs:
- Origin of request for assistance.
- Indication of weaknesses in operational planning.
- Existence of particular resource management issues.
- Capacity to implement/enforce fishing regulations.
- Existing related assistance projects.
- Relation between improved operational fisheries management and broader
strategic objectives of the government.
- Government's provisions to ensure sustainability of project results.
- List of relevant organizations to be involved in the project.
- Consequences of any delay in response to the assistance request.
- Level of priority attached to the request.
Data Sources:
- Ministry/Department of Fisheries
- Ministry of Planning/Finance
- Fisherfolk groups/associations
III. OBJECTIVES OF THE ASSISTANCE
"This section will state briefly but in specific terms, the
particular objective(s) which the project is expected to achieve. The
project objective is defined as a specific aim to be achieved and formulated
as the expected future improved situation after the successful completion
of the project. The statement should be drafted wherever possible in terms
permitting subsequent verification of project accomplishments." (TCP
Guidelines)
Data Needs:
- Main features of the fisheries concerned.
- Principal constraints to be overcome.
Data Sources:
- Ministry/Department of Fisheries
IV. PROJECT OUTPUTS (RESULTS)
"Outputs (results) to be defined in this section, are the specific
products of activities undertaken, the combined use of which by project
beneficiaries will achieve the objective of the project, provided assumptions
about external factors are correct. They should be defined in terms that
permit their verification in quantity, quality and time, and should be
consistent with the project objective and design, and provide the basis
for the elaboration of a clear, detailed work plan." (TCP Guidelines)
This section is a simple, concise listing, using quantitative terms,
of the specific outputs expected from the project. These tangible outputs
can be elaborated in bullet points.
Data Needs:
- Quantitative estimates of project activities undertaken.
- Type of operational weaknesses overcome.
- In what way has institutional capacity been strengthened?
- Assessment of impact on fisheries concerned.
Data Sources:
- Ministry/Department of Fisheries
- Fisherfolk groups/associations
V. WORK PLAN
Give an outline of when consulting services would be required and a list
of any equipment purchases that might facilitate data collection and analysis,
and related activities. If there are time dependencies between programme
components, e.g. whether industry consultations must precede or follow
particular government activities or timing of reporting on stock assessment
activities, then identify these constraints.
A timetable, sufficiently specific to serve as a practical guide for
the national experts and consultants on what activity should be carried
out at what time, what place and be implemented by whom. The timetable
and any accompanying narrative should also serve as an instrument for
monitoring project implementation and achievement for both the Government
and FAO.
Data Needs:
- Estimate and logical sequence of the major project activities and
input needs.
Data Sources:
- Ministry/Department of Fisheries
- Ministry of Planning
VI. CAPACITY BUILDING
A paragraph describing how TCP assistance is expected to assist capacity
building. An important part of such assistance will be to train national
staff in undertaking operational fisheries management. Note the number
of people to be trained through the project and their functional responsibility.
Data Needs:
- Quantitative data on number of nationals trained under the project
and their respective responsibility in operational fisheries management
planning.
Data Sources:
- Ministry/Department of Fisheries
VII. INPUTS TO BE PROVIDED BY FAO
See TCP Guidelines, Annex 1, pages iii to vi.
A concise description of each input under the respective numbered line
items below. Sufficient detail on each budget line should be provided.
The sum of related amounts of each sub-category under each item should
add up to the total for the line item.
a) Personnel services
Technical services of international and/or national experts/consultants
- International consultants/experts
- FAO Advisory Technical Services (ATS)
- National experts and consultants
- International expertise under Partnership Programmes (i.e. TCDC/TCCT
or Retired experts and consultants)
- Administrative support
- Supervisory Technical Services (STS)
Priority and preference should be given to the employment of competent
experts under the TCDC/TCCT programmes in countries that have signed these
agreements. There are specific limits to the use of international expertise
at UN rates. Project drafters are advised to consult with the TCP Unit
before preparing the staffing inputs and budgets.
b) Official travel
c) Contracts, Letters of Agreements or Contractual Service Agreements
d) General operating expenses (GOE)
e) Materials, supplies and equipment:
- Materials and supplies
- Equipment
f) Direct operating cost (DOC)
g) Training:
- Study tours
- In-country workshops
- Fellowships and academic training
- Young Professionals for on-the-job training
Here, note what assistance is expected from FAO and the particular qualifications
that are required, especially for consultants, e.g. experience in lobster
fishery management. If a particular country is known to possess particular
expertise that is relevant to the type of fishery that is the objective
of assistance, note this.
Data Needs:
- Number, type and cost of each input (numbers of staff participating,
of items, internal trips, cost per day, DSA rate, monthly consultant
rate etc).
Data Sources:
- Ministry/Department of Fisheries
- FAO
- UNDP
- Local suppliers
VIII. REPORTING
See TCP Guidelines.
Periodic and Mission reports are required for operational monitoring
of projects so that technical and operating divisions of FAO can monitor
the delivery and utilization of inputs. These reports give a TCP project
the required flexibility to meet changing needs and are used to make decisions
about project extensions and budget revisions. Technical reports add to
the body of technical knowledge about specific diseases.
It is essential that the document specify who is to prepare these reports
and at what intervals. This is particularly true for the Terminal Statement.
If the writer of this document is not specified, the technical officer
assumes this responsibility.
Data Needs:
- Information on contribution of effective operational fisheries management
to better administration of the country's fisheries.
- Adherence to work plan, implementation problems encountered.
Data Sources:
- Project records
- Project staff
- Ministry/Department of Fisheries
IX. GOVERNMENT CONTRIBUTION AND SUPPORTING ARRANGEMENTS
This paragraph needs to clearly set out: (i) the resources to be contributed
by Government; (ii) designation of Government responsibility for arranging
for duty-free customs clearance, full access to laboratories and their
test results, and access to the field - which may be under provincial
or district authority. All need to be included in this section as they
might apply.
See in particular TCP Guidelines, Annex I, page vii and the following
excerpts:
Request must be accorded high priority by the Government, which must
also ensure that the required local support facilities and services will
be available and that follow-up action will be taken.
Requests must provide assurance of the fullest possible participation
of the Government in project execution, through such means as the use
of national institutions, personnel and resources. (Annex IVa, page i).
Each project should be supervised by a National Project Coordinator
nominated and paid by the Government. National Project Professional Personnel
or consultants recruited by FAO are fully accountable to the Organization
and cannot be on the Government payroll at the time of their assignment
(page 10, par. 46). They may not be recruited from the counterpart institution/cooperating
agency (Annex 1, page iv).
The Government will be expected to make relevant staff available to the
project and may be asked to arrange meeting venues, organize meetings
and provide other assistance, e.g. with transporting fisherfolk to meetings,
etc. Such possible assistance requirements should be noted.
Data Needs:
- Government contribution in terms of cash, personnel time, facilities,
vehicles, laboratories, building and office space (for workshops and
other), secretarial and translation/interpretation expertise.
Data Sources:
- Ministry/Department of Fisheries
- Ministry of Planning
X. PROJECT BUDGET
The project budget covering the FAO contribution is prepared by FAO,
based on elements received from the requesting country.
Data Needs:
- Numerical details on FAO contribution in US$ by budget line.
Data Sources:
- Team Leader, plus national and international project staff
- FAO
- UNDP
- Equipment suppliers
- Travel agents
XI. ATTACHMENTS TO PROJECT AGREEMENT
1. Description of the training programme.
2. Description of Advisory Technical Services and Supervisory Technical
Services.
3. Description of services to be provided under contracts.
4. Itemized list of equipment.
5. Itemized list of materials and supplies.
6. Terms of reference including description of required qualifications
for each international and national consultant/expert and where appropriate
for the National Project Coordinator.
Data Needs:
- Quantitative estimates and descriptions/specifications as relevant
to the above attachment.
- Terms of Reference (TOR) for each national and international project
staff member including FAO technical staff members contributing to the
project. TORs for short-term staff inputs (weeks to several months)
need to describe precise, time-bound activities and outputs expected.
Longer-term staff inputs should be more generally phrased to allow some
flexibility and cover unforeseen occurrences.
Data Sources:
- Team Leader, plus national and international project staff
- Ministry of Fisheries
EXPLANATORY NOTE
Introduction to Operational Management Planning
Some information of what is meant by Operational Management Planning
is given, so as to clarify to those who deal with deficiencies in national
fisheries planning, what is meant by this term.
Operational Fisheries Management (OFM) does not entail strategic planning,
but it does relate to the policies selected to achieve overall planning
objectives. It is not involved in economic or social analysis of the costs
of particular policy options. Rather, such plans with the operational,
or tactical, issues of fisheries administration. The core of Operational
Management Planning (OMP) consists of the documentation of the way by
which fisheries will be prosecuted during the following management cycle
and the processes that will used in doing this. The contents of an Operational
Management Plan implement Strategic Planning - the overarching objectives
and goals of the minister. Thus, the OMP implements management policy
and provides the planning interface between the administrators and the
industry.
Annual management plans specify how fisherfolk exploit the fish stocks
and communicate important information from the government to the fishery
stakeholders - those with a direct interest in the fishery. Many aspects
of such plans are negotiated between the management authority and the
fisherfolk, or their representatives. The OFM planning process may be
difficult in the first year, but once established, the process stabilizes
and such plans become similar from one year to the next. Their elements
include:
I. Overview of the fishery
- Who the participants are
- Location of fishery
- Time frame of fishery
- Landings/value
- Consultative processes
- Management style
II. Stock status
- Prospects for the current year
- Environment and habitat issues
- Species interactions
- Research
III. Management objectives
- Strategic objectives
- Conservation / sustainability
- International considerations
- Domestic considerations
IV. Management measures for controlling capacity
- Capacity limiting measures
- Stock access and gear licensing
- Capacity-reducing measures
- License buy-outs
- Regulations controlling stacking, or consolidation
- TQs
V. Management measures for controlling effort to limit fishing mortality
- Output controls
- Tacos
- Quota allocations
- Input controls
- Fishing seasons/areas
- Days-at-sea limits
- Gear restrictions
- Refuges and marine reserves
VI. Monitoring, Control and Surveillance
VII. Conservation, Habitat Protection and Ecosystem Management
- At-sea surveillance
- Land surveillance
- Dockside and observer coverage
- Compliance
Operational Management Planning should be a regular activity. Meetings
should be scheduled to occur close to the same date each year to facilitate
planning and encourage participants to schedule their planning and ensure
timely preparation of the necessary documentation. Because most fisheries
are seasonal, this process is usually similar to that which follows:
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