Coastal Fishing Initiatives Project

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Evaluation Plan:
2017-2021, Peru
Evaluation Type:
Mid Term Project
Planned End Date:
04/2021
Completion Date:
11/2020
Status:
Completed
Management Response:
Yes
Evaluation Budget(US $):
20,000

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Title Coastal Fishing Initiatives Project
Atlas Project Number: 00096507
Evaluation Plan: 2017-2021, Peru
Evaluation Type: Mid Term Project
Status: Completed
Completion Date: 11/2020
Planned End Date: 04/2021
Management Response: Yes
UNDP Signature Solution:
  • 1. Poverty
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
SDG Goal
  • Goal 13. Take urgent action to combat climate change and its impacts
  • Goal 14. Conserve and sustainably use the oceans, seas and marine resources for sustainable development
  • Goal 15. Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss
SDG Target
  • 13.2 Integrate climate change measures into national policies, strategies and planning
  • 14.5 By 2020, conserve at least 10 per cent of coastal and marine areas, consistent with national and international law and based on the best available scientific information
  • 15.1 By 2020, ensure the conservation, restoration and sustainable use of terrestrial and inland freshwater ecosystems and their services, in particular forests, wetlands, mountains and drylands, in line with obligations under international agreements
Evaluation Budget(US $): 20,000
Source of Funding: Donor
Evaluation Expenditure(US $): 19,895
Joint Programme: No
Joint Evaluation: No
Evaluation Team members:
Name Title Email Nationality
Joseph Ryan Evaluator nicavet2000@yahoo.com NICARAGUA
GEF Evaluation: Yes
GEF Project Title: Coastal Fisheries Initiative – Latin America
Evaluation Type: Terminal Evaluation
Focal Area: Multifocal Areas
Project Type: FSP
GEF Phase: GEF-6
GEF Project ID: 9124
PIMS Number: 5573
Key Stakeholders:
Countries: PERU
Lessons
Findings
Recommendations
1

Based on the delays in start-up in combination with the restrictions caused by COVID-19, the PMU (Project Management Unit) must request the PNUD-ORLAC (Regional Office for Latin America and the Caribbean) as soon as possible, an extension of 12 more months for the execution of the project. Thus, the PMU should carry out a programmatic and financial analysis to define how long an extension can be.

2

Prepare a strategy, validate it and convene a workshop to rebuild the Theory of Change (ToC) and adjust the results matrix based on the new assumptions, risks and SMART indicators, starting its implementation as soon as possible.

3

Update the approaches and indicators related to gender in both countries to mainstream it in the CFI-LA. Create an enabling environment to improve the management process with a gender perspective in the fisheries supported by CFI-AL, to ensure that women and men have the same opportunities in decision-making and access to resources

4

: Exchange practical experiences that have been achieved in each country

5

Develop an M&E and Knowledge platform in real time, designed based on a theory of change with SMART consequence indicators in each country. It is a high priority that the M&E system of Component 3 is complemented with an M&E and Learning platform, which is executed in real time

6

Strengthen the Binational coordination of the CFI-LA and prepare a risk analysis and a Mitigation Plan. Both countries should consider preparing a Transboundary Diagnosis and take advantage of the project's opportunity to generate a binational plan for joint actions on common elements in fisheries

7

Develop the Sechura Bay IdSO based on a GBE / ICZM / PEMC approach and exchange experiences. In order to compare binational approaches, several detailed recommendations are made in the report, the essence of which is summarized in the following paragraph:Develop a real-time M&E and Learning platform aligned to the improved theory of change, in order to promote adaptive management with a highly participatory approach, under the leadership of an intersectoral authority (COMUMA) and active participation of local authorities in the decision processes.

8

Streamline the processes to process the contracting of services and budget execution. Because this is the current bottleneck, mechanisms must be identified to help streamline the approval and execution processes of budgets for carrying out project activities.

9

Arrive at a single definition of the concept of ecosystem management to be applied and SMART indicators that inform the extent to which it reaches the triple line of impacts. The PMU team must identify the concept of management based on the ecosystem (GPBE or GBE) relevant to the CIF-AL

10

Continue experimenting with incentives that can speed up the formalization of artisanal fishers.

It is essential to take up the initiative of the Piura regional government to find a way to formalize artisanal fishermen to work formally and it is a high priority to overcome this barrier, just as it should be prioritized for other fisheries

11

Better use of the Inception Phase to resolve gaps and uncertainties in projects. It is essential that the STAP report be shared with all key stakeholders, and the report's recommendations are also applied, as in the case of CFI-AL, a review of the Theory of Change, in relation to the assumptions, risks and measures to mitigate them, likewise, build indicators that are SMART.

12

Review the processes that result in weakly formulated projects. 

13

Conduct a survey of the concentrations of persistent pollutants in the water, sediments and the shell and crabs of the Mangrove Sanctuary of Tumbes, Sechura and the wetlands where the project is intervening in Ecuador.

14

: It is suggested that the CFI pay greater attention to fisheries, labor and human rights, particularly those indicated in the one-dimensional indicators of the IdSO

15

Prepare a project sustainability / Exit strategy, which includes the responses to the recommendations of this evaluation, as well as the actions requested in the PIRs.

Management Response Documents
1. Recommendation:

Based on the delays in start-up in combination with the restrictions caused by COVID-19, the PMU (Project Management Unit) must request the PNUD-ORLAC (Regional Office for Latin America and the Caribbean) as soon as possible, an extension of 12 more months for the execution of the project. Thus, the PMU should carry out a programmatic and financial analysis to define how long an extension can be.

Management Response: [Added: 2021/06/01]

Recommendation Accepted. A programmatic analysis will be carried out to determine the time necessary for the conclusion of the strategic actions underway and a financial analysis that indicates whether it is feasible to comply with that time, the extension of the project term will be requested before the corresponding authorities.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The Board of Directors will be asked to approve the request for a 12-month extension.
[Added: 2021/06/01]
Project team and project board 2021/01 Completed The project Board approuved to the request for a 12-month extension GEF.
The procedure established by the UNDP for requests to extend the term of projects financed by the GEF will be carried out and will be delivered to UNDP-ORLAC for the respective approval.
[Added: 2021/06/01]
Project team and CO 2021/03 Completed Thenon cost extension reuest was submiited to the GEF and the extension was approuved
2. Recommendation:

Prepare a strategy, validate it and convene a workshop to rebuild the Theory of Change (ToC) and adjust the results matrix based on the new assumptions, risks and SMART indicators, starting its implementation as soon as possible.

Management Response: [Added: 2021/06/01]

Recommendation accpeted. 

With the support of an expert, the Theory of Change and the results framework of the CFI Project will be reviewed and reformulated

Key Actions:

Key Action Responsible DueDate Status Comments Documents
A specialized consultant will be hired to train the PMU and the members of the DN and guide the improvement of the ToC and adjustment of the results framework.
[Added: 2021/06/01]
project team and CO 2021/03 Completed A consultant was hired
RTA and Donor approval will be requested according to established procedures.
[Added: 2021/06/01]
project team and CO 2021/03 Completed
3. Recommendation:

Update the approaches and indicators related to gender in both countries to mainstream it in the CFI-LA. Create an enabling environment to improve the management process with a gender perspective in the fisheries supported by CFI-AL, to ensure that women and men have the same opportunities in decision-making and access to resources

Management Response: [Added: 2021/06/01]

Recommendation accpeted. The current gender strategy has been updated by the project's gender specialist, however, the other recommendations will be included and work will be done hard on the empowerment of women participating in the fisheries value chain.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Review and approval of the strategy will be requested by the RTA
[Added: 2021/06/01]
RTA and project team 2021/08 Overdue-Initiated History
4. Recommendation:

: Exchange practical experiences that have been achieved in each country

Management Response: [Added: 2021/06/01]

Recommendation accpeted. Within the framework of the Knowledge Management Strategy, the Work Plan for the exchange of experiences will be prepared, which will consider the recommendations of the MTR

Key Actions:

Key Action Responsible DueDate Status Comments Documents
A specific Work Plan will be prepared for the exchange of experiences, with a gender perspective and that considers actions at the local, regional and global level
[Added: 2021/06/01]
Project team 2021/09 Initiated
The Work Plan will be implemented
[Added: 2021/06/01]
Project team 2022/10 Not Initiated
5. Recommendation:

Develop an M&E and Knowledge platform in real time, designed based on a theory of change with SMART consequence indicators in each country. It is a high priority that the M&E system of Component 3 is complemented with an M&E and Learning platform, which is executed in real time

Management Response: [Added: 2021/06/01]

Recommendation accpeted. Based on the reconstructed ToC and the new Project results framework, an M&E and knowledge platform will be developed in real time, this platform will consider the existing instruments of other state entities.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The conceptual design of a real-time knowledge and M&E platform will be carried out, based on the reconstructed ToC and taking into account the systems that are already being implemented with the strategic partners.
[Added: 2021/06/01]
Project team 2021/03 Completed
The implementation of the M&E platform and knowledge in real time will be facilitated, with the participation of related institutions from both Peru and Ecuador. This platform will be complemented with a virtual tool to facilitate the management of the system.
[Added: 2021/06/01]
Project team 2021/10 Not Initiated
6. Recommendation:

Strengthen the Binational coordination of the CFI-LA and prepare a risk analysis and a Mitigation Plan. Both countries should consider preparing a Transboundary Diagnosis and take advantage of the project's opportunity to generate a binational plan for joint actions on common elements in fisheries

Management Response: [Added: 2021/06/01]

Recommendation accepted

Information will be gathered with the support of other existing binational projects to determine the main risks within the framework of the CFI project that affect the two countries, based on which a mitigation plan with binational actions will be drawn up, the scope of which is dimensioned according to the financial possibilities of the CFI project.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
. An analysis will be carried out based on the information and experience of other binational projects related to the objectives of the CFI project.
[Added: 2021/06/01]
project team 2021/10 Initiated
A specific action plan will be formulated for binational activities based on the previous analysis and with a focus on the governance of artisanal fisheries and the resources prioritized in the project.
[Added: 2021/06/01]
Project team 2021/10 Not Initiated
The binational activities plan will be implemented
[Added: 2021/06/01]
project team and Implementing Partner 2022/10 Not Initiated
7. Recommendation:

Develop the Sechura Bay IdSO based on a GBE / ICZM / PEMC approach and exchange experiences. In order to compare binational approaches, several detailed recommendations are made in the report, the essence of which is summarized in the following paragraph:Develop a real-time M&E and Learning platform aligned to the improved theory of change, in order to promote adaptive management with a highly participatory approach, under the leadership of an intersectoral authority (COMUMA) and active participation of local authorities in the decision processes.

Management Response: [Added: 2021/06/01]

Recommendation Accepted. The IdSO to be developed in Bahía de Sechura will have a highly participatory approach and will consider Ecosystem-based Management. Beneficiaries will have active participation in self-learning and in the monitoring and evaluation (M&E) process. Indicators will be analyzed to ensure they are SMART, especially for the social dimension. Likewise, a joint M&E platform will be built for IdSO and the Sechura Bay PEMC. In addition, to improve the comprehensive results of the project, the development of the M&E system will be extended to what was developed in Ecuador based on IdSO and PEMC.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
With the leadership of PRODUCE, the GTTE IdSO - COMUMA will be strengthened and mechanisms will be implemented to ensure the participation of the authorities and entities of the sectors that affect the Sechura area.
[Added: 2021/06/01]
PRODUCE and Project team 2021/10 Initiated
The articulation of the actions of the "GTTE - IdSO Implementation" and "GTTE - PEMC" will be promoted.
[Added: 2021/06/01]
PRODUCE, MINAM and Project team 2021/10 Initiated
The Sechura Bay IdSO will be developed with a GBE / MIZC / PEMC approach and emphasis on indicators will be SMART, sustainability of the IdSO evaluation and the exchange of experiences.
[Added: 2021/06/01]
PRODUCE & project team 2021/10 Initiated
A roadmap will be developed to implement and monitor the PEMC and IdSO in Sechura, with an ecosystem-based management approach
[Added: 2021/06/01]
Produce & project team 2021/12 Not Initiated
Include the PEMC and the Sechura IdSO in the development of the M&E platform and knowledge in real time, with a participatory approach and management based on ecosystem / ICZM / PEMC and exchange of experiences.
[Added: 2021/06/01]
MINAM, PRODUCE and project team 2022/01 Not Initiated
Actions will be implemented to strengthen the Interinstitutional Committee of the Sea, which has among its attributions the articulation of national policies related to maritime space: • Progress and experiences in the PEMC and IdSO of Ecuador will be shared with Peru and other countries. • It will join the promoter group for Marine-Coastal Spatial Planning as part of the working group of the Inter-Institutional Commission of the Sea. • The validated proposal of the PEMC of the Gulf of Guayaquil will be disseminated among the members of the Interinstitutional Commission of the Sea.
[Added: 2021/06/01]
MAA of Ecuador, Conservation International with the support of the PMU 2021/09 Not Initiated
8. Recommendation:

Streamline the processes to process the contracting of services and budget execution. Because this is the current bottleneck, mechanisms must be identified to help streamline the approval and execution processes of budgets for carrying out project activities.

Management Response: [Added: 2021/06/01]

Recommendation accpeted. Project processes will be reviewed in order to make adjustments to streamline management.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The project processes will be analyzed and an improvement plan will be proposed to streamline the administrative and operational management of all related parties.
[Added: 2021/06/01]
Project team 2021/09 Not Initiated
The improved processes will be submitted for approval by the National Directorates.
[Added: 2021/06/01]
Impelemnting partners of Ecuador and PEru and project team 2021/09 Not Initiated
9. Recommendation:

Arrive at a single definition of the concept of ecosystem management to be applied and SMART indicators that inform the extent to which it reaches the triple line of impacts. The PMU team must identify the concept of management based on the ecosystem (GPBE or GBE) relevant to the CIF-AL

Management Response: [Added: 2021/06/01]

Accepted recommendation. With the support of specialists from institutions in both countries, the concepts of ecosystem management will be reviewed to reach a consensus on the most appropriate definition for the project. On that basis they will align the activities that require it.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
With the support of experts from the implementing entities and strategic allies, a binational group will be formed to review the concepts of ecosystem-based management and achieve a single definition.
[Added: 2021/06/01]
project team and implementing partenrs of Peru and Ecuador 2021/03 Completed
The concept will be incorporated into the analysis of the theory of change and the Multiannual Operating Plan.
[Added: 2021/06/01]
Project team 2021/02 Completed
10. Recommendation:

Continue experimenting with incentives that can speed up the formalization of artisanal fishers.

It is essential to take up the initiative of the Piura regional government to find a way to formalize artisanal fishermen to work formally and it is a high priority to overcome this barrier, just as it should be prioritized for other fisheries

Management Response: [Added: 2021/06/01]

Recommendation accepted. DIREPRO Piura and the Municipality of Sechura will be supported in the formalization of fishing organizations through organizational strengthening with a business focus.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
In the POA 2021, specific activities will be reinforced to promote the formalization of artisanal fishing organizations with a focus on associative business models, in coordination with local and regional entities.
[Added: 2021/06/01]
project team, DIREPRO, MP Sechura 2021/12 Initiated
11. Recommendation:

Better use of the Inception Phase to resolve gaps and uncertainties in projects. It is essential that the STAP report be shared with all key stakeholders, and the report's recommendations are also applied, as in the case of CFI-AL, a review of the Theory of Change, in relation to the assumptions, risks and measures to mitigate them, likewise, build indicators that are SMART.

Management Response: [Added: 2021/06/01]

Recommendation accpeted. This recommendation is directed to the UNDP, therefore the STAP report will be reviewed with the Regional and National bodies of the UNDP, it will be taken into account in the review process of the ToC and lessons learned for future GEF projects will be identified.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
UNDP will conduct a review of the Inception phase of the Project in order to obtain lessons learned that may contribute to the improvement of future projects.
[Added: 2021/06/01]
CO 2021/09 Initiated
12. Recommendation:

Review the processes that result in weakly formulated projects. 

Management Response: [Added: 2021/06/01]

Recommendation accepted. This recommendation is directed to UNDP and the GEF for future projects, therefore the CFI Project will coordinate the review of the formulation process with UNDP to rescue lessons learned and transmit them to the GEFIn a concerted manner, the GEF and UNDP, in conjunction with their donors, should urgently review the mechanisms and processes, particularly the weaknesses in the intervention logic, the lack of SMART consequence / impact indicators, and also apply the lessons learned for future projects.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The ToC review process will be shared with the COs and UNDP in general, as well as the change to SMART indicators in such a way that they can be taken as good practices for future actions in UNDP.
[Added: 2021/06/01]
UNDP Regional 2021/03 Completed It has been completed History
13. Recommendation:

Conduct a survey of the concentrations of persistent pollutants in the water, sediments and the shell and crabs of the Mangrove Sanctuary of Tumbes, Sechura and the wetlands where the project is intervening in Ecuador.

Management Response: [Added: 2021/06/01]

Partially accepted recommendation due to the breadth of the subject and the associated costs that would be outside the scope of the project; the review of the problem in both countries will be promoted based on existing studies and in coordination with local, regional and national entities.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
With the support of the implementing partners of Peru and Ecuador, existing studies on water pollution in mangroves will be reviewed.
[Added: 2021/06/01]
PMU and implementing partners 2021/08 Overdue-Not Initiated
The results will be shared at the Peru - Ecuador binational forum on benthic resources to be held in Tumbes
[Added: 2021/06/01]
Project team 2021/08 Overdue-Not Initiated
14. Recommendation:

: It is suggested that the CFI pay greater attention to fisheries, labor and human rights, particularly those indicated in the one-dimensional indicators of the IdSO

Management Response: [Added: 2021/06/01]

Recommendation accepted. This recommendation is addressed to the Global CFI, therefore the CFI Project will transmit it to it.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The recommendation will be shared with CFI Global
[Added: 2021/06/01]
project team and CO 2021/09 Not Initiated
15. Recommendation:

Prepare a project sustainability / Exit strategy, which includes the responses to the recommendations of this evaluation, as well as the actions requested in the PIRs.

Management Response: [Added: 2021/06/01]

Accepted recommendation. The project sustainability / exit strategy will be developed

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The strategy will be elaborated submitted for discussion and approval by the National Directorates (IPs) and UNDP.
[Added: 2021/06/01]
Project team 2022/03 Not Initiated

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