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00096036 Arafura & Timor Seas Action Programmes (ATSEA 2) GEF Mid-Term Evaluation

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Evaluation Plan:
2021-2025, Indonesia
Evaluation Type:
Mid Term Project
Planned End Date:
09/2022
Completion Date:
09/2022
Status:
Completed
Management Response:
Yes
Evaluation Budget(US $):
30,000

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Title 00096036 Arafura & Timor Seas Action Programmes (ATSEA 2) GEF Mid-Term Evaluation
Atlas Project Number: 00096036
Evaluation Plan: 2021-2025, Indonesia
Evaluation Type: Mid Term Project
Status: Completed
Completion Date: 09/2022
Planned End Date: 09/2022
Management Response: Yes
Focus Area:
  • 1. Resilience
  • 2. Environment
  • 3. Others
Corporate Outcome and Output (UNDP Strategic Plan 2018-2021)
  • 1. Output 1.4.1 Solutions scaled up for sustainable management of natural resources, including sustainable commodities and green and inclusive value chains
  • 2. Output 3.3.1 Evidence-based assessment and planning tools and mechanisms applied to enable implementation of gender-sensitive and risk-informed prevention and preparedness to limit the impact of natural hazards and pandemics and promote peaceful, just and inclusive societies
SDG Goal
  • Goal 12. Ensure sustainable consumption and production patterns
  • Goal 14. Conserve and sustainably use the oceans, seas and marine resources for sustainable development
SDG Target
  • 12.2 By 2030, achieve the sustainable management and efficient use of natural resources
  • 14.2 By 2020, sustainably manage and protect marine and coastal ecosystems to avoid significant adverse impacts, including by strengthening their resilience, and take action for their restoration in order to achieve healthy and productive oceans
  • 14.4 By 2020, effectively regulate harvesting and end overfishing, illegal, unreported and unregulated fishing and destructive fishing practices and implement science-based management plans, in order to restore fish stocks in the shortest time feasible, at least to levels that can produce maximum sustainable yield as determined by their biological characteristics
Evaluation Budget(US $): 30,000
Source of Funding: GEF
Evaluation Expenditure(US $): 22,489
Joint Programme: No
Joint Evaluation: No
Evaluation Team members:
Name Title Nationality
Dalibor Kysela
GEF Evaluation: Yes
GEF Project Title: 00096036 Arafura & Timor Seas Action Programmes (ATSEA 2)
Evaluation Type: Mid-term Review
Focal Area: Biodiversity
Project Type: FSP
GEF Phase: GEF-6
GEF Project ID: 00096036
PIMS Number: 5439
Key Stakeholders: International and national non-government organizations (NGOs) working in specialized fields (e.g., sustainable fisheries, biodiversity conservation, alternative livelihoods, microfinance, ecotourism, women’s issues, etc.) as well as those institutions active at the sub-national level in community organization and engagement; Representatives of local communities and coastal communities in the ATS region; Academic, research, scientific and technical institutions ; Regional level: regional intergovernmental organizations, and donor and financing agencies; Professional associations, scientific and technical societies; Business support organizations; and Individual corporations
Countries: INDONESIA
Lessons
1.

The establishment of Field Facilitators in Indonesia and Site Mobilisers in Timor-Leste proves to be a good example of a bridge between the central level of the NCUs and the project field locations. These arrangements help to attract interest and commitment of local authorities for organization of training and awareness raising events. The outposted members of the project teams also serve as an effective and efficient tool for conveying the project objectives and initiatives to community-based organisations and groups.

The experience from implementation of the projects shows that the baseline data compiled during the project preparatory phase was incomplete. Filling of gaps in the baseline data during the first years of implementation prove that few indicators and related EOP targets are not realistic. The takeaway lesson is that in case of incomplete baseline data it is desirable to revise the results’ targets at the project midterm stage. More complete baseline data and other information on actual realities on the ground and changed external conditions make grounds for making the indicators and targets more realistic and attainable.

In addition to complicated legislative procedures adoption of new or revised national laws, endorsement of regional legal and financial commitments requires additional complicated consultations and negotiations between the participating countries. Indicators and targets for which the achievement is outside the control of the project, such as adoption of laws and policies and allocation of resources by the beneficiary governments carry a high risk of non-achievement within the 5-year lifetime of the project. Inclusion of such indicators and targets in the project frameworks should be carefully considered and eventually avoided to the extent possible.
Findings
1.

Project Strategy

The MTR team conducted an analysis of the design of the project, as outlined in the Project Document, and assessed whether the project strategy is proving to be effective in reaching the desired results. In doing so, the evaluators judged the extent to which the project addresses country priorities and is country driven. Furthermore, the evaluators assessed the extent to which the project objectives are consistent with the priorities and objectives of the GEF.

Project Design and Relevance

For Indonesia, the project is in line with the following priorities of the Indonesian Long-Term National Development Plan of 2005- 2025 (Law 17/2007):

  1. The improving management and utilization of natural resources and of the preservation of the functions of the natural environment as reflected in the maintained functions, carrying capacity, and the ability to restore it in facilitating the quality of social and economic life in a harmonious, balanced, and sustainable manner;
  2. The maintained diversity of species and uniqueness of natural resources for realizing value-added, national competitiveness, and assets of national development; and
  3. The increased awareness, attitude, and behaviour of the people in the management of natural resources and in the conservation of the functions of the natural environment for maintaining the comforts and quality of life.

Furthermore, the project aligns with the following legislative instruments as follows:

  • Indonesian National Act 23/1997 that mandates that environmental management activities should be undertaken in an integrated manner among concerned government institutions, sectors and communities from planning though implementation;
  • Law No. 27/2007 (amended through Law No. 1/2014 in conjunction with Law No. 23/2014 on regional governance) that mandates provincial governments to prepare ICM strategic, zoning, management, and action plans; and
  • Law No. 23/2009 that provides for environmental management and protection considering ecosystem-based approaches and climate change.

For Timor-Leste, the project is in line with the National Strategic Development Plan (SDP) for 2011-2030 that provides directions for the integrated management of environment and natural resources across sectors. It is also aligned with the National Action Plan on Climate Change (2010), the National Biodiversity Strategy and Action Plan (2012), the National Adaptation Programme of Action (2020) and the National Aquaculture Development Strategy 2012–2030. The latter provides a framework for harnessing the aquaculture potential of the country on the following principles:

  • An ecosystem approach, based on the judicious use of natural resources,
  • Diversification of livelihood opportunities of coastal communities;
  • Gender equality and social inclusion as cross-cutting themes; and,
  • Viable aquaculture technologies developed through participatory applied field research,

For Papua New Guinea, the project is aligned with the Development Strategic Plan 2010-2030, namely with its Goal 5.2 on Fisheries, that calls for development of a fisheries sector that is both sustainable and highly profitable for the country. This objective is further elaborated in the PNG Fisheries Strategic Plan (FSP) 2021-2030 that provides an overarching framework for the alignment of strategic purpose, priorities, and actions for the sector. The ATSEA-2 project is relevant to the four FSP Strategic Outcomes:

  1. Economic returns of fisheries to the economy increased;
  2. Participation of citizens in fishing businesses and fishery livelihood activities increased;
  3. Accountable and effective governance in the fisheries sector ensured; and
  4. Aquatic, oceans and coastal environments maintained

The ATSEA-2 project design is also consistent with the following National Fisheries Authority (NFA) Institutional Strengthening Strategies for 2021–2025:

  1. Legislative, regulatory, policy and processes review, strengthening and alignment;
  2. Strengthen and expand fisheries management capacity and capabilities through applied research for providing the best scientific and economic advice;
  3. Strengthen fisheries development as a core mandate to maximise net economic returns from fisheries resources for PNG community; and
  4. Robust monitoring, control, and surveillance for increased compliance with fisheries laws and policies and relevant international fishing obligations and standards

Furthermore, the design of the ATSEA-2 project is consistent with the following objectives and respective programmes of the GEF-6 International Waters (IW) Focal Area:

  • Objective IW 1: Catalyse sustainable management of transboundary water systems by supporting multi-state cooperation through foundational capacity building, targeted research, and portfolio learning
    • Programme 1: Foster cooperation for sustainable use of transboundary water systems and economic growth
  • Objective IW 3: Enhance multi-state cooperation & catalyse investments to foster sustainable fisheries, restore & protect coastal habitats, reduce pollution of coasts & large marine ecosystems
    • Programme 6: Prevent Loss & Degradation of Coastal Habitats
    • Programme 7: Foster Sustainable Fisheries

The ATSEA-2 project is in line with the objectives of the UNDP Country Programme Documents (CPD) for Indonesia, Timor-Leste, and Papua New Guinea (see report for details).

Analysis of Project Result Framework 

The MTR team performed critical analysis of the project results framework in order to establish to what extent is the definition of the project’s objective, outcomes, and outputs clear, practicable and feasible within the project time frame and whether the indicators and their targets enable measurement of progress to achievement of the planned results. The analysis also includes assessment whether the indicators in the SRF were formulated in line with the SMART criteria.
The ATSEA-2 Project Document was prepared at the time when the Theory of Change (ToC) was not yet required for GEF projects. Section II of the Project Document presents the Strategic Results Framework (SRF) in a standard tabular matrix format that shows the 3 project components, 9 outcomes and 22 outputs. In Section I, the Project Document provides a textual format of the SRF and elaborates in more details on the planned results and provides description of activities at the regional and country levels.
The tabular form of the SRF shows 21 outcome indicators and corresponding end-of-project EOP targets for the indicators. The SRF matrix does not contain mid-term project targets (see report for details).

The assessment of the SRF shows that the SRF contains few inconsistencies that hamper measurement of progress in the project implementation. In particular, several indicators are not specific to measure achievement of the related project outcomes. In one case (Outcome 1.3), the outcome was found too ambitious as it calls for regional action based on better understanding of CC impacts while it is not clear how the improved understanding will be measured. In another case (Outcome 1.4), the indicator was found reaching beyond the outcome. The problem appears to be that the SRF contains Output 1.4.3 on incorporation of agreed measures from the updated SAP and NAPs into national development programmes and budgets. Given the slow progress with the SAP update and development of NAPs, the target of incorporation of national responses from ATSEA-2 documents into national development plans is not feasible within the remaining time frame of the ATSEA-2 project.

Apart from the inconsistencies discussed above, the other outcomes and their indicators are clearly defined to describe the desired changes and their respective targets are measurable and achievable by the end of the project. However, the MTR considers the main insufficiency of the SRF the fact that the latter does not define mid-term targets as benchmarks for assessment of progress on the road towards achievement of the planned results.

Theory of Change

It should be noted that the ATSEA-2 project was designed at the time when Theories of Change (ToCs) were not yet required in GEF projects. Recognizing the value of a ToC, the RSC meeting in 2020 recommended the development of a ToC to support better project and SAP understanding, as well as to support the subsequent development of a SAP Monitoring System which is also targeted under ATSEA-2. The ToC document was completed and reviewed by RSC at its 3rd Meeting in 2021. To provide better clarity on causality and linkages and the ATSEA-2 project, the ToC included a ToC for the SAP, a ToC for the ATSEA-2 project which was further subdivided into per project Component ToCs (see diagrams in the report). The full ToC document is also accessible via: https://www.dropbox.com/s/hyc6afpcxmgn7pe/ATSEA-2%20Theory%20of%20Change_18Nov2021_rev.pdf?dl=0

Progress Towards Results

The information presented in this section has been sourced from the semi-annual Project Assurance Reports (PAR), the GEF Project Implementation Reviews (PIR) for the FYs 2021 and 2021, technical reports produced by the project (e.g. reports on the project website), information collected by the National Consultants through their visits of selected project field sites in Indonesia and Timor-Leste, as well as information collected from on-line interviews with the key project stakeholders. 

The implementation progress and remaining barriers are presented for each Outcome in separate Tables 5 -12 in the report and the overall progress towards the Project Objective is summarized in Table 13 in the report.

The Outcome ratings in Tables 5 - 12 in the report are based on the premise that the project has to be completed within the officially approved implementation period, i.e. by 10 June 20247. Hence the rating scores are given on the expectation whether the outcomes will or will not achieve their respective end-of-project (EOP) targets by the end of the approved project period. The GEF guidelines for MTRs require the evaluators to provide only one overall rating for each outcome and the overall Project Objective rating. Rating for the output indicators is given by the colour shading of the last column in Tables 5 – 13 in the report.
Recommendations
1

REG. 1. Attainability of End of Project Targets Within the Project Timeframe – In accordance with UNDP and GEF policies, the UNDP CO in Indonesia as the Principal Project Representative should prepare and submit request for an extension of 12-18 months in order to recover the time lost due to the slow project start and COVID-19 restrictions. The start of implementation of the project was delayed due to the protracted negotiations for obtaining agreements and official signatures on documents for the project management arrangements and slow recruitment of the regional and national project teams. COVID-19 restrictions imposed in early 2020 caused further delays in implementation. Consequently, numerous project activities had to be postponed and/or modified. Despite several adaptive management actions of the project teams the delivery of several outputs was slower than originally expected. There is a risk that not all end-of-project (EOP) targets will be achieved by the original project completion date of June 2024.
2

REG. 2. Application of Theory of Change for Project Monitoring – The RPMU in cooperation with the NCUs should use the ATSEA-2 ToC in monitoring of the progress in the project implementation in order to identify early indicators of progress or lack of progress towards achievement of the planned targets and to facilitate prioritization of activities. The ATSEA-2 Project Document was prepared at the time when an explicit Theory of Change (ToC) was not yet required for GEF projects. Upon recommendation of the 2nd RSC meeting, a comprehensive ToC for the project was prepared and subsequently presented to the countries. The ToC provides a framework and causal links between intermediate and final results. It will be desirable to use the ToC in monitoring of the project results. This can be particularly important when the intended impacts are longer-term and information about intermediate outcomes is needed to inform decisions.
3

REG. 3. Attainability of Some End of Project Targets– With guidance from UNDP and following consultative processes, the RPMU in cooperation with PEMSEA and the NCUs should conduct a critical revision of the actual indicators and targets in the project SRF, in particular for Outcomes 1.1 and 2.1, and prepare a proposal for revised/alternative indicators and/or targets for submission and approval of the NPBs and the RSC at its 4th meeting. Few indicators and their end-of-project (EOP) targets contained in the project SRF were determined on basis of incomplete baseline data. Additional baseline data and information from the field sites collected from the project-supported studies suggest that those indicators and related targets in the SRF are not realistic and need to be reconsidered in order to ensure their attainability within the remaining timeframe of the project.
4

REG. 4. Exit Strategy – The PEMSEA, RPMU and NCUs should prepare an exit strategy for the project with emphasis on formalisation of financial commitments of the countries to the RGM functionality and the SAP/NAPs implementation. Financial mechanisms for SAP/NAPs implementation and for functioning of the RGM beyond the time boundaries of the project are critical for sustainability of the ATSEA-2 results. The completed Financial Landscape Assessment indicated that the original expectation of secured contributions from the ATSEA-2 countries is not realistic as the short-term financial sustainability will be dependent on donor funding for Phase-3 of the project.
5

REG. 5. ATSEA Programme Sustainability – UNDP in cooperation with the beneficiary countries should initiate consultations with the GEF OFPs from the ATS beneficiary countries regarding the potential preparation of ATSEA-3 project concept. The time for full achievement of several outcomes could exceed the lifetime of the ATSEA-2 project and will require follow-up donor financing. GEF-8 that is currently being finalised appears to be one of the funding sources for a follow-up phase of the project.
6

REG. 6. NIMC operationalization– The RPMU in cooperation with PEMSEA and the NCUs in cooperation with the participating countries should ensure that all three NIMCs are fully functional through ensuring permanent representation of stakeholder institutions on the NIMCs. Furthermore, the ATSEA-2 project teams should map existing national and regional sustainable development planning processes and identify shortand medium-term opportunities for mainstreaming the SAP/NAPs priority actions into the national development policy and planning frameworks. Results of this work should be presented for consideration of the NIMCs. Relevance of the ATSEA-2 interventions to the needs and priorities of the beneficiary countries is an important factor of the project sustainability. Fully operational NIMCs will serve as an effective vehicle for mainstreaming the ATS SAP/NAPs priority actions into relevant national development plans.
7

REG. 7. RSC Meetings– PEMSEA and RPMU in cooperation with the Implementing and Executing Agencies should more actively use options for holding ad-hoc intersessional meetings of the RSC to ensure timely approval of important documents, effective management of project risks and endorsement of critical decisions needed for implementation of the project.

The MTR observed that the RSC has duly executed its oversight function for the project. However, several important documents were prepared and had to wait until the meeting of the RSC. Increased frequency of the RSC meetings will accelerate approval of important decisions for critical actions in the project implementation.
8

REG. 8. Enhancing Community Understanding and Engagement of SAP/NAP Implementation – PEMSEA and the RPMU should consider preparation of popular versions of the updated SAP/NAPs for better information of the target communities. The project ultimate goal is protection and sustainable management of ATS marine and coastal resources through implementation of the regional SAP and related NAPs. More active involvement of target beneficiary communities could be ensured if the local leaders and community-based organisations fully understand the need for the SAP/NAPs actions particularly in cases of impacts of the actions on local livelihood and subsistence challenges.
9

IDN. 1. Relevance or Attainability of Some End of Project Target and Activities – The RPMU in cooperation with the NCU Indonesia should conduct a critical revision and reassessment of the following elements of the project SRF which were observed to be either not relevant or not attainable:

  • Modify Activity 2.1.3-8 on IUU fishing through conducting a study to establish a baseline on IUU fishing in FMA 718 in Aru and Merauke areas as project sites
  • Modify Activity 2.1.3-10 on improved provincial registration of vessel systems for a more specific definition of the target vessel systems in Maluku and Papua covering three commodities (red snapper, shrimp, and barramundi)
  • Revise the EOP target for Indicator 16 through utilization of new MPA management effectiveness scoring of EVIKA and potentially adopt a new indicator for the Kolepom MPA to comply with Indonesian government requirements
  • Reconsider relevance of Activity 2.3.2-16 on the feasibility study for ecotourism development in the Kolepom MPA
  • Modify Activities 2.3.3-6 and 2.3.3-7 on conducting a feasibility study on alternate livelihood tourism opportunities for the communities in Aru
  • Islands, Rote, and Merauke and possibly other sites through education for local communities on turtles’ conservation while providing alternative nature-based livelihoods or capacity building options
  • Reconsider relevance of Activity 2.4.3-4 on technical training for maintenance and repair of the solar-powered water desalination units and eventually replace with activities related to water, sanitation, and hygiene (WASH) projects, for access to safe and affordable drinking water
  • Modify the EOP targets for under Indicators 13 and 14 to make them clearer and more specific and attainable
10

IDN. 2. Administrative and Procurement Procedures for Indonesia Component- The UNDP CO in Indonesia in cooperation with the NCU should conduct a critical review of the procurement and other administrative assistance and identify causes of delays. Several project stakeholders perceive the administrative and procurement procedures under UNDP CO Indonesia causing delays in the project implementation.
11

IDN. 3. The NCU Indonesia should intensify consultations with the NPB and UNDP Indonesia for focusing more on performance and achieving results through arrangement of the NPB meetings at least semi-annually (at the middle and the end/beginning of the year). The once per year frequency of meetings of the NPB Indonesia is not sufficient for achieving needed decisions for smooth implementation of the planned activities in Indonesia.
12

TL. 1. Stakeholder Ownership of Project Interventions– The Timor-Leste NCU in cooperation with the UNDP CO should ensure inclusion of additional stakeholders, in particular, local authorities at Suco level need to be more involved in the decision-making on implementation of projects in their areas for reinforcing their ownership of project interventions for community development, coastal management, and environmental protection, in particular with respect to IUU fishing in the Timor Sea
13

TL. 2. Measurement of Impacts of Livelihood Initiatives– The NCU in cooperation with the RPMU should strengthen the M&E system to reflect the activities more comprehensively as a ‘bridge’ between UNDP ATSEA 2 project and the Government of Timor-Leste, and to gather evidence on the impact of the community livelihoods support projects in the country.
14

TL. 3. Alternative Livelihood Tourism Initiatives – The NCU in cooperation with the RPMU should conduct comprehensive planning for alternate livelihood support projects for communities in the targeted municipalities. Beneficiary community groups should be supported in development of business plans and sharing of success stories in order to identify opportunities for making the best possible use of their comparative advantages and optimize achievement of results.
15

PNG. 1. Capacity Building for South Fly Artisanal Fishery Management Plan Implementation – PEMSEA in cooperation with the NCU and RPMU should ensure provision of capacity building on AFMP management and enforcement to the local governments in the SFD communities. The flagship deliverable for the Papua New Guinea component is the development of the Artisanal Fisheries Management Plan (AFMP for the South Fly District (SFD). It is expected that the Plan will be officially gazetted and will thus become a law to be incorporated into local legislation at the village level. Successful implementation of the Plan will require effective management of the AFMP by the fishing villages’ authorities.
16

PNG. 2. The RPMU in cooperation with PEMSEA and the NCU PNG should conduct a critical revision and reassessment of the EOP targets for Output 2.1.1 in the project SRF: 

  • Reset the target for Indicator 13 on more sustainable production of dried fish maw to also cover production and use of fish maw carcass;
  • Redefine the target for Indicator 14 on improved use of fishing gears by artisanal fisheries in line with the South Fly Fore-coast AFMP

Indicators 13 and 14 in the project SRF are poorly defined and there are no specific activities defined in the Project Document for achievement of the respective EOP targets for PNG. Assessments completed under the project proved that the EOP targets were determined based on outdated baseline data and therefore unrealistic and unclear.
17

PNG. 3. Other Resources for Strengthening of Community Livelihood Activities – PEMSEA and UNDP in cooperation with the RPMU and PNG NCU should assess options for re-allocation of the project funds to the PNG component and consider reaching out to the private sector (e.g. Ok Tedi Development Foundation) for joint activities and additional support to implementation of community level activities, including linking with the GEF Small Grants Programme in PNG and with the Australian High Commission in PNG. Budget allocation for the PNG component in the
approved Project Document is underestimated and lack of funding can negatively affect roll out of the South Fly AFMP and completion of the first NAP for PNG. Implementation of community-level livelihood activities in the SFD will be strengthened through attracting additional resources from various available sources of financing.
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Management Response Documents
1. Recommendation:

REG. 1. Attainability of End of Project Targets Within the Project Timeframe – In accordance with UNDP and GEF policies, the UNDP CO in Indonesia as the Principal Project Representative should prepare and submit request for an extension of 12-18 months in order to recover the time lost due to the slow project start and COVID-19 restrictions. The start of implementation of the project was delayed due to the protracted negotiations for obtaining agreements and official signatures on documents for the project management arrangements and slow recruitment of the regional and national project teams. COVID-19 restrictions imposed in early 2020 caused further delays in implementation. Consequently, numerous project activities had to be postponed and/or modified. Despite several adaptive management actions of the project teams the delivery of several outputs was slower than originally expected. There is a risk that not all end-of-project (EOP) targets will be achieved by the original project completion date of June 2024.
Management Response: [Added: 2022/09/12]

The Project welcomes the recommendation. In line with this, the ATSEA-2 Project Team initiated its assessment of the remaining multi-year work plan and budget to identify the most feasible timeframe for the extension for the project, which will be submitted to the Implementing Partners, Implementing Agency and Executing Agencies for further review. Based on the result of the assessment and discussions with relevant project partners, the Project Team, in collaboration with the IA and EAs, will seek further guidance and approval from the RSC as Project Board and to complete the required UNDP/GEF requirements for the proposed no-cost extension.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Building on the assessment, complete the proposed Work Plans and Budget for 2023 and 2024 (including the most feasible no-cost extension period) and submit to UNDP, PEMSEA, NPBs and RSC.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU and NCUs 2022/12 Initiated As part of ongoing preparation for NPB and RSC meetings, copies of proposed AWP and Budget will be shared by first week of October. History
Convene the NPBs per country to review the proposed work plans and budget for Country Components, and the RSC to review the regional component and overall proposal for project extension and corresponding work plans and budget.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCUs, RPMU, UNDP, PEMSEA, Implementing Partners per country/NPBs, and RSC 2022/12 Initiated Preparation for NPB and RSC meetings ongoing wherein the proposed AWP and Budget will be submitted for review and approval. NPB meetings scheduled: ? Indonesia (Sept.20-21) ? PNG (Sept. 22) ? TL (end of Sept.) RSC meeting (Nov. 2-3) History
Upon final RSC approval, RPMU will coordinate with UNDP and PEMSEA to formalize the extension of the project based on the agreed most feasible timeframe.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU, PEMSEA, UNDP 2022/12 Initiated Preparation for RSC meeting ongoing wherein the proposed AWP and Budget will be submitted for review and approval. History
Complete a comprehensive work plan and budget assessment of available funding, forecast expenditures for the project, and develop scenario on most feasible timeframe for project extension.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU and NCUs 2022/12 Completed Review of remaining deliverables and budget for 2022, draft AWP and Budget for 2023, and forecast deliverables and expenditures for 2024 presented by RPMU and NCUs at the Project Planning Workshop conducted in Bali on August 10 and 11, 2022. The assessment shows a project extension of 1 year for Indonesia component, 9 months extension for Timor-Leste component, and 6 months extension for the Regional and PNG component to end of 2024, based on their varying original end dates. The AWPs and Budget were further refined and are ready for submission to NPB meetings scheduled in September and the 4th RSC scheduled in November 2022. Zoom Meeting with UNDP BRH, UNDP Indonesia, PEMSEA and RPMU was also conducted on August 26, 2022 wherein further guidance was provided on process requirements to facilitate request for project extension. History
2. Recommendation:

REG. 2. Application of Theory of Change for Project Monitoring – The RPMU in cooperation with the NCUs should use the ATSEA-2 ToC in monitoring of the progress in the project implementation in order to identify early indicators of progress or lack of progress towards achievement of the planned targets and to facilitate prioritization of activities. The ATSEA-2 Project Document was prepared at the time when an explicit Theory of Change (ToC) was not yet required for GEF projects. Upon recommendation of the 2nd RSC meeting, a comprehensive ToC for the project was prepared and subsequently presented to the countries. The ToC provides a framework and causal links between intermediate and final results. It will be desirable to use the ToC in monitoring of the project results. This can be particularly important when the intended impacts are longer-term and information about intermediate outcomes is needed to inform decisions.
Management Response: [Added: 2022/09/12]

The Project would like to further clarify that in line with the GEF and UNDP M&E reporting requirements, the key bi-annual and annual monitoring reports pertaining to Project Assurance Report (PAR) and Project Implementation Report (PIR) are currently aligned or based on the Project’s approved Strategic Results Framework (SRF). The Theory of Change (ToC) that was completed by the Project in 2021 has been further recommended by the 3rd RSC to serve as key reference to guide the development of the ATS Strategic Action Plan (SAP) Monitoring System as well the updating of the Transboundary Diagnostic Analysis (TDA), SAPs and National Action Programs (NAPs) in 2022-2023.

Recognizing the value of the MTR recommendation on the ToC, the ATSEA-2 Project Team will take into account the elements of the ToC together with the existing SRF as part of its internal quarterly monitoring and reporting, in order to ensure that elements of the ToC are already considered and reflected when subsequent PAR and PIR reports are developed and submitted to UNDP and GEF.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Align the ToC with the AWP and SRF-based internal quarterly M&E reporting system of ATSEA-2 and ensure that further reporting to GEF and UNDP captures/includes ToC elements.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU and NCUs 2022/12 Initiated : Internal quarterly M&E report format for RPMU and NCUs slightly adjusted to include some key indicators from the ToC. History
Ensure that the ToC document is provided as part of the key reference documents for the updating of the TDA, SAP and NAPs.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU 2023/01 Initiated ToC already part of key references in the ongoing TDA updating process. History
Ensure that the ToC document is provided as a key reference document in the development of the ATS SAP Monitoring System.
[Added: 2022/09/12] 		RPMU 2023/01 Not Initiated The engagement of consultant for the ATS SAP MS is in process and is targeted to be formalized by November 2022 to align with SAP updating process. The ToC will be included as key reference for the consultant.
3. Recommendation:

REG. 3. Attainability of Some End of Project Targets– With guidance from UNDP and following consultative processes, the RPMU in cooperation with PEMSEA and the NCUs should conduct a critical revision of the actual indicators and targets in the project SRF, in particular for Outcomes 1.1 and 2.1, and prepare a proposal for revised/alternative indicators and/or targets for submission and approval of the NPBs and the RSC at its 4th meeting. Few indicators and their end-of-project (EOP) targets contained in the project SRF were determined on basis of incomplete baseline data. Additional baseline data and information from the field sites collected from the project-supported studies suggest that those indicators and related targets in the SRF are not realistic and need to be reconsidered in order to ensure their attainability within the remaining timeframe of the project.
Management Response: [Added: 2022/09/12]

The Project welcomes the opportunity to review the End of Project Targets for Outcome 1.1, which are highly contingent on the countries’ political and financial commitments to support the operationalization of the regional governance mechanism (RGM) and implementation of the updated SAP and NAPs. With regard to the target on ‘Regional governance mechanism established and functioning with at least 2 of 4 countries contributing dues’, considering the iterative consultation process currently being undertaken with the countries on the design of the RGM, a project extension might be helpful to complete the consensus-building, adoption and initiation process for the agreed mechanism. Securing the financial contribution of 2 out of the 4 countries, would require more time considering the policies, priorities, and legal and administrative processes and requirements in each country. With regard to the target of ‘25% SAP implementation finance secured by governments and development partners’, a project extension will enable the completion of the updated SAP and NAPs, preparation of a 5-year financing plan to support their implementation, and submission/presentation of the plans to the NIMCs and other partners for consideration/mainstreaming into their respective planning and budgeting processes.

The project notes that for Outcome 2.1 several EOPs and indicators need to be modified to better suit current conditions and interventions conducted so far. With regard to reduced fishing effort, for Aru Indonesia, the EOP is recommended to be modified to improved fishing fleet registration for shrimp and red snapper fishers, while for PNG, as the Project showed that the baseline was outdated, the EOP and indicator for dried fish maw production shall be reexamined and further revised. With regard to improved use of fish gear/techniques, as the practices and legislations may be different country by country, the improved fish gear/techniques shall be defined better following existing national/local legislations for easier monitoring. For PNG, baselines in support of the EOPs and indicators will be updated based on planned assessments to be conducted as part of the South Fly Artisanal Fishery Management Plan (SFAFMP). The results arising from Outcome 2.1 interventions also contributes to achieving the Objective level target on ATS region’s contribution to move globally over-exploited fisheries to more sustainable levels and in in this case it is important to set clear parameters that assessment and monitoring on fish stocks will focus on Red Snapper as key regional commodity and ATSEA-2 target.

Apart from Outcomes 1 and 2.1 cited above, the Project would like to provide further information that based on most recent discussions and confirmation from Indonesia and Timor-Leste, the Overall Project Objective on Landscapes and Seascapes (Indicator #3 with End of Project Target of 800,000 ha coverage on MPAs) would need further adjustment. Based on the final Marine Spatial Planning completed for the newly established Kolepom MPA in Indonesia, the coverage is only up to 353,287ha (lower than the 555,000 original target), whereas in the case of Betano-Klakuk in Timor-Leste, the assessment and boundary mapping, recently completed and currently undergoing stakeholder consultation, indicated that the coverage is only 20,906 ha (lower than the 90,000 original target). The assessment in Betano covers only up to 2 nautical miles outer boundary as the maximum allowed in MPAs in Timor-Leste as confirmed by MAF. While the support to existing MPAs in SE Aru in Indonesia (covering 114,000ha) and Nino Konis Santana in Timor-Leste (covering 55,660 ha) remains the same. In line with this, the new overall total coverage would amount only to 543,853ha (lower than the 800,000 target). Taking into consideration the results of country assessments, the Project would like to seek further guidance from UNDP and to seek further feedback from the RSC on the revision of the EOP.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
For Outcome 1.1: The RPMU, in cooperation with the NCUs and PEMSEA, will develop alternative target related to RGM and submit the same for discussion in the 4th RSC Meeting
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU, NCUs, PEMSEA 2022/12 Initiated Preparation of document for RSC meeting initiated History
For Outcome 2.1: On monitoring and reporting on regional Red Snapper fish stocks, the RPMU will facilitate further assessment building on the completed regional baseline estimates on Red Snapper and the ongoing assessment in Probolinggo and Merauke. RPMU will also continue coordination with NCUs in the completion of assessments to establish more updated baselines to facilitate better measurement of progress on reduced fishing effort and use of sustainable fishing gears and techniques (more specific proposed actions on this are provided under the country component recommendations below)
[Added: 2022/09/12] 		RPMU, NCUs 2023/06 Initiated The data collection in Probolinggo and Merauke is ongoing as well as additional primary data gathering are being conducted related to fisheries in the 3 countries as part of the ongoing TDA updating. Data generated from these initiatives will be further used to update the regional baseline estimate on Red Snapper at the regional level.
Related to the End of Project Target on the project’s support to expanding and ensuring effectiveness of MPAs in the region, the NCUs will submit the final Marine Spatial and Zoning Plan of Kolepom MPA to NPB Indonesia, and the Final Assessment in Betano-Klakuk to NPB Timor-Leste for final review and confirmation of the hectare coverage.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU Indonesia and Timor-Leste; and NPBs in Indonesia and Timor-Leste 2022/12 Initiated For Indonesia: Indonesia’s NPB meeting is scheduled on September 20-21, 2022.All meeting documents are ready including MTR recommendations on targets for modification. For Timor-Leste: Preparation for NPB meeting in TL ongoing including development of meeting documents which will include MTR recommendations. TL’s NPB meeting is scheduled in end of September 2022. History
The final decision arising from the NPBs will be submitted to the 4th RSC Meeting in 2022 and included in the subsequent PAR and PIR reporting to UNDP and GEF to serve as official basis for the reduction of the EOP on hectare coverage on MPAs.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU Indonesia and Timor-Leste; RPMU; RSC 2022/12 Not Initiated Preparation for RSC meeting initiated History
UNDP will facilitate the updating of the EOP.
[Added: 2022/09/12] 		UNDP Indonesia 2023/06 Not Initiated The results of the Kolepom and Betano assessments have already been reported as part of PIR 2022, but further confirmation on changing of EOPs are still subject to further discussion/confirmation as cited above.
4. Recommendation:

REG. 4. Exit Strategy – The PEMSEA, RPMU and NCUs should prepare an exit strategy for the project with emphasis on formalisation of financial commitments of the countries to the RGM functionality and the SAP/NAPs implementation. Financial mechanisms for SAP/NAPs implementation and for functioning of the RGM beyond the time boundaries of the project are critical for sustainability of the ATSEA-2 results. The completed Financial Landscape Assessment indicated that the original expectation of secured contributions from the ATSEA-2 countries is not realistic as the short-term financial sustainability will be dependent on donor funding for Phase-3 of the project.
Management Response: [Added: 2022/09/12]

The Project Document has stipulated measures on sustainability and replicability which will mainly depend on the success of ATSEA-2 to establish the regional and national mechanisms with wider stakeholder engagement, and corresponding financial mechanism to support longer term regional collaboration and implementation of the updated SAP and NAPs, as well as country support to align and mainstream updated SAP and NAPs priorities in national development programs or plans.

In line with the ATS countries SAP vision, the Project agrees with the MTR recommendation and is committed to continue carrying out the project target activities in support of RGM, SAP and NAPs. The Project will work closely with the countries and other project partners to secure commitments and support, and to systematically plan the transition into an RGM, including the completion and adoption of the updated SAP and NAPs to guide post ATSEA-2 regional collaboration and action, and completion of the 5-Year Sustainable Financing Plan in support of the SAP and NAPs implementation and RGM operations, formalized through a Ministerial Declaration.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Secure RSC approval on the preferred or most viable RGM model and transition plan at the 4th RSC Meeting.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU 2022/12 Initiated National consultations on the consolidated RGM model conducted in Indonesia and Timor-Leste in August 2022, while the consultation in PNG is scheduled on September 21 and 22, 2022. While a zoom meeting is being scheduled with AUS. History
Complete the 5-Year cost estimate and Sustainable Financial Plan, conduct country consultations, and coordinate with countries to secure initial country commitments for financial support for RGM and the implementation of updated SAP and NAPs.
[Added: 2022/09/12] 		RPMU 2023/12 Initiated Initial scoping and consultations were undertaken as part of the Financial Landscape Assessment
Roll out the transition plan at the regional and national level in cooperation with the countries, including developing the key elements of the RGM
[Added: 2022/09/12] 		RPMU, NCUs, NPB and RSC 2023/12 Not Initiated This will serve to test the operation of the RGM before the formal adoption through a Ministerial Declaration.
Complete the updated SAP and NAPs and secure country endorsements at NPB and RSC level.
[Added: 2022/09/12] 		NCUs and RPMU, NPB and RSC 2023/12 Not Initiated
Secure high-level country commitment in all ATS countries to formally recognize the RGM as long-term regional collaboration mechanism by adopting the RGM with Financial Plan, as well as the updated SAP and NAPs through a Ministerial Declaration.
[Added: 2022/09/12] 		NCUs and RPMU, NPB and RSC 2024/01 Not Initiated
5. Recommendation:

REG. 5. ATSEA Programme Sustainability – UNDP in cooperation with the beneficiary countries should initiate consultations with the GEF OFPs from the ATS beneficiary countries regarding the potential preparation of ATSEA-3 project concept. The time for full achievement of several outcomes could exceed the lifetime of the ATSEA-2 project and will require follow-up donor financing. GEF-8 that is currently being finalised appears to be one of the funding sources for a follow-up phase of the project.
Management Response: [Added: 2022/09/12]

The ATSEA-2 Project Team is committed to work closely with UNDP and PEMSEA and the ATS countries in this endeavor. The ongoing updating of the TDA, SAP and NAPs may serve as basis in developing the Project Concept for ATSEA-3 with the key objective of ensuring continuity in regional and country efforts and to support long-term implementation of the SAP and NAPs.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Under UNDP’s guidance, secure country support and commitment to pursue the development of ATSEA-3 Project through discussion with NPBs and RSC.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		UNDP, PEMSEA, RSC 2022/12 Initiated Zoom Meeting with UNDP BRH, UNDP Indonesia, PEMSEA and RPMU was conducted on August 26, 2022 wherein further guidance was provided on process requirements to pursue the development of ATSEA-3. As part of the requirements, the same agenda will be included in all NPB meetings in September 2022 to explain the process, rationale and requirements and target securing of initial country support to pursue the development and submission of a project concept for ATSEA-3. The same will be tabled at the 4th RSC in November 2022. History
In close consultation with the ATS member countries UNDP (and PEMSEA) to take the lead (with RPMU support) in facilitating the development of PIF and securing of country endorsements.
[Added: 2022/09/12] 		UNDP, PEMSEA (with RPMU assistance) 2023/02 Not Initiated
UNDP to facilitate submission of country endorsed Project Identification Form (PIF) alongside with a Project Preparation Grant (PPG) request for GEF’s review and approval
[Added: 2022/09/12] 		UNDP, PEMSEA, RSC/RCC (with RPMU assistance) 2023/05 Not Initiated
6. Recommendation:

REG. 6. NIMC operationalization– The RPMU in cooperation with PEMSEA and the NCUs in cooperation with the participating countries should ensure that all three NIMCs are fully functional through ensuring permanent representation of stakeholder institutions on the NIMCs. Furthermore, the ATSEA-2 project teams should map existing national and regional sustainable development planning processes and identify shortand medium-term opportunities for mainstreaming the SAP/NAPs priority actions into the national development policy and planning frameworks. Results of this work should be presented for consideration of the NIMCs. Relevance of the ATSEA-2 interventions to the needs and priorities of the beneficiary countries is an important factor of the project sustainability. Fully operational NIMCs will serve as an effective vehicle for mainstreaming the ATS SAP/NAPs priority actions into relevant national development plans.
Management Response: [Added: 2022/09/12]

The Project would like to clarify that the NIMC in PNG has been established and has been operating since 2021, while the NIMC in Timor-Leste was informally convened with an 8 member task team in 2020, and was formally established through a Declaration in June 2022. In the case of Indonesia, the institutional assessment and documents to support legality of NIMC have been completed, however the formal establishment and operationalization of NIMC in Indonesia was hampered by the ongoing reorganization of MMAF.

Recognizing the value of the MTR recommendation to pursue deeper and more meaningful engagement and function of NIMC to support mainstreaming of SAP and NAP priorities in country programs and plans, the Project will pursue the formalization of the NIMC in Indonesia within 2022 and support further strengthening of all NIMCs in the three countries by incorporating joint planning, sharing of relevant information and programs, and reporting of ongoing programs or initiatives that are already aligned with ATSEA programme as part of regular agenda of the NIMC meetings. The NIMC will also be tapped to play a crucial role in the process of updating and review of the country NAPs to ensure that priority areas that will be identified and agreed upon will be submitted for consideration in subsequent national development programs, and relevant plans and/or policies.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Conduct regular NIMC meetings to undertake collaborative planning, discussion, and reporting of progress, strategies and approaches in support of the ATSEA programme, SAP and NAPs.
[Added: 2022/09/12] 		NCUs, NIMCs 2024/06 Initiated Note that NIMC meetings in PNG and TL have already been undertaken and will continue on an annual or biannual basis. Subsequent NIMC meetings in all 3 countries will include regular agenda on SAP and NAP joint planning and reporting.
Engage the NIMCs in each country in the updating process of SAP and NAPs to identify areas of alignment and support, and secure inputs from the NIMC members in the updated SAP and NAPs and corresponding SAP and NAP Financial Plans.
[Added: 2022/09/12] 		NCUs, NIMCs 2023/12 Not Initiated The updating of SAP and NAPs are targeted to commence by December 2022 up to 2023
Upon completion and endorsement of the updated SAP and NAPs at NPB/NIMC and RSC/RCC level, secure country commitments to submit key priorities of the SAP and NAPs in their respective country or relevant Ministries development programs or plans.
[Added: 2022/09/12] 		NCUs and RPMU, NIMCs, RSC/RCC 2023/11 Not Initiated The updated SAP and NAPs are expected to be endorsed at least at NPB and RSC level by 2023
Include country commitments to mainstream updated SAP and NAP priorities in their national development planning and programmes as part of the 2nd ATS Ministerial Declaration.
[Added: 2022/09/12] 		RPMU and NCUs, NPBs, ATS Countries 2024/01 Not Initiated The Ministerial Forum is expected to be convened in 2024
Include country commitments to mainstream updated SAP and NAP priorities in their national development planning and programmes as part of the 2nd ATS Ministerial Declaration.
[Added: 2022/09/12] 		RPMU and NCUs, NPBs, ATS Countries 2024/01 Not Initiated The Ministerial Forum is expected to be convened in 2024
7. Recommendation:

REG. 7. RSC Meetings– PEMSEA and RPMU in cooperation with the Implementing and Executing Agencies should more actively use options for holding ad-hoc intersessional meetings of the RSC to ensure timely approval of important documents, effective management of project risks and endorsement of critical decisions needed for implementation of the project.

The MTR observed that the RSC has duly executed its oversight function for the project. However, several important documents were prepared and had to wait until the meeting of the RSC. Increased frequency of the RSC meetings will accelerate approval of important decisions for critical actions in the project implementation.
Management Response: [Added: 2022/09/12]

The Project would like to clarify that as part of the adopted ToR of the RSC, ad hoc intersessional meetings may be convened upon request. In the past years, the Project has also organized thematic RSC discussion to secure RSC guidance and inputs on crucial regional reports or assessments. One intersessional RSC meeting was also organized in 2020 as part of management response to gauge impact and provide guidance in project implementation at the time of COVID.

Noting the value of accelerating approval and to ensure more effective project management, the ATSEA-2 Project Team concurs with the recommendation and will coordinate and secure RSC approval to put in place a mid-year RSC meeting (preferably virtual to save cost) as part of its regular meetings. The mid-year meetings are envisioned to mainly facilitate intersessional review of key progress as well as review and guide possible adjustment in annual work plan and budget as deemed necessary.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Secure RSC approval on the inclusion of mid-year/intersessional RSC meeting in its annual activities/meetings, or to organize intersessional high-level thematic discussions as needed.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		RPMU 2022/12 Initiated Preparation for RSC ongoing. MTR recommendations and agreed management actions included in the meeting agenda. History
Upon concurrence from RSC, the RPMU to include convening of the mid-year RSC meetings as part of its annual work plan.
[Added: 2022/09/12] 		RPMU 2022/12 Not Initiated History
8. Recommendation:

REG. 8. Enhancing Community Understanding and Engagement of SAP/NAP Implementation – PEMSEA and the RPMU should consider preparation of popular versions of the updated SAP/NAPs for better information of the target communities. The project ultimate goal is protection and sustainable management of ATS marine and coastal resources through implementation of the regional SAP and related NAPs. More active involvement of target beneficiary communities could be ensured if the local leaders and community-based organisations fully understand the need for the SAP/NAPs actions particularly in cases of impacts of the actions on local livelihood and subsistence challenges.
Management Response: [Added: 2022/09/12]

The Project concurs with the MTR recommendation and will pursue the inclusion of development of supporting information materials and conduct of awareness building activities as part of the SAP and NAPs implementation. In particular, local Communication Plan linked to specific target activities at the site levels will be developed and customized on their needs and priorities. Key products and activities to be pursued may include: brochures, posters, project sign boards, community environmental contests, local policy briefs which can serve as reference for public consultations and local strategic planning, targeted information materials and engagement of targeted stakeholders,etc.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Support NCUs in developing local communication plans to guide information dissemination and stakeholder activities in support of SAP and NAPs implementation
[Added: 2022/09/12] 		RPMU and NCUs 2023/12 Not Initiated An ATSEA-2 Communications and Stakeholder Engagement Plan has been developed at the regional level and will serve as guide in further development of specific local communication plans
Develop different types of information materials or products and activities that would cater to specific target local stakeholders and beneficiaries
[Added: 2022/09/12] 		RPMU and NCUs 2023/12 Not Initiated
Tap media networks of ATSEA-2 to facilitate wider reach
[Added: 2022/09/12] 		RPMU and NCUs 2024/06 Not Initiated
9. Recommendation:

IDN. 1. Relevance or Attainability of Some End of Project Target and Activities – The RPMU in cooperation with the NCU Indonesia should conduct a critical revision and reassessment of the following elements of the project SRF which were observed to be either not relevant or not attainable:

  • Modify Activity 2.1.3-8 on IUU fishing through conducting a study to establish a baseline on IUU fishing in FMA 718 in Aru and Merauke areas as project sites
  • Modify Activity 2.1.3-10 on improved provincial registration of vessel systems for a more specific definition of the target vessel systems in Maluku and Papua covering three commodities (red snapper, shrimp, and barramundi)
  • Revise the EOP target for Indicator 16 through utilization of new MPA management effectiveness scoring of EVIKA and potentially adopt a new indicator for the Kolepom MPA to comply with Indonesian government requirements
  • Reconsider relevance of Activity 2.3.2-16 on the feasibility study for ecotourism development in the Kolepom MPA
  • Modify Activities 2.3.3-6 and 2.3.3-7 on conducting a feasibility study on alternate livelihood tourism opportunities for the communities in Aru
  • Islands, Rote, and Merauke and possibly other sites through education for local communities on turtles’ conservation while providing alternative nature-based livelihoods or capacity building options
  • Reconsider relevance of Activity 2.4.3-4 on technical training for maintenance and repair of the solar-powered water desalination units and eventually replace with activities related to water, sanitation, and hygiene (WASH) projects, for access to safe and affordable drinking water
  • Modify the EOP targets for under Indicators 13 and 14 to make them clearer and more specific and attainable
Management Response: [Added: 2022/09/12]

The Project concurs with the MTR recommendation and will pursue the clarification of each the identified EOPs with concern. In particular, the Project would like to propose modification on the following two (2) targets related to Protected Area Management Effectiveness Score of SE Aru and Support to Water Desalination Plant in Nusa Manuk, for further confirmation with the NPB and RSC:

  1. In compliance with both the MMAF requirement on the use of the EVIKA system and the ATSEA-2 Project requirement on the use of the METT system, the NCU will pursue assessment for both systems and report results at mid-term (within 2022) and end of project. It should be noted that the Project’s end of project METT rating of 92 (from baseline of 39) was also deemed unrealistic taking into consideration that more mature MPAs in Indonesia have yet to reach the rating of 80 METT. Thus, a proposed target of not more than 70 METT (50-85% for EVIKA) will be submitted for consideration as new EOP.
  2. For target output to provide capacity in maintenance and repair for Nusa Manuk’s water desalination plant, it should be noted that the facility has been broken way before the start of the ATSEA-2 project and this was further confirmed in inspections of ATSEA-2. Given the remaining available limited time and resources, the ATSEA-2 Project Team proposes to drop the target and reallocate the intervention to Landu Tii of Rote Ndao which has the same issues as Nusa Manuk on access to clean water. Since the project team already have interventions in the location, there will be higher impact by providing a more comprehensive intervention in Landu Tii. This location was also identified as hotspot for oil spill and climate impact.
  3. Note: The proposed change in hectare coverage in the newly established MPA in Kolepom is included as part of Management Response under Recommendation or Issue REG. 3.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Submit the MTR recommendation and convene the NPB and RSC to secure their approval and to formalize the change of EOP and activity level, as follows: Activity level - Baselining IUU fisheries in 718 with specific focus in Aru and Merauke area - Improve fishing vessel registration at the provincial level for red snapper, shrimp and barramundi in Maluku and Papua - Modify feasibility tourism assessment to feasibility for fisheries processing product or another relevant alternative livelihood - Propose changing of location for WASH project from Nusa Manuk to Landu Tii End of Project (EOP) Target: - Align EVIKA and METT tracking tools to support management effectiveness in SE Aru - Specify the EOP of reduce fishing pressure and improve use fish/gear techniques based on further assessments
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCUs, NIMCs, NPB, RSC 2022/12 Initiated NPB meeting is scheduled on September 20-21, 2022. All meeting documents including targets with suggested modifications included in the agenda. History
Collaborate with MMAF and Provincial Government of Maluku and Papua to escalate initiatives on fishing vessel registration
[Added: 2022/09/12] 		NCUs, NIMCs, NPB 2023/12 Initiated The fisheries fishing vessel registration is already ongoing as part of the EAFM action plan implementation. NCU will further assist the Provincial Governments in the process
Conduct an assessment on EVIKA and METT for SE Aru to see how EVIKA aligns with the METT system and report both EVIKA and METT scores (at midterm or within 2022 and end of project) to comply both with the ATSEA-2 project requirement on METT and the internal country requirement on EVIKA.
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCUs, NIMCs, NPB 2024/01 Initiated Method/guidance for the assessment covering both EVIKA and METT will be discussed at the NPB meeting scheduled on September 20-21, 2022. History
Conduct feasibility study on fisheries processing product or another relevant alternative livelihood
[Added: 2022/09/12] 		NCUs, NIMCs, NPB 2022/12 Initiated The TOR has been developed and under procurement process from UNDP for Aru and Merauke. The implementation forms part of the EAFM action plan for Red Snapper, Shrimp and Barramundi Feasibility study in Rote Ndao is already available and is being implemented since 2021
Collaborate with MMAF, local government and other partner to manage gap assessment related to water, sanitation, and hygiene (WASH) for access to safe and affordable drinking water in Landu Tii
[Added: 2022/09/14] 		NCUs, NIMCs, UNDP 2023/12 Not Initiated Actions will build on recommendations and will be aligned with ICM action plan that has already been developed
10. Recommendation:

IDN. 2. Administrative and Procurement Procedures for Indonesia Component- The UNDP CO in Indonesia in cooperation with the NCU should conduct a critical review of the procurement and other administrative assistance and identify causes of delays. Several project stakeholders perceive the administrative and procurement procedures under UNDP CO Indonesia causing delays in the project implementation.
Management Response: [Added: 2022/09/12]

The ATSEA-2 Project Team is committed to work closely with UNDP procurement unit to identify the gaps or aspects causing delays in the procurement process and to jointly identify strategic actions. The project team also seeks further guidance from UNDP to manage the procurement and financial process from field site locations where there are limited access and facilities.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Coordinate with UNDP to identify major issues or cause on delay of administration and procurement processes
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCUs, UNDP, 2022/12 Initiated NCU has raised the issues in PSM and PSM has already undertaken actions to speed up the process. A separate discussion is also being arranged to discuss other concerns that are coming from other team (FRMU) requiring a different modality for financial requirement. History
Conduct vendor registration for potential stakeholders that are or will be involved in project implementation and promote potential vendors from hotel, car rentals and other third party particularly in project sites
[Added: 2022/09/12] 		NCUs, NPB, UNDP 2023/12 Initiated The registration in relation to current, activities is already ongoing. More explanation of UNDP procedure will need to be provided to potential vendorsin field sites
Identify an additional team to support administration and procurement staffing to further support and facilitate more efficient administration process and secure approval of the same in the NPB meeting
[Added: 2022/09/12] 		NCUs, NPB, UNDP 2022/12 Initiated History
11. Recommendation:

IDN. 3. The NCU Indonesia should intensify consultations with the NPB and UNDP Indonesia for focusing more on performance and achieving results through arrangement of the NPB meetings at least semi-annually (at the middle and the end/beginning of the year). The once per year frequency of meetings of the NPB Indonesia is not sufficient for achieving needed decisions for smooth implementation of the planned activities in Indonesia.
Management Response: [Added: 2022/09/12]

The Project welcomes the recommendation. In line with this, the ATSEA-2 Project Team has initiated in 2021 the convening of at least 2 NPB meeting in a year to track project implementation and arrange the strategic workplan. The ATSEA-2 Project Team will coordinate further with the NPB to discuss more strategic issues and design a more performance and results-based agenda. Specific issues will be further identified and tackled at technical meetings with resulting major recommendations elevated to the NPB for final review and decisions.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Coordinate and facilitate periodic meetings with NIMCs or MMAF related to technical issues based on thematic issues
[Added: 2022/09/12] 		NCUs, NPB, UNDP 2024/01 Not Initiated The formalization of NIMC will be pursued within 2022. Periodic meetings will be convened once NIMC is fully operational.
NCU to ensure and arrange at least 2 (two) NPB meetings in a year focusing more on performance and results-based agenda
[Added: 2022/09/12] 		NCUs, NPB, UNDP 2024/01 Not Initiated NCU will seek further assistance from UNDP and consult further with the NPB in developing a template MoM/guide for conducting results-based NPB meetings
12. Recommendation:

TL. 1. Stakeholder Ownership of Project Interventions– The Timor-Leste NCU in cooperation with the UNDP CO should ensure inclusion of additional stakeholders, in particular, local authorities at Suco level need to be more involved in the decision-making on implementation of projects in their areas for reinforcing their ownership of project interventions for community development, coastal management, and environmental protection, in particular with respect to IUU fishing in the Timor Sea
Management Response: [Added: 2022/09/12]

The Project notes the findings and recommendations and is fully committed to ensure that key stakeholders are properly informed and engaged in the activities being or to be undertaken in their respective sites or areas, including in Suco as suggested by the MTR. This will be undertaken by ensuring proper identification, notification, and engagement of relevant stakeholders on the different activities as part of the roll out of ICM plan and other livelihood related initiatives in concerned communities. A pre- and post- activity simple survey will also be included as part of regular initiative to track stakeholder feedback and concerns.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
With support from site mobilizer, identify and engage relevant stakeholders at the site level in various project activities
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU 2024/03 Initiated Site mobilizer already undertaking actions for more active stakeholder engagement. NCU also plans to hire additional site mobilizer. History
13. Recommendation:

TL. 2. Measurement of Impacts of Livelihood Initiatives– The NCU in cooperation with the RPMU should strengthen the M&E system to reflect the activities more comprehensively as a ‘bridge’ between UNDP ATSEA 2 project and the Government of Timor-Leste, and to gather evidence on the impact of the community livelihoods support projects in the country.
Management Response: [Added: 2022/09/12]

The Project notes the findings and recommendations and is fully committed to ensure that the M&E system is strengthened to reflect the activities more comprehensively as a ‘bridge’ between UNDP ATSEA 2 project and the Government of Timor-Leste. The project is already monitoring and reporting impacts of various livelihood activities through the adopted ICM plan etc. and will further ensure extra effort to gather evidence on the impact of the community livelihoods support projects in the country as the ICM Plan implementation progresses. The project is also considering recruiting an M&E officer to support the NCU, with expertise in communication who will further assist the project in communicating its activities and results on the ground as well as their respective impacts on community livelihoods in the country. The M&E for the UNDP country office has also been providing support towards M&E related activities and will strengthen it in coordination with the project site mobilizers to collect all the relevant evidence on the impact of the community livelihood support projects in the country.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Implement and monitor the impacts of the ICM Plan implementation for Posto Administrative Barique in Manatuto Municipality
[Added: 2022/09/12] 		ATSEA-2 PMU and UNDP TL CO 2024/03 Initiated ATSEA-2 will support specific community-based activities in support of the ICM plan in PA Barique. The activities under the plan will be implemented by a selected NGO following the issuance of a call for proposals, where different NGOs have expressed interest. Final selection of appropriate NGO is expected by September. The community-based activities will include M&E to gather evidence on the impact of the community livelihoods support projects.
Recruit an M&E expert to support the NCU
[Added: 2022/09/12] 		ATSEAPMU/UNDP TL Country Office 2022/12 Not Initiated The recruitment of the Communication Assistant/M&E will be initiated and finalized by early 2023
Conduct a refresher training on M&E for relevant project staff
[Added: 2022/09/12] 		RPMU, UNDP CO 2023/03 Not Initiated A briefing on M&E on basic M&E terminologies and process specific to the requirements of UNDP and GEF in support of ATSEA-2 M&E requirements were provided to the National Project Coordinator by the M&E Specialist of RPMU. However, a refresher training with additional elements on impact/results-based monitoring and reporting is further needed for the national project coordinator as well as other NCU staff.
14. Recommendation:

TL. 3. Alternative Livelihood Tourism Initiatives – The NCU in cooperation with the RPMU should conduct comprehensive planning for alternate livelihood support projects for communities in the targeted municipalities. Beneficiary community groups should be supported in development of business plans and sharing of success stories in order to identify opportunities for making the best possible use of their comparative advantages and optimize achievement of results.
Management Response: [Added: 2022/09/12]

The project takes note of the recommendation and in coordination with RPMU, the beneficiary community groups will be supported accordingly to support sharing of success stories and identifying opportunities for making the best possible use of their comparative advantages and optimize achievement of results. The project is already doing this by offering financial and cooperatives management trainings etc. for the established cooperative and other beneficiary group members. The project will further continue to build on these to continue improving the ability of targeted beneficiary community groups for good and sustainable results.

Four (4) calls for proposals have been issued and potential NGOs/CBOs/CSOs have expressed interest to facilitate the implementation of the specific livelihood activities related to marine turtles conservation, establishment of drought resilient home gardens and ICM plan implementation. The actions to be undertaken includes promotion of ecotourism and livelihood opportunities for the local communities—through the established local groups/cooperatives—while strengthening the management of marine coastal resources. Through these engagements, the selected NGOs will implement activities following a clear business framework and ensure more systematic execution of activities, including monitoring and reporting of impacts or benefits. The capacity of these NGOs/CBOs/CSOs will also be strengthened to further help in sustaining the results.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Coordinate with RPMU for a comprehensive planning to ensure more strategic and systemic design and implementation of targeted alternate livelihood support projects
[Added: 2022/09/12] 		NCU, RPMU 2023/08 Initiated Discussions and coordination are ongoing Key strategic points to be considered include: identification of the stakeholders, conduct of pre and post engagement surveys, evelopment and stakeholder consultation and awareness building on a clear business plan for community-based alternative livelihoods, and inclusion of regular monitoring of impacts to beneficiaries.
Complete the process for Call for proposals
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		UNDP CO, ATSEA-2 PMU 2022/12 Completed Contracts have already been signed by the selected NGO. Implementation of work has just been initiated. History
Carry out and monitor the implementation and impacts of the agreed plans in close consultation with the targeted communities and supporting NGOs/CBOs/CSOs
[Added: 2022/09/12] 		NCU, RPMU 2024/03 Not Initiated To be undertaken upon roll out of the plans
15. Recommendation:

PNG. 1. Capacity Building for South Fly Artisanal Fishery Management Plan Implementation – PEMSEA in cooperation with the NCU and RPMU should ensure provision of capacity building on AFMP management and enforcement to the local governments in the SFD communities. The flagship deliverable for the Papua New Guinea component is the development of the Artisanal Fisheries Management Plan (AFMP for the South Fly District (SFD). It is expected that the Plan will be officially gazetted and will thus become a law to be incorporated into local legislation at the village level. Successful implementation of the Plan will require effective management of the AFMP by the fishing villages’ authorities.
Management Response: [Added: 2022/09/12]

The Project concurs with the recommendation. The draft SFAFMP which is currently undergoing stakeholder consultation includes an EAFM training to facilitate better understanding and support to the adoption and implementation of the SFAFMP. As part of long-term implementation of the SFAFMP, capacity building plan and support to strengthen enforcement of SFAFMP will be further developed together with NFA and the South Fly Stakeholder Committee once it is formally established by end of 2022/early 2023.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Develop training and awareness materials on the SFAFMP
[Added: 2022/09/12] [Last Updated: 2022/11/08] 		NCU PNG, Eco Custodian Advocates 2022/12 Initiated History
Conduct EAFM training(s) on the SFAFMP
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU PNG, Eco Custodian Advocates 2023/03 Initiated EAFM Training was conducted from 29 August to 2 September, concurrent with the management plan consultation with fisheries managers in South Fly. Additional EAFM training is expected to be conducted by 2023 upon roll out of the SFAFMP History
Conduct Awareness on SFAMP in South Fly villages
[Added: 2022/09/12] 		NCU PNG 2023/06 Initiated Some awareness building activities have been undertaken during the initial field work to collect data. It will be a continuing activity
Artisanal fishery data collection training
[Added: 2022/09/12] 		NCU PNG 2023/03 Not Initiated Villagers will be trained on simple data collection so they can collect important data from the start of implementation to monitor effectiveness
16. Recommendation:

PNG. 2. The RPMU in cooperation with PEMSEA and the NCU PNG should conduct a critical revision and reassessment of the EOP targets for Output 2.1.1 in the project SRF: 

  • Reset the target for Indicator 13 on more sustainable production of dried fish maw to also cover production and use of fish maw carcass;
  • Redefine the target for Indicator 14 on improved use of fishing gears by artisanal fisheries in line with the South Fly Fore-coast AFMP

Indicators 13 and 14 in the project SRF are poorly defined and there are no specific activities defined in the Project Document for achievement of the respective EOP targets for PNG. Assessments completed under the project proved that the EOP targets were determined based on outdated baseline data and therefore unrealistic and unclear.
Management Response: [Added: 2022/09/12]

For supporting information, it should be noted that the production and trade of dried fish maw remains to be unregulated in PNG which makes monitoring and reporting difficult at this time. In line with this, NFA is in the process of developing a management plan for the fish maw fishery. As part of that process, NFA will be collecting data on fish maw harvest including in South Fly. This NFA work aligns with ATSEA-2 objectives for managing fish maw harvest. The project will collaborate with NFA on fish maw management in South Fly. The project therefore concurs with the recommendation. To address this, further surveys have to be conducted in South Fly communities to collect quantitative data on current fish maw harvest and the fishing gear used by the artisanal fishers to complement some baseline data collected for the artisanal fisheries management plan. Once the key fish maw target species have been identified and their populations have been estimated then their sustainable harvest rate can be determined and harvest quota set. Baseline data on fishing gear used need to be updated before the management plan is implemented and fishing gear restrictions applied. Once the baseline fishing gear use and the gear restrictions are known then a target for improved use of fishing gears can be set.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Collaborate with NFA and develop a field work proposal for fish maw data collection
[Added: 2022/09/12] [Last Updated: 2022/11/25] 		NFA, NCU PNG 2022/12 Initiated The fisheries fishing vessel registration is already ongoing as part of the EAFM action plan implementation. NCU will further assist the Provincial Governments in the process History
Conduct quantitative data collection on fish maw harvest and the use of fish carcass
[Added: 2022/09/12] 		NFA, NCU PNG 2023/03 Not Initiated There will be primary data collected for the TDA updating process. Some of these data will be on fish maw harvest which will complement the data collected by NFA and ATSEA project for fishery management in South Fly.
Sustainable harvest assessment and fish maw harvest target setting
[Added: 2022/09/12] 		NFA, NCU PNG 2023/04 Not Initiated
Confirm baseline data on fishing gear use and based on this set the targets for the SFAFMP
[Added: 2022/09/12] 		NFA, NCU PNG 2022/12 Not Initiated There will be further primary data collected for the TDA updating process to update or confirm baseline data on fishing gear use.
Assess/monitor compliance of smallscale fishers on the SFAFMP on the use of sustainable fishing gears and techniques
[Added: 2022/09/12] 		NFA, NCU PNG 2024/06 Not Initiated
17. Recommendation:

PNG. 3. Other Resources for Strengthening of Community Livelihood Activities – PEMSEA and UNDP in cooperation with the RPMU and PNG NCU should assess options for re-allocation of the project funds to the PNG component and consider reaching out to the private sector (e.g. Ok Tedi Development Foundation) for joint activities and additional support to implementation of community level activities, including linking with the GEF Small Grants Programme in PNG and with the Australian High Commission in PNG. Budget allocation for the PNG component in the
approved Project Document is underestimated and lack of funding can negatively affect roll out of the South Fly AFMP and completion of the first NAP for PNG. Implementation of community-level livelihood activities in the SFD will be strengthened through attracting additional resources from various available sources of financing.
Management Response: [Added: 2022/09/12]

The project concurs with the recommendation. The NCU PNG will discuss the budgetary constraints of the PNG component with RPMU, PEMSEA, and UNDP and explore options for making funding available to successful implementation and completion of projects in PNG. NCU PNG will also conduct joint planning as part of its periodic NPB and NIMC/SPF meetings to discuss with NFA and other development partners potential collaboration and co-financing support (in cash or in kind) for relevant aspects of the projects.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Develop 2023 AWP and budget (including a work plan and budget estimation for 2024) and discuss with RPMU, PEMSEA and UNDP
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU PNG 2022/12 Initiated The proposed AWP and Budget for 2023 as well as projections for 2024 have been developed and will be submitted for review by PNG’s NPB which is scheduled to meet on September 22, 2022. History
Discuss and establish formal arrangements with cross sectoral development partners (e.g. Small Grants Programme, Australian High Commission, etc.) for in cash or inkind support on specific ATSEA-2 PNG activities
[Added: 2022/09/12] [Last Updated: 2022/09/14] 		NCU PNG, NFA 2023/03 Initiated Recent meeting was conducted with the Australian High Commission (AHC) with PNG wherein AHC expressed initial support to target activities related to South Fly. History
Discuss with NFA to mainstream National Secretariat role as part of a functional unit of NFA
[Added: 2022/09/12] 		NCU PNG, NFA 2023/03 Not Initiated

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