The Oceans and Fisheries Partnership (USAID Oceans) QUARTERLY PROGRESS REPORT Quarter 3 – April 1 to June 30, 2017

Submission Date: July 31, 2017 Ins e rt Contract Number: AID-486-C-15-00001 Contract Period: May 14, 2015 to May 13, 2020 COR Name: Cristina Vélez Srinivasan

Submitted by: Geronimo Silvestre, Chief of Party Tetra Tech P.O. Box 1397 July 2008 Burlington, VT 05402 1 Tel: +63.928.502.5756 Email: [email protected]

Activity Name: The Oceans and Fisheries Partnership (USAID Oceans)

Activity Start and End Date: May 14, 2015 – May 13, 2020 Prime Implementing Partner: Tetra Tech, ARD

Contract Number: AID-486-C-15-00001 Subcontractors/Subawardees: SSG Advisors, Verité

Major Counterpart Organizations : Southeast Asian Fisheries Development Center (SEAFDEC), Coral Triangle Initiative on Coral Reefs, Fisheries and Food

Security (CTI-CFF) Geographic Coverage: ASEAN and CTI-CFF countries

Reporting Period: April 1 – June 30, 2017

Cover Photo: Local fisherfolk well their daily catch at the Bitung Fishing Port in Bitung, Indonesia. Credit: USAID Oceans/Melinda Donnelly

This document was produced for review and approval by the United States Agency for International Development/Regional Development Mission for Asia (USAID/RDMA). TABLE OF CONTENTS

Activity Overview and Progress Summary...... 5 1.1 Activity Description ...... 5 1.2 Summary of Achievements and Implementation Status ...... 6

2. Regional Activities ...... 10 2.1 Strengthen Regional Capacity for CDTS, EAFM, PPPs and Support Adoption of Regional Guidelines for Integrated ACDS/CDTS ...... 10

3. National and Local Activities – Philippines ...... 14 3.1 Strengthen National Legal and Policy Framework and Capacity ...... 15 3.2 Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in General Santos City ...... 16

4. National and Local Activities – Indonesia ...... 17 4.1 Strengthen National Legal and Policy Framework and Capacity ...... 18 4.2 Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in Bitung ...... 19

5. Expansion Site Activities ...... 20

6. Administration and Operations ...... 21 6.1 Admin, Finance, and Management ...... 21 6.2 M&E Plan and Implementation ...... 22

7. Planned Tasks for the Next Reporting Period ...... 23

Annex I. Quarter 3 Progress to FY 2017 Work Plan ...... 26

Annex II. USAID Oceans Confirmed Partnerships ...... 35

Annex III. Deliverables (Q3, FY 2017) ...... 41

Annex IV. Monitoring & Evaluation Matrix ...... 42

USAID Oceans and Fisheries Partnership Page 2 of 43 FY 2017 – Q3 Progress Report LIST OF TABLES AND FIGURES

Figure 1. Results Framework ...... 6

Table 1. Quarter 3, Key Achievements by Technical Objective ...... 7 Table 2. USAID 2020 Oceans Endgame ...... 9 Table 5. Targets Achieved, Quarter 3 ...... 22

USAID Oceans and Fisheries Partnership Page 3 of 43 FY 2017 – Q3 Progress Report ACRONYMS AND ABBREVIATIONS

ACDS ASEAN Catch Documentation Scheme ASEAN Association of Southeast Asian Nations ASSP ASEAN-SEAFDEC Strategic Partnership BFAR Bureau of Fisheries and Aquatic Resources CDTS Catch Documentation and Traceability System CT Coral Triangle CTEs Critical Tracking Events CTI-CFF Coral Triangle Initiative on Coral Reefs, Fisheries and Food Security DEX Data Exchange DFish Department of Fisheries (Vietnam) DOI U.S. Department of the Interior DOF Department of Fisheries DQA Data Quality Assurance EAFM Ecosystem Approach to Fisheries Management ECOFISH Ecosystems Improved for Sustainable Fisheries Project FAO Food and Agriculture Organization of the United Nations FIS Fisheries Information System FMA Fisheries Management Area FY Fiscal Year GUC Grants Under Contract GSFPC General Santos Fish Port Complex ICT Information and Communications Technology IUU Illegal, Unreported and Unregulated (fishing) IR Intermediate Result KDEs Key Data Elements M&E Monitoring and Evaluation M-EAFM Mainstreaming-EAFM MDPI Masyarakat dan Perikanan Indonesia MIS Monitoring Information System MMAF Ministry of Marine Affairs and Fisheries MVP Minimum Viable Product NGO Non-Governmental Organization NOAA National Oceanic and Atmospheric Administration PPP Public-Private Partnership RAFMS Rapid Appraisal of Fisheries Management System RPOA Regional Plan of Action RFMO Regional Fisheries Management Organization SEAFDEC Southeast Asian Fisheries Development Center SFFAII Soccsksargen Federation of Fishing and Allied Industries, Inc. SFMP Sustainable Fisheries Management Plan SIMP [U.S.] Seafood Import Monitoring Program SFW Seafood Watch SSME Sulu-Sulawesi Marine Ecoregion STTA Short Term Technical Assistance TA Technical Agreement TAG Technical Advisory Group ToT Training of Trainers TWG Technical Working Group UNSRAT Sam Ratulangi University VCA Value Chain Assessment WOC World Ocean Council U.S. United States USAID United States Agency for International Development USAID Oceans USAID Oceans and Fisheries Partnership Activity USG United States Government

USAID Oceans and Fisheries Partnership Page 4 of 43 FY 2017 – Q3 Progress Report ACTIVITY OVERVIEW AND PROGRESS SUMMARY

1.1 Activity Description USAID OCEANS On May 14, 2015, Tetra Tech was awarded the United States Agency ENGAGEMENT SITES for International Development (USAID) Oceans and Fisheries Partnership Activity (USAID Oceans), a five-year $19.95 million Learning Sites contract from the Regional Development Mission Asia (RDMA). Bitung, Indonesia (WPP 716)

The goal of USAID Oceans is to strengthen regional cooperation for General Santos City, Philippines sustainable and legal management and trade of natural resources in the Asia Pacific region. The purpose of the Activity is to increase the ability of regional fishery organizations to conserve marine biodiversity and Expansion Sites – I combat illegal, unreported, and unregulated (IUU) fishing in the Asia Songkhla, Thailand Pacific region. The Activity’s sub-purpose is to improve fisheries Kelantan, Malaysia management standards through integration of conservation and fisheries management in at least eight countries in the Asia Pacific region by 2020. Expansion Sites – II The objectives of USAID Oceans are to: Vietnam Objective 1: Develop a financially sustainable Association of Cambodia Southeast Asian Nations (ASEAN) regional catch Myanmar documentation and traceability system (CDTS) to combat IUU fishing and seafood fraud in areas where sustainable fisheries Brunei Darussalam management plans (SFMPs) are being applied; Singapore Objective 2: Expand use of the CDTS to priority biodiversity Lao PDR areas in the Asia Pacific region; Papua New Guinea, Solomon Islands, Timor Leste Objective 3: Strengthen human and institutional capacity of regional organizations to conserve marine biodiversity through SFMPs, including actions to combat IUU fishing and seafood fraud; and Objective 4: Enhance public-private partnerships (PPPs) to conserve biodiversity, promote sustainable fisheries management, and combat IUU fishing and seafood fraud. The USAID Oceans Results Framework details the Activity’s guiding principles and proposed interventions (Figure 1). Adequate use of the CDTS, combined with national and local fisheries governance, provides the backbone of efforts to reduce IUU fishing. Regional capacity and coordination is essential for supporting and sustaining efforts to expand USAID Oceans’ approach throughout the region.

USAID Oceans and Fisheries Partnership Page 5 of 43 FY 2017 – Q3 Progress Report Figure 1. Results Framework

1.2 Summary of Achievements and Implementation Status

In the third quarter of Fiscal Year (FY) 2017, Activity Year Two, USAID Oceans saw continued momentum in the learning sites and at the national and local levels, and worked closely with Expansion Site I countries to establish plans for Q4 activities that will lead the program into its third year. With much of FY 2016 focused on creating a foundational network and program structure, investments in country consultations to secure support and buy-in, and developing the operational strategy, the

USAID Oceans and Fisheries Partnership Page 6 of 43 FY 2017 – Q3 Progress Report program’s second year is capitalizing on those investments by moving forward in-country activities to propel Oceans into Year Three.

Much of Year Two has been characterized by conducting and presenting research and analysis that was undertaken at the national and site levels. With the Philippines Stakeholder Workshop completed in Quarter 2, USAID Oceans held the Indonesia Integrated Stakeholder Consultation Workshop in June 2017. The team engaged subcontracted research organizations to present their study findings and used the information as a basis to engage participants in discussions for the Sustainable Fisheries Management Plan to be developed for the program learning site. The workshop included key discussions to initiate the planning, as well as objectives, indicators and priorities established.

USAID Oceans made significant progress on the design and development of the program’s CDT System, with the CDT team working closely with BFAR and MMAF to develop and mobilize a plan for system development. Under USAID Oceans’ model for a CDT System that is tailored to country and learning site needs and designed to accommodate national regulations and existing systems, the team laid out a plan for system development and implementation with national and local counterparts. The CDT team met with “first mover” partner companies in the Philippines and Indonesia to discuss the installation and testing of CDT equipment in operation vessels. In addition, the team continued to develop a new knowledge piece, the Key Data Element (KDE) Manual, which will provide additional details on recommended KDEs.

As the program nears the end of Year Two, a number of operational activities took place in Q3, including an intensive Work Planning Workshop, held in May 2017, which brought all technical leads and country staff to Bangkok to discuss and develop the Year Three Work plan. Following the workshop, the team worked extensively to refine the plan, prepare for budget modification, and make any adjustments to the Year Two work plan that were needed to set the program on course for Year Three.

The table below summarizes key achievements, by technical objective, realized in the year’s third quarter. A full list of achievements, tracked against the FY 2017 Work Plan, is contained in Annex I.

Table 1. Quarter 3, Key Achievements by Technical Objective Strengthening Regional Capacity and Coordination Building a strong regional foundation that supports collaboration, stakeholder buy-in, and effective engagement is critical to the Activity achieving its end of program objectives. Key highlights in Q3 included:

• Closely coordinated with SEAFDEC and CTI-CFF, particularly to continue the process to obtain funding for CTI-CFF partnership support. USAID Oceans held a series of meetings with CTI-CFF to move the USAID DOI grant funding process forward.

• Continued coordination/planning with SEAFDEC for the 2017 Regional Technical Working Group Training and Workshop, Regional Gender Workshop, and Regional EAFM Workshop to be held in Bangkok in July and August 2017. The workshops will bring together TWG members from across the region to learn of Oceans’ progress, further work planning, and provide a venue for work stream training, and advancing regional fisheries, policies towards greater gender equity and equality, and towards the development of sub- regional fisheries management framework/plan for the Sulu-Sulawesi, Gulf of Thailand, and Andaman Seas.

Cross-Cutting Building a strong regional foundation that supports collaboration, stakeholder buy-in, and effective engagement that is critical to the Activity achieving its end of program objectives. Key highlights in Q3 included:

• Initiated planning for the 19th National Tuna Congress in General Santos City, which brings together key stakeholders in the tuna fishing industry. Key Activity outputs will be presented, including the CDT design and development for BFAR Philippines and key findings of learning site research, including the Value Chain Analysis, Rapid Appraisal for Fisheries Management, and Gender and Labor Analyses.

• Conducted Integrated Stakeholder Validation Workshop for the Bitung learning site, bringing together over 100 participants representing national and local stakeholders from government, industry, private sector, and academia to review the findings of research conducted in Bitung, Indonesia including the Value Chain Analysis, Rapid Appraisal for Fisheries Management, and Gender and Labor Analyses. The Workshop also informed the design and implementation of the CDTS and the crafting of the Fisheries Management Plan for Fisheries Management Area 716 (North Sulawesi province).

USAID Oceans and Fisheries Partnership Page 7 of 43 FY 2017 – Q3 Progress Report Decreasing IUU Fishing through CDT USAID Oceans placed great emphasis on CDT research and strategy to develop a system grounded in regional realities, partner needs, and cutting-edge technology solutions.

• Drafted the program’s Key Data Element Manual to provide additional details on the Activity’s recommended data collection points to regional partners, including information and communication technology providers that will support the development of the CDT System.

• Held a Catch Documentation and Traceability System Design Workshop with BFAR and an Agile Development training for programmers. Over the quarter, the CDT team completed an analysis of the Philippines’ CDT needs and operationalized a plan for USAID Oceans and BFAR to work together on system launch.

• Conducted meetings with Thailand, Vietnam and Malaysia to plan for upcoming CDT Gaps Analyses that will be conducted in each country, continuing into Year 3.

• Conducted meetings and in-field visits in Indonesia with “first mover” fishing operations that have agreed to pilot USAID Oceans’ CDT equipment.

Promoting Partnerships and Industry Engagement USAID Oceans engaged with public and private sector organizations to explore partnership opportunities relevant to USAID Oceans’ objectives. The partnerships explored crosscutting program objectives, furthering human welfare, CDT, and regional coordination objectives.

• Advanced the grants process with prospective grantees, Soccsksargen Federation of Fishing and Allied Industries, Inc. (SFFAII) and Masyarakat dan Perikanan Indonesia (MDPI), in the Philippines and Indonesia (respectively). USAID Oceans expects to award the grants in Q4 to support CDT System implementation and testing in the learning sites.

• Engaged with the region’s leading communications and technology providers to support the implementation of the CDTS in the learning site and expansion countries, including Globe Telecoms, FAME, Inmarsat, among others.

• Continued partnership activities with Thai Union, particularly in Thai Union’s Songkhla pilot for enhanced digital traceability.

Securing Sustainable Fisheries Management through EAFM USAID Oceans conducted significant relationship building and research activities to prepare for the development and strengthening of EAFM plans.

• Continued to strengthen EAFM coordination and partnerships with Philippine and Indonesian national counterparts through extensive constituency building and engagement, particularly within the EAFM and Human Welfare work streams.

• Progressed in fisheries management planning through the Writeshop for Finalization of the ‘Fisheries Component’ of Protected Area Management Plan (PAMP) of Sarangani Bay Protected Seascape. The workshop was held in General Santos City in June 2017, and produced an initial draft of the Sustainable Fisheries Management Plan (SFMP) for Sarangani Bay and Sulawesi Sea, Region 12, Philippines.

• Completed the in-field research for the Philippines’ Rapid Appraisal for Fisheries Management study.

• Completed research for Bitung’s Rapid Appraisal for Fisheries Management. Results were presented at the Integrated Stakeholder Validation Workshop in Manado.

Promoting Human Welfare and Gender Equity The Human Welfare work stream placed great emphasis on relationship building and site-level gender and labor analyses that will inform interventions and program activities.

USAID Oceans and Fisheries Partnership Page 8 of 43 FY 2017 – Q3 Progress Report • Continued dialogue and coordination on mainstreaming human welfare and labor into regional programs, including coordination with SEAFDEC and the new USAID Asia Counter Trafficking in Persons (CTIP) Project.

• Advanced gender analysis activities with subcontractor, the National Network on Women in Fisheries in the Philippines (WINFISH). WINFISH will submit their final report in Q4.

Establish Effective Communication and Outreach Communications and Outreach focused on raising program visibility and developing materials to support work stream activities.

• Launched the Oceans and Fisheries Partnership web portal, www.seafdec-oceanspartership.org. The Activity’s web portal will greatly increase the Partnership’s ability to stay connected to and communicate with program partners. The site also enhances SEAFDEC’s communications capacity and their current web security and resources.

• Distributed the first issue of USAID Oceans’ new program eNewsletter, Making Waves, to TWG members, U.S. Government colleagues, Oceans’ partners and other stakeholders.

• Facilitated regional communication and information sharing via the Technical Working Group Facebook Group. The group page serves as a mechanism to keep counterparts engaged, allowing Oceans to share information on Activity progress, new findings, and facilitate a dialogue between regional partners.

• Developed new program informational materials, including learning site profiles and consolidated research summaries for each of the analyses conducted in the Bitung learning site. Research Summaries were used in the facilitation of the Stakeholder Workshop and helped to build to program’s resource library, now posted on the Activity web portal.

Achievements in Quarter 3 included work towards USAID Oceans’ “endgame” strategy (Table 2), which will continue to lead Activity strategy in the coming quarter and remaining life of program.

Table 2. USAID Oceans 2020 Endgame

Develop a Catch Documentation and Traceability System (CDTS) and regional implementation roadmap that is: • technically robust, • financially sustainable, and • spurs intra- and inter-regional trade; and is

Jointly developed with relevant private sector and government stakeholders and effectively used to: – reduce IUU fishing and seafood fraud, – improve fisheries management, – promote equity and fair labor practices, and thus – collectively leads to improved biodiversity conservation and equitable development in the ASEAN and CT region.

CDTS/FIS: Functioning and in place in Partnerships: Key partners and EAFM: Management constituency at least 2 fisheries in priority industry stakeholders engaged in the strengthened and sustainable fisheries biodiversity areas through key points of development and use of the management plans implemented in two the value chain. CDTS/FIS. learning sites and relevant fisheries – Over 16,000 Critical Tracking – Over 50 seafood actors management areas. Event (CTE) transactions verifying the legality, – Four sustainable fisheries processed by the CDTS in the sustainability and responsibility of management plans covering seafood industry supply chain 20 metric tons’ seafood products 10 million hectares resulting at least 20 metric tons via the CDT system by 2020 incorporating EAFM, CDTS, seafood units purchased. through partnerships. gender, and human welfare – 2 innovations introduced in – $4 million in industry and considerations, with CDTS (architecture, technologies, government contributions to corresponding management tools, practices) to enable sustain the CDTS through at constituency established and least 8 sustainable partnerships, strengthened.

USAID Oceans and Fisheries Partnership Page 9 of 43 FY 2017 – Q3 Progress Report effective fisheries transparency and SEAFDEC industry and other and sustainability. non-government organizations – ASEAN regional adoption of engagement on shared solutions the CDTS/ACDS will be achieved. to combat IUU fishing through the CDTS. Human Welfare & Gender: Human Capacity: SEAFDEC will be Communications: Awareness has welfare, particularly gender and labor recognized as the regional champion been increased of IUU and human considerations, are incorporated into of the CDTS/ACDS and will exert welfare interventions. sustainable fisheries management of robust leadership in promoting – Media prevalence of stories on ASEAN and CTI member countries: further replication and adoption of safe, traceable, and sustainable – At least 4 legal instruments the systems across the region. seafood in Asia-Pacific, and labor incorporate human welfare rights/gender equality in fisheries aspects especially gender and increased. labor considerations. – Knowledge products have been developed and disseminated to ASEAN and CTI-CFF countries to adapt and expand CDTS, EAFM approach.

2. REGIONAL ACTIVITIES

2.1 Strengthen Regional Capacity for CDTS, EAFM, PPPs and Support Adoption of Regional Guidelines for Integrated ACDS/CDTS

Summary Highlights At the regional level, USAID Oceans completed a number of key tasks toward the development of the Catch Documentation and Traceability System and continued engagement with regional partners. Principal achievements are summarized below, followed by further detail. Q3 achievements, charted by the Activity’s FY 2017 Work Plan can be referenced in Annex I.

• Continued planning for upcoming regional meetings, in partnership with SEAFDEC and CTI-CFF, including the Regional Fisheries Management Workshop, Regional Gender Workshop, and second annual Regional Technical Working Group Planning Workshop.

• Progressed in the development of the program’s guiding Key Data Element (KDE) Manual, which provides detailed definitions and standards guidance for KDEs prescribed by USAID Oceans’ CDT System, import regulations and standards organizations.

• Furthered regional efforts to enhance CDT, supporting the ACDS through participation in SEAFDEC’s ACDS pilot in Brunei.

• Engaged with the region’s leading communications and technology providers to support the implementation of the CDTS in the learning site and expansion countries. Coordinated with Inmarsat to launch a partnership in the coming quarter.

• Launched USAID Oceans’ web portal and eNewsletter, considerably strengthening capabilities for communications and outreach.

Regional Capacity and Cooperation. Preparations for Regional Capacity Building Workshops – In Quarter 4, USAID Oceans looks ahead to three major regional capacity building activities: the 2nd National Technical Working Group (TWG) Planning Workshop, Regional Gender Workshop and Regional EAFM Workshop. USAID Oceans will hold the National TWG Workshop from July 12-14, 2017, in Bangkok, Thailand, with the Regional Gender and EAFM workshops to be held back to back in Bangkok from August 21-25, 2017. As such, Quarter 3 was active with many planning meetings and activities, in preparation for the critical Year 2 events.

USAID Oceans and Fisheries Partnership Page 10 of 43 FY 2017 – Q3 Progress Report All TWG members for Human Welfare will participate in the Regional Gender Workshop, August 21-23, which will also bring together various stakeholders and donor agencies interested in and/or currently implementing gender aspects in fisheries in the region. Sectoral recommendations arising from the gender studies will be presented to allow participants to use them for their own work plans and activities. Following the workshop, the TWG members will participate in the Regional EAFM Planning Workshop on August 23-25, 2017 in the same venue. Their presence will ensure the inclusion of the human welfare aspect in EAFM Planning, with concrete inputs, recommendations and actions included. USAID DOI’s engagement with CTI-CFF to support the Women Leaders’ Forum for Sustainable Fisheries Management in the Coral Triangle countries, in concurrence with the women leaders’ network under USAID Oceans, will further strengthen collaboration. The USAID Oceans EAFM and Human Welfare Specialists meet with WorldFish to coordinate logistics for upcoming Dr. Lily Ann Lando of Philippines-based WorldFish will facilitate all three regional workshops. workshops. On April 28-29, 2017, USAID Oceans’ team met with Dr. Lando to develop the prospectus and agenda and discuss facilitation needs, methodologies and other relevant logistical matters. USAID Oceans also held numerous meetings with partners SEAFDEC, CTI-CFF, and others as detailed below.

Coordination with SEAFDEC – The USAID Oceans and SEAFDEC teams met regularly throughout the quarter to plan the TWG and regional workshops. The groups held formal meetings on May 8th and June 16th, with many other communications via email, phone and on-site in conjunction with other planned program activities. At these meetings, participants delegated tasks, reported progress and discussed relevant issues.

Coordination with CTI-CFF – On May 2-3, 2017, USAID Oceans participated in coordination meetings between USAID/RDMA, the U.S. Department of the Interior, and the CTI-CFF Regional Secretariat to discuss CTI-CFF’s work plan on Strengthening Organizational and Administrative Capacity for Improved Fisheries Management in support of the Regional Plan of Action. The grant will provide funding for six key activities, with a total amount of USD 250,000 over two years. Of these six activities, three support regional collaboration and strengthening partnerships including support for the Expansion sites and CTI Pacific countries.

Engagement with USG Partners, NOAA – USAID Oceans also held meetings with U.S. Government partners, including the U.S. National Oceanic and Atmospheric Administration (NOAA) and the USAID/RDMA Counter Representatives from USAID/RDMA traveled to Indonesia to conduct meetings Trafficking in Persons (CTIP) program to align work and with program partner, CTI-CFF. leverage support opportunities. The USAID Oceans and CTIP teams, together with USAID, discussed how Governance and Vulnerable Populations programs on human trafficking could complement the Oceans and Fisheries Project, particularly information produced by the CDTS on labor. Inter-program linkages on private sector engagement/partnerships and other relevant Oceans workstreams were also discussed. Engaging with CTIP may mobilize resources to address relevant findings from Oceans in the areas of labor and trafficking in fisheries.

On May 3, together with Ms. Cristina Velez Srinivasan (COR), the USAID Oceans team met with NOAA staff, Mr. Jason Philibotte and Mr. Michael Abbey, to further discuss activities outlined in the NOAA workplan and clarify engagement points. Key discussion points included: (i) Learning Site Validation of Catch Documentation & Traceability at USAID Oceans’ Learning Sites; (ii) Technical Assistance at August Regional EAFM Planning Workshop; and (iii) Technical assistance on the Rapid Appraisals for Fisheries Management (RAFMS) modules revision. NOAA also attended USAID Oceans’ four-day Year 3 Work Planning Workshop in May 2017.

Catch Documentation and Traceability. Development of the Catch Documentation and Traceability System and Supporting Standards – During USAID Ocean’s third quarter, the program completed the working draft of the Data Requirements for Catch Documentation and Traceability in Southeast Asia: Critical Tracking Event and Key Data Element Framework and Glossary, or the “KDE Manual,” for short. The KDE Manual provides in-depth information on the data requirements that are being proposed/suggested for capture during the demonstration and

USAID Oceans and Fisheries Partnership Page 11 of 43 FY 2017 – Q3 Progress Report testing phase of the USAID Oceans CDT System. The KDE Manual provides definitions for each of the KDE elements, as well as their intended use based on data requirements of the U.S. Seafood Import Monitoring Program (SIMP), EU Catch Documentation Scheme, and ASEAN Catch Documentation Scheme (ACDS). USAID Oceans is also collaborating with other special interest organizations, like MSC, to incorporate additional KDEs into the CDTS that are relevant to their certification process.

USAID Oceans also continued to work to determine a data standard for use in the CDT system. Currently, the United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT) is developing an open and global standard that allows the electronic exchange of fishery data. This standard is known as the Fisheries Language for Universal Exchange (FLUX). FLUX is a standard for exchanging messages from catch to the first sale. In Q4, USAID Oceans will continue to study how FLUX can support KDE collection and transmission via the CDT System.

Regional Engagement for Continued Support of CDTS – As part of USAID Oceans’ support for regional catch documentation and traceability, the Activity continued to support and learn from the implementation of SEAFDEC’s ASEAN Catch Documentation Scheme. As such, USAID Oceans participated in SEAFDEC’s electronic ACDS (e-ACDS) training in Brunei Darussalam, June 20-23, 2017. SEAFDEC is piloting the e-ACDS in Brunei—with expansion to other ASEAN member countries to follow. The e-ACDS and CDTS are complementary to each other, with the ACDS particularly suitable to countries like Cambodia, Myanmar and Malaysia who currently have limited traceability protocols and policies in place. In Q4 and the years ahead, USAID Oceans will continue to support SEAFDEC in furthering the development and testing of the e- ACDS.

Partnerships and Industry Engagement. Support for CDTS Design and Development – In Q3, the PPP team continued to support development of the Catch Documentation and Traceability (CDT) System by rallying partner support and buy-in. To engage industry partners in the design and implementation of the CDT System, USAID Oceans acted as a technical advisor to the Global Dialogue on Seafood Traceability (GDST), which held its first ASEAN workshop on May 3-4, 2017. The GDST is an international, business-to- business platform established to advance a unified framework for interoperable seafood traceability practices. During the workshop, participants started developing a set of minimum key data elements (KDEs), initiated conversations on interoperable IT architecture and identified traceability issues specific to ASEAN. To further this work on KDEs and IT architecture, USAID Oceans will continue to act as a technical advisor to future GDST activities.

Also supporting CDT expansion and replication, World Ocean Council (WOC), under a USAID Oceans subcontract, has started engaging with the investment community. WOC is working to develop a CDT regional investment network, which will identify investment approaches, models and funds to support CDT expansion and sustainable fisheries management.

USAID Oceans explored a partnership opportunity with the Marine Stewardship Council (MSC) to assist in the design and implementation of the CDT System. USAID Oceans is exploring opportunities to align relevant efforts on the design and implementation of an end-to-end seafood traceability system with MSC. MSC is currently proposing the development of a voluntary KDE module, a bolt-on module to the regular Chain of Custody (CoC) certification. The KDE module aims to pass origin information through the supply chain. Therefore, there are opportunities for both USAID Oceans and MSC to align efforts on the development of a voluntary KDE solution for MSC CoC holders with the CDT, to avoid duplication, ensure interoperability and share lessons learned.

Continued Research and Engagement for Cutting-Edge Technology – USAID Oceans continued its efforts in finalizing a partnership with satellite communication provider, Inmarsat. The partnership aims to test mobile satellite solutions for CDT data capture at-sea in Indonesia, Thailand, and potentially other countries in Southeast Asia. USAID Oceans expects to sign the partnership concept note in late July 2017, in Bangkok, Thailand.

Looking forward, to showcase the CDT system and engage new technology companies to support its expansion and replication, USAID Oceans is co-organizing an Emerging Seafood Technology Conference together with WWF and other regional fisheries organizations, planned for May 31-June 2, 2018, in Bangkok, Thailand. The aim of the conference is to reduce IUU regionally and globally by catalyzing innovation and development of technologies for Monitoring, Control, and Surveillance as well as CDT. USAID Oceans will act as a Steering Committee of the Conference, which provides a unique opportunity to participate in the design of the conference program and ensure it meets USAID Oceans’ objectives.

Ecosystem Approach to Fisheries Management. USAID Oceans dedicated significant efforts to Regional EAFM Workshop planning in Q3. USAID Oceans conducted a series of meetings with the SEAFDEC EAFM TWG to progress the planning, and an updated concept note was developed with the following proposed workshop objectives: (i) Sharing of experiences and lessons of fisheries management implementation in the Southeast Asia region; (ii) reviewed/updated sub-regional fisheries management plan for Sulu Sulawesi Seas; and (iii) key elements of fisheries management framework plan for Andaman Sea and Gulf of Thailand (South China Sea) sub-regions.

Human Welfare and Gender.

USAID Oceans and Fisheries Partnership Page 12 of 43 FY 2017 – Q3 Progress Report Regional Collaboration – On May 4-5, USAID Oceans participated in a meeting with USAID and the U.S. Department of the Interior (DOI) at the Coral Triangle Center (CTC) in Bali, Indonesia, to discuss potential partnerships on activities relevant to the CTI Women Leaders’ Forum (WLF) and Local Government Network. USAID, through the U.S. DOI, will provide funding to the CTC to implement a WLF mentoring program wherein USAID Oceans, SEAFDEC and TWG members can participate and learn. USAID Oceans will invite WLF members to participate in USAID Oceans’ Gender activities. CTC also proposed EAFM-related activities for the Local Government Network under CTI-CFF.

Planning for the Regional Gender Workshop – The Regional Gender Workshop will be held on August 21-22, 2017 in Bangkok, and will bring together TWG members, various stakeholders and donor agencies interested in and/or implementing gender in fisheries in the region. In Q3, Oceans’ Human Welfare Specialist worked with SEAFDEC and regional partners to continue the planning and discussion around the upcoming event.

Strategic Communications. Launch New Tools for Communication and Outreach to Regional Partners – Quarter 3 saw the launch of several new platforms for increased communication with program stakeholders, including the program web portal and eNewsletter. In Quarter 3, the program announced these communications to stakeholders, continued to raise awareness of these resources and maintained each with relevant and engaging information.

The program’s web portal was soft-launched in Quarter 2 on March 31st, but announced to A sample post from the social media toolkit distributed to USAID Oceans’ program partners the broader public in the first week of April to promote the Oceans and Fisheries Partnership web portal launch. 2017. The program announced the site launch via an e-blast to the USAID Oceans’ TWG, promotion through USAID’s social networks and promotion through USAID Oceans’ partners via a distributed social media toolkit. In order to maintain and optimize the website, the program worked to contract the services of an ongoing web developer to provide technical support and enhancements for usability.

USAID Oceans’ web portal enjoyed a successful first full quarter. The site garnered over 400 visits in its first month, and over 1,000 total visits in the quarter. Key country audiences included the U.S., Thailand, the Philippines and Indonesia; and the site enjoyed traffic from a mix of direct navigation (30%), internet search (23%), referrals (20%) and social media (20%). Top referring sites were SEAFDEC’s main and Training Department website, Tetra Tech and MailChimp as a result of the program eNewsletter. Most viewed content included the program’s “About” page, the CDT 101 document and the opportunities for engagement subpage.

Oceans’ first eNewsletter followed closely behind the web portal launch, with distribution on May 15, 2017. The eNewsletter was distributed to nearly 800 program stakeholders and well received, with an open rate of 34.5% and click through of 7.8% The program celebrated these metrics, well above the industry average of 10-15 and 2-3%, respectively. In addition to the regularly scheduled distribution of the quarterly eNewsletter, USAID Oceans also distributed a special announcement to inform stakeholders of NOAA-held webinars for the U.S. SIMP, sent on May 26, 2017.

USAID Oceans and Fisheries Partnership Page 13 of 43 FY 2017 – Q3 Progress Report Members of the USAID Oceans team updated the Q2- launched TWG Facebook Group weekly throughout Quarter 3. The group of Oceans, SEAFDEC and TWG members did not experience engagement from all members of the group, with members consistently viewing content but not as frequently contributing. The Oceans team will work in Q4 to encourage participation and discussion more consistently across the group, in pursuit of its aim to serve as a hub for sharing, discussion and increased communication.

Program Promotion – In celebration of World Ocean Day on June 8, 2017, USAID Oceans collaborated with USAID/RDMA to feature a photo essay on the Partnership. The feature article was launched on USAID’s Exposure platform and focused on Oceans’ work in the Philippines, particularly with small-scale fisheries. View the article at https://usaidasia.exposure.co/one-fish-two-fish.

3. NATIONAL AND LOCAL ACTIVITIES – PHILIPPINES

Summary Highlights At the national and site levels, USAID Oceans engaged heavily in the Philippines in the year’s third quarter to complete and present a series of research studies that will inform the activities of all program work streams. Paramount achievements are summarized below, followed by further detail. Q3 achievements, charted by the Activity’s FY 2017 Work Plan can be referenced in Annex I.

• Coordinated with BFAR closely to develop a plan for development of the Catch Documentation and Traceability System, including support to BFAR’s internal development of a government-operated system.

• Conducted a CDT Gap Assessment and held intensive system development training to assess CDT System needs and build BFAR’s internal capacity to build the system.

• Engaged industry members and technology providers to support CDT System implementation, including FAME and Globe.

• Continued grant proposal process to award Soccsksargen Federation of Fishing and Allied Industries, Inc. (SFFAII), a Philippines industry association/organization, to engage the industry and government in General Santos City on the implementation of the electronic CDT system.

• Engaged the Human Welfare TWG to discuss the Gender and Development (GAD) initiatives of BFAR at the national, regional and provincial levels.

• Finalized gender analysis activities with subcontractor, the National Network on Women in Fisheries in the Philippines (WINFISH). WINFISH will present research results at the upcoming TWG Workshop and will submit their final report to USAID Oceans in Q4.

• Progressed fisheries management planning for the Sarangani Bay Protected Seascape (SBPS) Fisheries Management Plan. USAID Oceans received final deliverables from subcontractor, WorldFish, in Q3 and the draft Sustainable Fisheries Management Plan for the Sarangani Bay in preparation for the upcoming Regional EAFM Workshop.

USAID Oceans and Fisheries Partnership Page 14 of 43 FY 2017 – Q3 Progress Report 3.1 Strengthen National Legal and Policy Framework and Capacity

National Capacity and Cooperation. In the third quarter, USAID Oceans engaged with the national Philippine government, not only through the Bureau of Fisheries and Aquatic Resources (BFAR), but also through complementary government agencies with an interest in catch documentation and traceability.

On April 27, USAID Oceans met with Ms. Brenda Nazareth-Manzano, the Undersecretary for Regional Operations of the Department of Science and Technology (DOST). The USAID Oceans and Fisheries Partnership provided an Activity introduction, highlighting the aspects relevant to DOST. Of particular interest were USAID Oceans’ upcoming grant activities, which may present an opportunity to partner with DOST around technologies they have developed which could be useful to capacitate stakeholders, particularly the women and vulnerable populations at USAID Oceans’ learning sites. The group also discussed the possibility of a DOST pilot of the CDT System in other major fish landing stations in the Philippines.

As a follow-up to USAID Oceans’ Value Chain Analysis, completed earlier in Year Two, the team conducted the Training Course on Tuna Value Chain Analysis (VCA) to BFAR Marketing Personnel. USAID Oceans provided resource person(s) to conduct the training, which included Mr. Paul Ramirez, Socio-Economic-VCA Specialist from the WorldFish RAMFS Team, and Dr. Marieta Bañez Sumagaysay, Gender-VCA Expert from the University of the Philippines Visayas Tacloban College.

On June 30, 2017, USAID Oceans attended the 120th Quarterly Meeting of the Philippine Council for Agriculture and Fisheries (PCAF) Committee on Fisheries and Aquaculture (CFA). USAID Oceans is a member of this group, which recognizes that a more responsive agriculture and fisheries sector and the promotion of stakeholder empowerment is a multi-stakeholder, participatory process. PCAF/CFA has membership from government, private sector, research institutes, non-governmental organizations, and civil society organizations, among others. PCAF/CFA is a potential platform for USAID Oceans to forward recommendations related to CDT and EAFM to gain political traction through PCAF/CFA endorsement.

Looking ahead to Q4, the USAID Oceans team initiated planning discussions with the organizing committee of the 19th National Tuna Congress in General Santos City. The congress, planned for September 5-7, 2017, aims to bring together key national and international stakeholders in the tuna fishing industry. At the Congress, USAID Oceans will present the CDT System design and development for BFAR Philippines, key findings of learning site research (including the Value Chain Analysis, Rapid Appraisal for Fisheries Management, and Gender and Labor Analyses) and will hold side sessions and trainings with national and local partners.

Ecosystem Approach to Fisheries Management. In Q3, USAID Oceans focused its EAFM activities on the planning of the Mainstreaming EAFM Planning Workshop, to be held in the Philippines in early Year 3 (October/November 2017). USAID Oceans conducted a series of meetings with EAFM TWG counterparts at BFAR. The workshop will present the research results from the Philippines Rapid Appraisal for Fisheries Management and the draft of the Sustainable Fisheries Management Plan for BFAR Region 12. Workshop outcomes will complement the area-based Fisheries Management plan for the Sarangani Bay Protected Seascape.

Catch Documentation and Traceability. USAID Oceans made significant progress in Quarter 3 in establishing and formalizing a plan for CDT development with BFAR. USAID Oceans held meetings with the BFAR team to discuss their ongoing initiative for an electronic CDT System and established a plan for merging their ongoing initiative with USAID Oceans’ CDT strategy. USAID Oceans and BFAR leaders agreed on a plan for USAID Oceans to support technical capacity building within BFAR to develop, test and implement the CDT System. The system will be designed and developed to satisfy Philippine regulation BAC 251, EU and U.S. requirements and regulations, as well as intra-regional trade through the ACDS. By building BFAR’s internal capacity to develop the BFAR and USAID Oceans participate in the Technical Workshop for CDT system, USAID Oceans is not only able to work with BFAR in the Philippines, April 2017. to establish system specifications but is also able to strengthen the system’s long-term sustainability and adoption. BFAR and USAID Oceans aim to have the system ready for testing by September 2017, and in preparation have conducted the following collaborative activities.

In April, USAID Oceans’ team conducted a system assessment, gap analysis and proposed design of the CDT System. Following the assessment, on April 25-26, USAID Oceans conducted a “Technical Workshop on Electronic Catch

USAID Oceans and Fisheries Partnership Page 15 of 43 FY 2017 – Q3 Progress Report Documentation and Traceability System” with BFAR. The workshop sought to create a shared understanding of CDT System objectives, garner buy-in for the proposed approach and execution, and validate and finalize assessment results. Workshop participants included government officials, private sector staff and the BFAR leadership team.

To build internal capacity for system development, USAID Oceans provided a training to thirty BFAR system developers and programmers on the Agile-Scrum system development methodology. The training, held May 31-June 2, in Manila, Philippines, improved BFAR’s internal capacity to develop apps and software that is responsive to changes and easily adaptable for evolving specifications and requirements.

The CDT team worked closely with PPP leads to continue engagement with technology companies, detailed below in the Partnerships and Industry Engagement update.

Partnerships and Industry Engagement. In Q3, USAID Oceans’ PPP team continued to have frequent discussions with BFAR and technology companies, Globe (the Philippines’ leading mobile service provider) and FAME (an innovative start-up that offers technology for small-scale tracking and communication), to explore a partnership to support CDT implementation in the Philippines—from its design, all the way to prototyping, testing, and deployment. This partnership, which will begin its work in General Santos, is likely to be a collaborative arrangement among BFAR, FAME, Globe, SFFAII and USAID Oceans. BFAR will provide two data collection CDT applications for use in the pilot—one that captures data from point-of-catch to export, and another from landing to export.

In General Santos, FAME will pilot the use of its data transmission technology that allows point-of-catch data collection for small scale fishing vessels. SFFAII will identify first-mover companies who will pilot both the FAME technology and CDT applications. To address connectivity, Globe will provide mobile connectivity for the General Santos Port. Currently, USAID Oceans and partners are finalizing the technical details of the partnership, with finalization expected in Q4.

Human Welfare and Gender. USAID Oceans engaged with the Philippines’ TWG for Human Welfare over the quarter to discuss the Gender and Development (GAD) initiatives of BFAR at the national, regional and provincial levels, and how USAID Ocean’ human welfare workstream, especially on gender, can be integrated. There is potential for USAID Oceans to partner with BFAR in many of their programs, with a particular interest in BFAR’s client-focused programs to support gender interventions.

USAID Oceans’ ongoing attempts to meet with the Philippines Department of Labor and Employment were not successful during this period.

Strategic Communications. In Q3, communications support began to ramp up for the upcoming 19th Annual Tuna Congress, to be held in September 2017. The Communications and Outreach Specialist also worked with the technical team and Stakeholder Validation Workshop facilitator, WorldFish, to finalize and submit the workshop report to USAID/RDMA for review and clearance. The program will distribute the report to workshop participants and the broader USAID Oceans audience in Q4.

3.2 Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in General Santos City

Capacity and Cooperation. Capacity building and cooperative activities held at the national level also benefited learning site objectives and furthered progress toward system implementation. Please see updates captured in Section 3.1.

Ecosystem Approach to Fisheries Management. In Q3, USAID Oceans moved the Sustainable Fisheries Management Plan (SMFP) for the Sarangani Bay forward. In April, the USAID Oceans team met with subcontractor, WorldFish, to discuss: (i) updates to the Crafting of Fisheries Annex for Sarangani Bay Protected Seascape (SBPS); (ii) the draft SFMP for Sarangani Bay and next steps for Operational Programming/Adoption; (iii) the use of the draft SFMP in the mainstreaming EAFM planning process with BFAR in October/November. WorldFish submitted all of their final deliverables, including the RAFMS Integrated Technical Report (with Annexes of Individual Components), in June 2017. The Integrated Report included five components: the Biophysical and Fisheries Report, the Socio-economic and VCA Report, Governance Report, and CDT Gaps Assessment, along with the technical report from the Stakeholder Validation Workshop. The report provides prioritized issues, gaps in policy, information, management and coordination to feed to EAFM/SFMP and CDT design and development.

WorldFish also submitted research results from the RAFMS for presentation at the 14th National Symposium in Marine Science to be held on July 13-17, 2017, in Nasugbu, Batangas. USAID Oceans (via subcontracted and STTA staff) submitted the following abstracts to the Philippine Association of Marine Science to be considered for oral presentation during the

USAID Oceans and Fisheries Partnership Page 16 of 43 FY 2017 – Q3 Progress Report symposium. They included: (i) CDT: Enhancing Documentation and Traceability to Conserve Biodiversity; (ii) Sustainability Issues and Prospects of Improved Fisheries Governance in the Sarangani Bay-Sulawesi Sea System; (iii) Quantifying Small-scale Fisheries for Fisheries Management and Biodiversity Conservation in Sarangani Bay Protected Seascape, Sarangani Bay, Southern Philippines; and (iv) Value Chain Analysis for Tuna in the Commercial Fisheries Sector in Sarangani, Philippines. All four abstracts were accepted for oral presentation.

EAFM STTA, Dr. Mike Pido, completed his STTA term during the quarter and submitted two final deliverables. The first, the ‘Fisheries Annex,’ is an area-based planning document that forms part of the Protected Area Management Plan (2016-2021) for the Sarangani Bay Protected Seascape (SBPS) in Region 12, Philippines. The Annex focuses on the municipal fisheries of the Sarangani Bay, including seven local government units (coastal city/municipalities). The second, the ‘Sustainable Fisheries Management Plan (SFMP)’ for the Sarangani Bay and Sulawesi Sea, was developed based on the results of the General Santos City Stakeholder Consultation Workshop and will serve as the background document for the EAFM planning workshop in October 2017 with BFAR Region 12.

Catch Documentation and Traceability. Local, BFAR Region 12 staff were involved in capacity building activities detailed in Section 3.1. USAID Oceans provided support to BFAR Region 12 staff to participate in the development process and trainings.

During the quarter, the CDT team also engaged with current and prospective learning site partners, including cellular provider Telcom, first movers, and staff from the Soccsksargen Federation of Fishing and Allied Industries, Inc. (SFFAII) (see Partnerships and Industry Engagement update).

Partnerships and Industry Engagement. USAID Oceans continued to obtain the support of a learning site grantee, with finalization expected in Q4. In Q2, USAID Oceans published a Request for Application (RFA) to provide targeted support to a Philippines industry association/organization to engage the industry and government in General Santos City on the implementation of the CDT system. The RFA was solicited in February 2017 to the Soccsksargen Federation of Fishing and Allied Industries, Inc. (SFFAII), as the organization is considered to have exclusive or predominant capability. The Tetra Tech Home Office is currently reviewing the application, and USAID Oceans expects to finalize the grant in July 2017, with maximum of $150,000 for up to 24 months.

Human Welfare and Gender. USAID Oceans focused on the wrap-up of the learning site’s gender analysis work with subcontractor WinFish, On May 2nd, USAID Oceans met with the WinFish gender analysis team at the University of the Philippines Visayas, Iloilo City campus, to discuss work progress and the draft of the final report. The content and format of report was discussed, and how best to present the various components and results from the analysis. WinFish will provide information for and participate in the upcoming TWG Workshop and Regional Gender Workshop. WinFish will also be engaged to present gender analysis findings at the 2017 General Santos Tuna Congress, the 12th Asian Fisheries and Aquaculture Forum (12AFAF) to be held in 2019 and the 7th Global Symposium in Gender in Aquaculture and Fisheries (GAF7), which will be held in Iloilo City, Philippines.

4. NATIONAL AND LOCAL ACTIVITIES – INDONESIA

Summary Highlights At the national and site levels, USAID Oceans engaged heavily in Indonesia in the year’s third quarter to secure buy-in from fisheries operations to be “first movers” in CDT implementation. Paramount achievements are summarized below, followed by further detail. Q3 achievements, charted by the Activity’s FY 2017 Work Plan can be referenced in Annex I.

• Conducted the Bitung Integrated Stakeholder Consultation Workshop, June 21-23, 2017, in Manado, Indonesia. Presented results of the learning site’s research studies, engaged participants in the drafting of the Sustainable Fisheries Management Plan.

• Coordinated extensively with the Indonesia Ministry of Maritime Affairs and Fisheries, including on the anticipated signing of an IA Agreement.

• Worked to finalize grant award to MDPI, an Indonesia-based organization that would strongly enhance USAID Oceans’ CDTS implementation, particularly concerning small-scale fisheries. USAID Oceans will award the grant in Q4 upon USAID approval.

USAID Oceans and Fisheries Partnership Page 17 of 43 FY 2017 – Q3 Progress Report • Conducted meetings and in-field visits with “first mover” fishing operations that have agreed to pilot USAID Oceans’ CDT equipment. Visited first-mover, Nutrindo, as part of USAID Oceans’ Bitung site visit on June 23, 2017.

• Coordinated with gender analysis subcontractor, the Faculty of Fisheries and Marine Science of the Sam Ratulangi University (UNSRAT). UNSRAT conducted and concluded research for the Gender Analysis of the Tuna Fisheries Sector in Bitung, with full report due in Q4 of FY 2017.

• Developed communications materials to support the Integrated Stakeholder Consultation Workshop and Indonesia team, including technical report summaries and the Bitung Site Profile—all of which are available in English and Bahasa Indonesian.

4.1 Strengthen National Legal and Policy Framework and Capacity

National Capacity and Cooperation. USAID Oceans conducted the Indonesia Integrated Stakeholder Consultation Workshop in Q3—a significant activity and milestone for the program’s second year. USAID Oceans conducted the workshop from June 19-21, in Manado, Indonesia. Although the workshop was held near the USAID Oceans’ program learning site and presented learning site research, the event succeeded in also engaging national-level counterparts and providing critical information and capacity building to national-level participants. (See Section 4.2 for workshop details).

Participants from national and local government, industry, academia and fisheries organizations gathered in Manado, Indonesia for the USAID Oceans Integrated Stakeholder Consultation Workshop.

Ecosystem Approach to Fisheries Management. Similarly, learning site activities in Q3 furthered USAID Oceans’ national agenda and engaged national EAFM counterparts. (See Section 4.2 for details).

Catch Documentation and Traceability. USAID Oceans supported the development of MMAF’s downstream traceability, inventory and logistic system—the STIS-PPI. In the anticipation of the implementation of the U.S. Seafood Import Monitoring Program (SIMP), MMAF decided to build a government downstream traceability system that will track the movement of seafood from point of landing and first sale, all the way to export. The STIS-PPI system will be the backbone of the Directorate General of Fisheries Product Competitiveness’ traceability system. USAID Oceans has agreed to provide support on the testing and implementation of the system, and will also support the integration and interoperability of the STIS-PPI with other systems in MMAF (including Registration and Permit, Logbook, and Catch Certificate). With support from USAID Oceans, MMAF plans to start testing the system by the end of July 2017. At the same time, Oceans is also working with upstream directorates to strengthen their system.

USAID Oceans supported NOAA’s socialization of the SIMP in April 2017. USAID Oceans provided logistical support to conduct an event, held on April 10, which engaged the private sector with over 100 attendees. Dr. Chris Rogers of NOAA presented the SIMP, moderated by Oceans’ CDT Specialist, and conducted a port visit, held intra-governmental discussions and met with NGOs to socialize the program.

Partnerships and Industry Engagement. To support and continue industry engagement in Indonesia, USAID Oceans had several discussions with IPNLF and AP2HI to align their future work plans with USAID Oceans’ activities. After formalizing the IPNLF/USAID Oceans partnership in Q2, IPNLF is now working toward building seafood industry partnerships and awareness in key export markets. By working with

USAID Oceans and Fisheries Partnership Page 18 of 43 FY 2017 – Q3 Progress Report IPNLF members, the partnership aims to build buy-in from key markets, get input on future and current market requirements and help align national/local and market aspirations on CDT. The IPNLF/USAID Oceans partnership will also provide support to AP2HI for capacity building, enabling AP2HI to successfully support CDT System implementation in Bitung, Indonesia. AP2HI is currently hiring new staff members, and the association has agreed to keep USAID Oceans updated on the progress. USAID Oceans also expects to review AP2HI’s work plan in early Q4.

Human Welfare and Gender. Learning site activities in Q3 furthered USAID Ocean’s national agenda and engaged national Human Welfare counterparts. (See Section 4.2 for details).

Strategic Communications. In support of the Integrated Stakeholder Consultation Workshop and research completed across the work streams, a number of new informational pieces were developed for the program that not only served to facilitate the workshop, but will inform national, local, and regional partners of learning site progress and conditions. During the quarter, Oceans developed research summaries for each of the four completed learning site studies. The summaries, two to four pages in length, give readers a high-level view of the studies’ objectives, methodology, findings, and recommendations. The materials are available for download on the Oceans and Fisheries Partnership web portal. While at the workshop, a photo shoot was also conducted to gather additional visual resources for the program.

4.2 Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in Bitung

Capacity and Cooperation. USAID Oceans conducted the Indonesia Integrated Stakeholder Consultation Workshop in Q3—a significant activity and milestone for the program’s second year. The workshop was held June 19-21, in Manado, Indonesia. At the workshop, technical leads and subcontracted research organizations presented the results of learning site findings and conducted a series of learning sessions and discussions to further the SFMP. SFMP sessions prioritized issues, developed possible fisheries management interventions and gathered inputs and comments on the tuna fisheries’ management plan.

As part of the workshop travel and agenda, the team conducted a Bitung site visit on June 22. Representatives from USAID/RDMA, USAID/ASEAN, USAID Oceans and SEAFDEC visited the Bitung fish port and met with Bitung Fish Port Authorities and officials of the District-level MMAF. The team also visited Nutrindo’s private dock and processing plant, a private company that has signed- on as a pilot user of the CDT System equipment. Nutrindo buys tuna raw material from small-scale fishers and process them at their factory for export mainly to Japan, but with some exported to US and Europe. They will be one of the two companies for piloting the CDT system at the first mile, as they have fishers whom they can encourage to pilot the system, and link with their own USAID Oceans and SEAFDEC visited the system at the processing plant until export. Bitung Port following the Stakeholder Workshop to observe large and medium-scale fish landings. Ecosystem Approach to Fisheries Management. Photo Credit: Kongpathai Tonkpt/SEAFDEC In Q3, the EAFM team concluded the EAFM rapid field survey work Bitung. The survey was conducted in the previous reporting period, March 13-18, 2017, and report assembly and finalization occurred in Q3. The results of the rapid appraisal were presented and validated during the Integrated Stakeholder Consultation Workshop in Manado.

Catch Documentation and Traceability. In coordination with the team’s visit to Manado for the Integrated Stakeholder Consultation Workshop, USAID Oceans met with MDPI and Inmarsat Pointrek for a demonstration of the two-way VMS communication device and its capabilities for at- sea catch reporting. Key local stakeholder, Nutrindo, participated in the demonstration to observe the system capabilities for catch reporting and crew communications.

Also in the quarter, USAID Oceans supported the establishment of a Data Management Committee (DMC) in Sulawesi Utara with the Masyarakat dan Perikanan Indonesia (MDPI). DMCs are an integral part of MDPI’s work and bring together stakeholders from local tuna fisheries including the provincial and local government, industry and fishers, academia, NGOs, industry associations and scientists to discuss the need for and potential benefit of a forum where fisheries management issues

USAID Oceans and Fisheries Partnership Page 19 of 43 FY 2017 – Q3 Progress Report can be discussed regularly by the people engaged in the fishery. The DMW was established on June 22, in conjunction with the body’s first meeting. The DMC will play a pivotal role in the implementation of the CDT System in Bitung.

Partnerships and Industry Engagement. In Q2, USAID Oceans published a Request for Application (RFA) for USAID Oceans Grants Under Contract to support CDT for small-scale tuna fisheries in Bitung, Indonesia. The RFA was solicited in February 2017 to MDPI, as the only organization based in Indonesia that has expertise in small-scale fishery traceability and strong relationships with government and key industry stakeholders. The grant will be a maximum of $150,000 for up to 12 months. USAID Oceans received the grant application from MDPI in Q2, and it is under review by Tetra Tech Home Office. USAID Oceans expects to award the grant to MDPI in July 2017.

Supporting the implementation of an end-to-end traceability system, USAID Oceans is also exploring a partnership between Harbor Seafood (U.S.-based seafood importer) and PT SIG Asia. Founded in 1975, Harbor Seafood is a U.S.-based international seafood importer and exporter committed to social and environmental responsibility through conscientious sourcing practices, far-reaching charity work, and dedicated care to staff at home and abroad. Harbor Seafood sources from a wider variety of locations including Canada, South America, Asia, and Central America. In Indonesia, one of Harbor Seafood’s main supplier is Bitung-based PT SIG Asia. Founded in 2008, PT SIG Asia products are both fresh and frozen tuna, which are exported to the U.S. only. The company has connections to approximately 100 vessels (mainly handline vessels size 10-25 GT). The potential partnership with Harbor Seafood and PT SIG Asia will allow USAID Oceans to show case full-chain traceability system, from point of catch to import.

Human Welfare and Gender. USAID Oceans also conducted several human welfare-related activities in coordination with the Manado stakeholder workshop, including a presentation on human welfare research results as part of the workshop program. In addition, Oceans’ Human Welfare Specialist met with the UNSRAT Gender Analysis team to discuss the progress of gender analysis and report deliverables, as well as upcoming activities in July and August, where the UNSRAT gender team will be needed to present and discuss results to a more regional audience. Oceans’ Gender Specialist and SEAFDEC TWG for gender also held a meeting with MDPI to discuss the gender strategies outlined in their grant proposal and how to implement them. USAID Oceans agreed to invite the MDPI team for any human welfare-relevant learning site activities so that MDPI can also learn more about how to implement gender integration in their work.

5. EXPANSION SITE ACTIVITIES

USAID Oceans’ Expansion Site progress focused most prevalently on Thailand in this quarter, with a visit also made to Vietnam to meet with the Vietnam Department of Fisheries’ TWG. USAID engaged with the Thailand Department of Fisheries (DOF) throughout the quarter to push activities forward in the Expansion Site. As a country that is currently piloting several CDT solutions, USAID Oceans is keen to assess Thailand’s technologies in place, present gaps and best practices that it can apply to USAID Oceans’ CDT System pilot. The team met with the DOF on April 21, May 9, and May 26, to discuss work plan activities not yet undertaken and Year 2 opportunities for commencement. From these meetings, the team agreed upon three main activities—development of the Songkhla Site Profile, organization of a Multi-Stakeholder Consultation Workshop, and a Joint Assessment of Thailand’s main documentation and traceability tools, including the SEAFDEC ACDS and the Thai DOF CDT system. USAID Oceans will conduct he stakeholder workshop on August 28-29, 2017, in Songkhla. Participants will include fishing industry players, small-scale fisheries, fisheries officers, academe, local government officials, the DOF central office, local NGOs, SEAFDEC and USAID Oceans. From the Site Profile discussions, USAID Oceans and the Thai DOF agreed that the profile would have a fisheries management focus on small pelagic purse seine fisheries and the importance of CDT for intra-regional (ASEAN) trade between Songkhla, Thailand and Kelantan, Malaysia on the Gulf of Thailand, which could be a potential CDT pilot location.

In conjunction with these discussions with DOF, in June 2017 USAID Oceans PPP and CDT teams visited Songkhla, Thailand to conduct a field research on the current electronic traceability system in use by the DOF in Songkhla. The team visited the Songkhla Provincial Fisheries Office and assessed their system, which has been operating for one year. USAID Oceans found that the DOF system is able to accurately track, monitor and inspect movement of catch (via the Marine Catch Purchasing Document) and issue catch certificates, but the e-logbook component could be improved. USAID Oceans will complete the CDT assessment, provide recommendations for the CDT design, and present findings at the Stakeholder Validation Workshop in Songkhla.

Also in Songkhla, USAID Oceans continued to work with Thai Union, Mars Petcare, Inmarsat, and Xsense, to pilot the digital CDT. In Q2, software and hardware were installed on two fishing vessels, and captains, crew, and vessel owners were trained to collect data at sea. In Q3, data collection (via the e-logbook) started, and there is now real-time at-sea communication from these vessels. In the next phase of this pilot, FleetOne will be installed in two vessels in Ranong in July 2017, with training

USAID Oceans and Fisheries Partnership Page 20 of 43 FY 2017 – Q3 Progress Report conducted for captains, crew, and vessel owners. In September 2017, USAID Oceans will collaborate with Thai Union to conduct an assessment of this pilot, aiming to share results and findings from the assessment to the public at the end of 2017.

Supporting CDT expansion and replication in Thailand, USAID Oceans is exploring a partnership with Mars Petcare to expand the number of vessels piloting CDT in Thailand. USAID Oceans plans to start implementation by the end of 2017 or early 2018. USAID Oceans and Mars Petcare will continue to discuss technical details of the partnership in Q4.

On June 13-15, 2017, USAID Oceans traveled to Vietnam to meet with the Department of Fisheries (DFish) TWG and private sector representatives. The teams discussed and agreed upon activities for conduct in Year 3 in Vietnam—site selection and profiling, conduct of a multi-stakeholder consultation workshop and development of a CDT gaps analysis and roadmap. Potential pilot sites were also identified by DFish, one of the three major tuna fish landing provinces in Vietnam that include Binh Dinh, Khanh Hua and Phu Yen. USAID Oceans prefers Khanh Nua due to the volume of tuna landing and number of fishing enterprises.

Other Expansion Site I and II countries were engaged in Q3 with invitations to July’s Technical Working Group Planning Workshop and through the TWG Facebook Forum. USAID Oceans worked with each on logistical needs and coordinated with USAID and SEAFDEC to obtain support for restricted support countries, like Brunei and Singapore. USAID Oceans looks forward to meeting with the Expansion Site TWGs in Q4. USAID Oceans regularly posted program information, updates and fisheries news in the Facebook Forum for TWG member information and engagement. Members can also use the platform as a tool for networking, discussion, and information sharing from their own activities. (See Section 2.1 for additional details).

6. ADMINISTRATION AND OPERATIONS

6.1 Admin, Finance, and Management

General Administration/Operations. In the third quarter, the Oceans team worked to ensure general administrative, financial and operations activities supported the smooth and effective functioning of the program and technical team undertakings. This included planning and conducting the Year 3 Work Planning meeting, held in Bangkok from May 30, to June 2, 2017. The meeting brought together the entirety of Oceans’ team, including field personnel. The meeting succeeded in preparing the program for an efficient completion of Year 2 activities and milestones, and positioned the team well for timely submission of the annual work plan. As part of the process, the program initiated a budget review and “drill down” exercise, designed to increase the accuracy of project cost estimates for the life of the program. The budget exercise, which is expected to be completed in Quarter 4, will also enable Tetra Tech to submit a contract modification for the Section C Statement of Work, Section F Deliverables and the Activity Budget as a single package. In Q3, the activity also worked to support NOAA’s work plan development related to USAID Oceans and facilitate the transition of the incoming COR.

Reporting. In Quarter 3, USAID Oceans continued to meet contractual reporting requirements, including the submission of FY2017’s second quarterly report. USAID Oceans also submitted the Indonesia Value Chain Analysis Report and the Philippines Stakeholder Validation Workshop Report for USAID review, and worked to progress and finalize a number of technical research reports from the learning sites for submission in Quarter 4.

Procurement. USAID Oceans’ procurement activities over the course of the quarter continued to focus on management of ongoing sub-contracts, STTA agreements, and preparation of grant awards. Oceans’ subcontract with Verité to address the program’s labor objectives was completed on April 30, 2017, with the submission of final deliverables that were undergoing review and editing at the time of reporting. During Quarter 3, USAID Oceans worked to develop in-country administrative support mechanisms for the Philippines staff, which to date have been provided by the Tetra Tech implemented ECOFISH activity ending in July.

Recruitment and Staffing. Key staffing activities over the quarter included the ongoing mobilization and management of STTA support and the transitioning of duties from the LTTA Senior PPP Advisor to the local LTTA PPP team. The team mobilized STTA services to address a number of specific needs. This included the mobilization of rapporteur support through Ms. Asuncion Cia; facilitation support through Ms. Lily Ann Lando; and logistics support through Ms. Pattardada Rittang for the upcoming July and August Regional TWG, Gender and EAFM workshops. The Activity also extended a number of consultants on STTA agreements over the quarter, including those of Mr. Muhammad Badruddin, to support finalization of Indonesia’s EAFM Rapid Appraisal, and Mr. Elviora Abasola Cinco to support an ACDS Brunei pilot review and Expansion Site I country gap analysis.

The two-year, LTTA Senior PPP Advisor position held by Mr. Tim Moore and based in Bangkok ended on June 28, 2017. Although Tim will be leaving the region, he will continue to support the program through FY19 at a reduced level focusing on regional level and international (including U.S.) PPP development. Ms. Araya Poomsaringkarn, who joined the USAID Oceans

USAID Oceans and Fisheries Partnership Page 21 of 43 FY 2017 – Q3 Progress Report team in January, will serve as the Bangkok-based LTTA Partnership and Industry Engagement Specialist, with additional STTA support from Mr. Marc-Olivier Roux.

Grants Management. During Quarter 3, the Operations team worked together with the PPP team to develop two grants agreements to support the development and testing of CDT in the Bitung and General Santos learning sites. The team undertook grant negotiations with the Indonesian organization Masyarakat dan Perikanan Indonesia (MDPI) and the Philippines association, Soccsksargen Federation of Fishing and Allied Industries, Inc. (SFFAII). The one-year MDPI and two-year SFFAII fixed award grants will each amount to an estimated $150,000 and will address key program objectives. USAID Oceans expects to award both grants in early Q4.

6.2 M&E Plan and Implementation

The M&E Specialist focused in Quarter 3 on data collection, quality assurance and the timely capture of targets; drafting of guidance including for capture of public sector funds leveraged; and preparation for and next steps after the Year 3 Work Planning meeting.

During the quarter, USAID Oceans learned that RDMA had deferred planning for the conduct of an activity evaluation until FY18. USAID Oceans’ will move forward with initiating plans for an internal Q3FY18 mid-term evaluation that focuses on learning questions related to the Activity’s Theory of Change.

In the coming quarter, the M&E Specialist and DCOP will work closely with the USAID/RDMA M&E team to conduct a DQA for relevant “F” indicators. The M&E Specialist will also work closely with the technical teams to capture Year 2 targets and to refine and define out-year targets for the life of activity.

Quarter 3 achievements towards Activity targets are summarized below. See Annex IV for the full list of indicators and tracked progress.

Table 3. Targets Achieved, Quarter 3 Results Indicators Achieved Cumulative FY 2017 LOA Q1 Q2 Q3 Total Target Target Achieved Key stakeholders 10. Number of people 36 148 0 286 525 1555 have capacities to trained in sustainable natural use CDTS/FIS for resources management fisheries and/or biodiversity traceability and conservation as a result of management USG assistance (EG.10.2-4) CDTS public- 11. Value in cash or in-kind $10,014 $17,456 $149,017 $176,487 $ 0.5M $ 4M private (in USD) of public and partnerships private sector investments enable CDTS in sustainable fisheries and demonstration coastal and marine and expansion ecosystem conservation (Custom) (Total) Regional, national, 12. Number of new USG- 1 3 0 8 2 8 and local supported public-private stakeholders partnerships (PPPs) formed engaged and (Custom) committed to CDTS, PPP, and EAFM

USAID Oceans and Fisheries Partnership Page 22 of 43 FY 2017 – Q3 Progress Report 7. PLANNED TASKS FOR THE NEXT REPORTING PERIOD

In the year and quarter ahead, USAID Oceans will continue to work with regional, national, and local partners to develop a strong and lasting regional understanding and consensus of the critical importance and interconnected nature of all technical components of USAID Oceans, seeking to reduce IUU and unsustainable fishing in the Asia-Pacific region.

Regional and Cross-Cutting: Provide opportunities for regional engagement and capacity building that engage Technical Working Group members and stakeholders in cross-cutting program work stream events.

In Q3, USAID Oceans will coordinate with partners across SEAFDEC, the Philippines, Indonesia, and Expansion Sites to organize three upcoming workshops – the second Annual Technical Working Group Planning Workshop, the Regional EAFM Workshop, and Regional Gender Workshop. The workshops, held in July and August in Bangkok, Thailand, will serve to provide capacity building, present findings from Indonesia and Philippines research, and further work planning and implementation with each country group across the work streams.

USAID Oceans will conduct the Regional Gender Workshop on August 21-22, 2017, in Bangkok. All TWG members for Human Welfare will participate in this workshop, which will also bring together various players, stakeholders and donor agencies interested in and/or implementing gender in fisheries in the region. Sectoral recommendations arising from the gender studies will be presented to allow the other players to use them for their own work plans and project development activities. Following the Workshop, the TWG members will participate in the Regional EAFM Planning Workshop on August 23-25, 2017, in the same venue. Their presence will ensure that the human welfare aspect of the EAFM Planning will not be neglected, and that concrete inputs, recommendations and actions will be included. USAID DOI engagement with CTI-CFF to support the work on Women Leaders’ Forum for Sustainable Fisheries Management in the Coral Triangle countries in concurrence with the women leaders’ network under USAID Oceans will strengthen collaboration.

Catch Documentation and Traceability: Advancement of the CDTS architecture through continued engagement and increased traction in learning site implementation.

At the regional level, the CDT team will conduct best practice learning and sharing amongst regional partners by visiting Songkhla, Thailand in conjunction with the planned stakeholder workshop. In recent years, the Thailand DOF has been developing a CDT system that is integrated with their Fisheries Information System and Port-In/Port-Out inspection. The system’s implementation provides an opportunity for USAID Oceans and TWG members to learn how the system was developed and implemented, what trainings are needed for optimal use, and how the electronics and manual data link together under one cohesive field process.

USAID Oceans will continue to provide technical support to SEAFDEC with the development and testing of the e-ACDS in Brunei. USAID Oceans strongly believes that e-ACDS is good candidate for end to end traceability for countries that do not yet have not have an electronic CDT system in place or are in the process of building one. Countries like Malaysia, Cambodia and Myanmar are attractive candidates for the e-ACDS. Oceans will continue to support the development of the e-ACDS to strengthen its practical features and its ability to be implemented in other countries. This support will include direct support in the whole process of the system development life cycle including design, development coding, prototyping and testing, technology provision for trial, training and socialization, and evaluation and system improvement through user feedback.

In Indonesia and the Bitung learning site, USAID Oceans will support the implementation and testing of the STIS-PPI. In anticipation of the U.S. SIMP, Indonesia is developing a system and will issue a regulation that will enable users to capture all traceability data from the point of landing all the way to export. Oceans will collaborate with MMAF to test, implement and roll out this downstream traceability system. For large-scale fisheries, Oceans will work with partners, like Nutrindo, to test the STIS-PPI’s implementation. For small-scale, USAID Oceans will work with MDPI to test the STIS-PPI. In addition to these activities, USAID Oceans will support a number of workshops and focus group discussions through the entire development process, starting from training and socialization, evaluation and system improvement through user feedback. Oceans also will work with other directorates to build the connection of the STIS-PPI with other existing systems within MMAF’s Fisheries Information System, including the logbook, vessel registration (SIMPADA), catch certificate (SHTI) and health certificate.

In the Philippines, USAID Oceans will continue to support the development, implementation and roll out of BFAR’s CDT System. In addition to direct support to BFAR and through SFFAII’s grant, USAID Oceans will provide implementation support to enable private sector companies to use the BFAR CDT System. This will include a series of workshops and trainings, as well as the implementation of a private sector internal traceability system that later could connect to BFAR’s system.

USAID Oceans and Fisheries Partnership Page 23 of 43 FY 2017 – Q3 Progress Report In the Expansion Sites, USAID Oceans will conduct assessment and gap analysis studies for implementing CDT in Vietnam and Malaysia. The Vietnam study will be done in Hanoi and Na Thrang, focused on tuna value chain, and in Malaysia it will be conducted in Kelantan. Vietnam intends to use the results of this study to compile a national CDT development plan that will be included in their FY2018 budget; hence, USAID Oceans must complete the study before October 2017.

Ecosystem Approach to Fisheries Management: Continued coordination for the Regional Sustainable Fisheries Management Plan and completion of Rapid Appraisal Technical Reports for Indonesia and Philippines Learning Sites in Indonesia and the Philippines. The conduct of the Regional Fisheries Management Planning Workshop in Southeast Asia in pursuit of developing a regional EAFM framework specifically for Sulu- Sulawesi sub-region.

In Quarter 4, the EAFM workstream will conduct the Regional Fisheries Management Planning Workshop in Bangkok, Thailand on August 23-25, 2017, to advance the Regional Sustainable Fisheries Management Plan. At the regional level, USAID Oceans will also continue to provide technical support to EAFM TWGs across the region in the development of fisheries management plans and utilizing an Ecosystem Approach to Fisheries Management.

In the Philippines, USAID Oceans will move the adoption process forward for the Fisheries Annex with the Sarangani Protected Seascape PAMB, and will finalize workshop arrangements for the Mainstreaming EAFM planning process workshop with BFAR to advance the ‘Sustainable Fisheries Management Plan (SFMP) for Sarangani Bay and Sulawesi Sea, Region 12, Philippines.

In Indonesia, the team will focus on the completion of rapid appraisal technical reports and the draft Fisheries Management Plan for WPP 716, based on the outputs from the Integrated Stakeholder Consultation Workshop. Planning for the socialization and review of the SFMP will be conducted in partnership with MMAF and North Sulawesi province fisheries.

The EAFM team will prepare for Expansion Site activities upcoming in Q4 and early Year 3, including the Thailand and Malaysia Stakeholder Workshops. For Thailand, the team will provide technical support for the finalization of the Songkhla Site Profile; in Malaysia, will continue discussions with the TWG on the conduct of a Stakeholder Workshop in Kelantan; and in Vietnam, will continue discussions with the TWG and planning of EAFM technical support.

Partnerships and Industry Engagement: Formalize partnership to support CDT implementation and expansion, engagement with national and local partners to support CDTS technology solutions, award grants to local organizations in learning sites.

In Q4, the PPP team will work to formalize a partnership with a satellite service provider to support CDT implementation and expansion in learning and expansion sites. In addition, the team will engage with U.S. and EU markets and buyers to support the CDT System’s design and implementation, as well as members of the investment community to explore investment model for system expansion. The team will engage in both the Philippines and Indonesia with national and local partners to support the design and development of CDTS technology solutions. USAID Oceans will award a grant in Q4 to MDPI to design and implement CDT demonstration for small-scale tuna fisheries in Bitung, Indonesia, and a grant to SFFAII to engage the industry and government in General Santos City on the implementation of CDT. Award of these grants will be a major program milestone. In the expansion sites, the team will assist in design and evaluation of CDT pilot assessment study in Thailand, and explore partnership opportunities to expand CDT pilot in Thailand.

Human Welfare and Gender: Conduct of a Regional Gender Workshop, initiation of grants process in the Philippines and Indonesia, and drafting of guidelines and recommendations for improved human welfare through labor and gender equity solutions.

USAID Oceans will conduct the Regional Gender Workshop in August, bringing together gender analysis implementers, the USAID Oceans Human Welfare TWG and other relevant stakeholders, particularly potential donors and stakeholder- partners. This will be a venue for disseminating the results of the gender analyses at the sites, for potential replication in other countries. The need to explore partnerships with potential donors is recognized in order to mobilize resources for implementation of gender analysis and other recommended research and actions for interventions. USAID Oceans will also engage with CTI-CFF’s Women Leaders’ Forum through USAID DOI support to the Coral Triangle Center to learn from their work so a similar initiative can be strengthened among women leaders in SFM in ASEAN region. Specific capacity building activities on human welfare (gender and labor) may be organized in collaboration with SEAFDEC TWG for Human Welfare.

In the Philippines and Indonesia, the grants process will initiate the implementation of learning site interventions for capacity building of women’s associations and women empowerment on CDT operations and SFMP implementation. The team will also initiate the drafting of legal instruments in the form of policy recommendations, approaches and communication materials.

Strategic Communications: Promotion of the Oceans and Fisheries Partnership web portal for programmatic information, eNewsletter, and communications products to disseminate results of research conducted across the work streams.

USAID Oceans and Fisheries Partnership Page 24 of 43 FY 2017 – Q3 Progress Report The Communications and Outreach Specialist will continue to work closely with technical leads in Quarter 4 to support their work at the regional, national, and site-levels. With many of the work streams having completed extensive research in Quarter 3, communications activities will focus on digesting reports received from subcontracted organizations and producing external reports and communications products that summarize research findings and package as actionable, capacity building materials for stakeholder use. The Activity will develop key communications products to support the design and socialization of the CDT System and provide more information the linkages between the CDT System and SEAFDEC-led e-ACDS. In addition, the Communications Specialist will provide support to technical and country teams on Q4 events, including September’s General Santos City Tuna Congress.

Operations: Finalize and Submit Year 3 Work Plan, Annual Report and Contract Modification including Budget.

In Q4, the USAID Oceans team will undertake next steps to finalize and submit the Year 3 Work Plan including undertaking a detailed life of activity budget review. The budget review will enable the submission of a contract modification early in FY18 which will include modifications to Section C and F. USAID Oceans has received verbal indication from the Contracts Officer that the proposed modifications to Sections C and F which were submitted earlier this year are unproblematic. The CO requested that the revised Statement of Work, Deliverables schedule, and Budget re-alignment be undertaken in a single modification after the end of FY17. The Operations team will also continue to ensure all other contract deliverables including the Annual Report continue to meet high quality standards and are submitted on time.

USAID Oceans and Fisheries Partnership Page 25 of 43 FY 2017 – Q3 Progress Report ANNEX I. QUARTER 3 PROGRESS TO FY 2017 WORK PLAN

The tables below detail the Activity’s progress towards 2017 Work Plan objectives. Items marked: have been initiated/completed X remain on schedule to be completed X have been delayed, shifted, or have been initiated but are not yet complete X indicates that a new estimated completion date has been established

Regional Activities Strengthen Regional Capacity for CDTS, EAFM, PPPs and Support Adoption of Regional Guidelines for Integrated ACDS/CDTS Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion RG1 - Develop and implement a regional CDTS, PPP and industry engagement strategy Ongoing – The TAG provided input on the CDT 201 following its distribution • Form the CDTS Technical Advisory Group (TAG) to on January 16, 2017. The TAG continues to engage, as needed, to review support the CDTS design and demonstration    CDTS design and KDE details. Ongoing – Oceans furthered design in Q3 with meetings with BFAR, MMAF, and fishery operations on their tailored needs for system design and • Develop CDT data exchange prototype X    capabilities. The CDT explored possibilities with partners for DEX ownership and operation. • Develop partnership with satellite service provider to Ongoing - USAID Oceans expects to announce a partnership with Inmarsat in test and pilot mobile satellite solution for data capture at    X Q4 for regional satellite support. sea • Engage a U.S. buyer alliance to support CDTS design, Ongoing – USAID Oceans is exploring through partnership with Seafood X demonstration and expansion in multiple countries    Watch. • Engage regional industry alliance to support the Pending X X expansion and sustainability of the CDTS/PPP Ongoing – USAID Oceans co-organized the Global Dialogue on Seafood • Present at key regional and international industry events    Traceability in Thailand. Ongoing – MOU signed in March, and Songkhla pilot with Thai Union/Mars • Partner with Thai Union to test CDTS in Southeast Asia    Petcare launched in March 2017. Phase 2 of the pilot to begin in July 2017. Ongoing – USAID Oceans met with key members of the Tuna Subgroup, Mars • Engage the Tuna Subgroup of the Thai Sustainable X Petcare, Walmart and Tesco, in February to discuss future involvement in the Seafood Roundtable to support CDTS expansion   Tuna Subgroup. • Establish a regional CDTS/FIS Operations Center X Pending

USAID Oceans and Fisheries Partnership Page 26 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion • Provide regional support via technical expertise to Pending strengthen existing national FIS to improve data exchange and interoperability between CDTS/FIS. X Develop national CDTS/FIS design and roadmap for learning sites • Support regional engagement through CDTS Assistant, Complete and Ongoing – USAID Oceans’ CDTS Assistant was hired in Q1. X recruited in Year 1    RG2 - Build regional capacity for expansion Pending – The 2nd TWG Planning Workshop will be held on 12-14 July 2017 in • Hold Technical Working Group Training/Workshop   X Bangkok. Preparatory meetings with SEAFDEC and other partners were held in Q3 to discuss event agenda, logistics, and objectives. • Organize study tours to learning sites (General Santos or This activity will be postponed to Year 3. X Bitung) • Support CTI-CFF RPOA EAFM Goal related to Ongoing – Coordination with SEAFDEC continued throughout Q3, with X development of SSME Plan    Planning Workshop scheduled in Q4, August 23-25. RG3 - Integrate fair labor and gender equity considerations at the regional level Removed from Y2 Work Plan – The 6th Global Symposium was held in late Y1, • Participate in 6th Global Symposium on Gender in in Augus t 2016. Oceans will participate in the next Symposium, not be held Aquaculture and Fisheries until 2019. Delayed – This activity will be held August 21-22, Bangkok, Thailand. Planning • Organize Regional Gender Workshop X  X meetings were held in Q3 with SEAFDEC, other program partners. Delayed – This activity has been delayed due to its reliance on national events and initiatives that can be used as a platform to disseminate labor results and • Conduct workshop on labor considerations in X X X recommendations. Oceans’ Human Welfare Specialist is trying to schedule a SFM/EAFM meeting with the Philippine Department of Labor and Employment to discuss possible opportunities. Ongoing – Oceans’ Gender Analyses subcontractors are working to identify • Integrate agenda for Women’s Leaders’ Forum in SFM potential women leaders as the conduct their in-field research in the learning X with CTI   sites. USAID Oceans will work with the CTI-CFF Women Leaders Forum through a USAID DOI grant to the Coral Triangle Center. RG4 – Develop and implement a regional communication strategy Complete and Ongoing – The web portal launched in the final week of March • Develop and maintain Oceans web portal, hosted on X 2017. Oceans will continue to promote, update, and maintain the site in Q4 SEAFDEC website    and moving forward. Ongoing – USAID Oceans’ distributed the program’s eNewsletter on May 15, • Disseminate Quarterly eNewsletter to stakeholders X    2017. Development is ongoing for the Q4 edition. • Develop program materials, to include work stream fact Ongoing – Internal and external communications materials were developed sheets, event materials, Success Stories, and other    X throughout the quarter to facilitate stakeholder outreach and further program communications products as needed progress, including technical report summaries and learning site profiles.

USAID Oceans and Fisheries Partnership Page 27 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion Ongoing – Press releases, talking points, and supplementary materials were • Develop press releases, talking points, and media kits to X developed for program announcements. support regional activities and engage press   

RG5 – Support development of regional ACDS/CDTS guidelines (standards, architecture, and roadmap) • Initiate development of the draft ACDS/CDTS guidelines X Pending • Support endorsement process, documents, and schedule Pending X for adopting ACDS/CDTS guidelines

National and Local Activities – Philippines Strengthen National Legal and Policy Framework and Capacity Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion PH1 - Strengthen legal and policy framework and decision-integration tools for CDTS/FIS/EAFM • Conduct integrated workshop on lessons learned and Completed – the General Santos City Stakeholder Validation Workshop was

best practices    conducted February 21-23, 2017. The workshop report was submitted to USAID for review in Q3. PH2 - Strengthen national capacity for CDTS/FIS/EAFM/PPP Complete – The General Santos Site Profile was updated based on information

• Develop and finalize Site Profile   from the Value Chain Analysis and RAFMS in Q2, with short-form Site Profile developed and disseminated for external audiences. • Develop Philippines specific work plan to enable Ongoing – The Philippines work plan was developed in May’s work planning government and national and local partners to X  X sessions and will be rolled into the Program’s Year 3 Work Plan. coordinate and mobilize resources effectively Ongoing – Under EAFM, initiated coordination with BFAR to use the M-EAFM • Develop integrated training modules for Activity work X Planning Process Module to be adopted in the Learning Site. The training is streams and conduct ToT   tentatively scheduled for September, Q4. Ongoing – Oceans held a Catch Documentation and Traceability System design • Develop national CDTS/FIS architecture design and workshops and discussions with BFAR in Q3, furthering discussions on the X X roadmap   CDT system design and implementation, including hosting arrangements. The design and roadmap for implementation will continue to be developed in Q4. Ongoing – In Q3 conducted CDTS/FIS workshops with BFAR and Industry • Conduct national CDTS/FIS/PPP workshops with players at the national level and in the learning site. Discussions from the X government, industry and technology companies   Stakeholder Validation Workshop also provided information and guidance on the design for the CDTS. Delayed – While CDTS equipment was not directly tested in Q3, productive and critical meetings and workshops were held with BFAR and government • Localize and test national CDTS data exchange X X X partners to further design of the data exchange in preparation for localization and testing.

USAID Oceans and Fisheries Partnership Page 28 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion Pending – This activity has been modified to only include technical and • Establish and staff national CDTS/FIS Operations Center X equipment support to the Philippines’ Operation(s) Centers. • Provide regional support via software Ongoing – Q3’s development trainings with BFAR furthered progress in integration/development to strengthen existing   X strengthening the national FIS systems and prepared the Activity for effective Philippines national FIS systems integration into existing government infrastructure. Ongoing – USAID Oceans continued discussions with Globe Telecom and • Develop 1-2 partnerships to support the CDTS/FIS X FAME to support the CDTS demonstration in General Santos City. demonstration and expansion, and skills capacity building   

PH3 - Integrate safe labor and gender equity considerations at national and local levels Ongoing – Workshops were held in Q1 in the Philippines, including a gender • Conduct national gender and labor consultation X focused Open Data Kit training. Additional workshops will be held after the workshops    gender and labor analysis reports are completed. Delayed – Pending completion of Labor and Gender Analysis reports, • Produce advocacy materials to implement action plans X X disbursement of human welfare grants.

Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in General Santos City Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion PH5 – Develop and Demonstrate CDTS/FIS/PPP • Develop SOCSKSARGEN Federation partnership to Ongoing – SFFAII submitted a grant application in response to a RFA in March support the demonstration and expansion of CDTS in    X 2017. USAID Oceans anticipates finalizing the grant and partnership in Q4. target fisheries and supply chains • Conduct partnership planning workshop with industry Delayed –Partnership planning will be addressed at July’s TWG Workshop, associations and participating companies to develop X X X however, a full partnership planning workshop has been shifted to the Year 3 partnership action plan Work Plan. • Conduct rapid value chain assessment to identify target 2- Complete – Final reports submitted to USAID on March 30, 2017.

3 supply chains for the demonstration   • Identify industry priorities and gaps for the Complete – Included in the final value chain report and incorporated in the

implementation of CDTS   Rapid Appraisal for Fisheries Management. Ongoing – In Q3, USAID Oceans and SFFAII engaged with and identified first • Organize local industry discussions and public private mover companies, which will participate in the CDTS demonstration in General X dialogues on CDTS design, design and demonstrations    Santos City.

• Demonstrate application of CDTS/FIS components with Delayed – While CDTS equipment was not directly tested in Q3, productive and key supply chain actors and local government in General critical meetings and workshops were held with BFAR and government partners X X X Santos in partnership with industry associations and NGO to further design of the data exchange in preparation for localization and testing. partners • Develop concept note for the industry partnership to Ongoing – USAID Oceans held meetings with SFFAII in Q3 to discuss support CDTS implementation and other components in    partnership. SFFAII submitted a grant application in response to a RFA in March General Santos City 2017, and USAID Oceans awaits grant finalization in Q4.

USAID Oceans and Fisheries Partnership Page 29 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion • Integrate CDT data exchange server at the site with Pending BFAR Region12 and key supply chain actors in X cooperation with SOCSKSARGEN • Localize mobile CDT MVP for vessel traceability and Delayed – USAID Oceans is working closely with BFAR to localize the CDT X X point of capture data logger MVP and is awaiting system development by BFAR programmers. • Support the expansion of CDTS and fisheries data Pending collection through sustainable business or investment X models PH6 - Build local stakeholder capacity to use CDTS/FIS/PIE/EAFM • Conduct integrated trainings for implementers, local Ongoing – Trainings were held in Q3 to build capacity in RAFMs and value chain

government, and hands-on training on use of CDTS/FIS   X analyses, as well as CDTS development. CDT trainings will be ongoing in Year 3 with key users as the CDTS is implemented. PH7 - Develop fisheries management plan Completed – In Q2 WorldFish completed the RAFMS filed activities, with the • Conduct rapid appraisal using RAFMS    final Integrated Report of the RAFMS submitted in Q3. Completed – Stakeholder Validation Workshop was held in February 2017.

• Conduct integrated stakeholder validation workshop    WorldFish has also submitted the Workshop Proceedings and a technical report as part of the RAFMS Final Report in Q3. Ongoing –Two workshops were conducted in Q2, (i) with the Sarangani Bay Protected Seascape Management Boards; and (ii) as part of the Stakeholder • Develop SFMP framework and SFMP in consultation with Validation Workshop. The results of the workshops complemented by RAFMS BFAR   results will be used for the ongoing crafting of the Draft SFMP for Sarangani Bay and Suluwesi Sea area. PH8 - Support fair labor and gender equity in local implementation • Gender Analysis: In Q3, WinFish submitted a draft final report and is currently • Conduct in-depth gender analysis and X X revising the report according to USAID Oceans’ feedback. The final report will   be submitted in Q4 before the Regional Gender Workshop.

• Labor Studies: Revised reports have been submitted by Verite and their contract is now completed. USAID Oceans’ team worked to further process • labor studies, implement interventions X these reports in Q3, preparing for submission to USAID. National Tuna    Congress organizers have requested a presentation of the labor results during the Tuna Congress in Q4 in General Santos City.

• Conduct/participate in integrated stakeholder validation Complete – Stakeholder Validation Workshop conducted February 21-23, 2017.

workshop  

National and Local Activities – Indonesia Strengthen National Legal and Policy Framework and Capacity

USAID Oceans and Fisheries Partnership Page 30 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion ID1 - Strengthen legal and policy framework and decision-integration tools for CDTS/FIS/EAFM/Gender/HW • Conduct integrated workshop on lessons learned and Conducted June 19-21, 2017, in Manado, Indonesia. best practices  ID2 - Strengthen national capacity for CDTS/FIS/EAFM Completed in Q3, distributed at Stakeholder Workshop and posted on program

• Develop and finalize Site Profile    web portal.

• Develop an Indonesia specific work plan to enable the Ongoing – The Indonesia work plan was developed in May’s work planning government of Indonesia and national and local partners X  X sessions and will be rolled into the Program’s Year 3 Work Plan. coordinate and mobilize resources effectively Delayed – To maximize resources and focus on key program objectives, USAID • Develop integrated training modules for Activity work X Oceans has shifted this to a Year 3 activity that will focus more closely on the streams and conduct ToT program’s CDTS/ACDS Guidelines.

• Develop national CDT/FIS architecture design and Ongoing – The CDTS’ design continued to develop in Q3 with close roadmap    coordination with MMAF and partners, IPNLF, AP2HI, and MDPI. • Conduct national CDT/FIS/PPP workshops with Ongoing – This activity was rolled into the agenda and training sessions for the government, industry and technology companies  TWG Planning Workshop. Additional activities will occur in Year 3. Delayed – While CDTS equipment was not localized in Q3, the CDTS team was • Localize and test national CDT data exchange X X X able to meet with a number of small, medium, and large-scale fishing operations to secure them as “first movers” for equipment testing on operation vessels. • Establish and staff national CDTS/FIS Operations Center X Pending • Provide regional support via software Delayed and Ongoing – Oceans continued to work in Q3 with technology integration/development to strengthen existing Indonesia X X X providers, like Inmarsat, to provide technology solutions to Indonesian national FIS systems beneficiaries with CDTS implementation. Ongoing – USAID Oceans held a number of meetings with Inmarsat to partner in Indonesia to support vessel connectivity and CDT data collection from medium- to-large fishing vessels in the Bitung Demonstration site. PT Sisfo, Inmarsat’s • Develop 1-2 ICT partnerships to support the CDTS/FIS partner in Indonesia, is ready to provide technology for commercial fishing X demonstration and expansion, and skills capacity building   vessels including CDT, VMS, and basic communications for fishers. USAID Oceans looks to finalize the partnership with Inmarsat early in Q4 to support Indonesia, and potentially Thailand and other countries.

To maximize resources and focus on key program objectives, USAID Oceans has • Conduct innovation challenge to spur local X X removed this activity from Year 3 and 4 Work Plans. Instead, the program will startups/solution for CDT and fisheries dedicate additional resources the CDTS development and implementation. ID3 - Integrate safe labor and gender equity considerations at national and local levels • Conduct national gender and labor consultation Pending based on national and local events information provided by TWG on X X workshop Human Welfare.

USAID Oceans and Fisheries Partnership Page 31 of 43 FY 2017 – Q3 Progress Report

Demonstrate Integrated CDTS and FMP for the Tuna Supply Chain in Bitung Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion ID5 - Develop and demonstrate CDTS/FIS/PPP • Conduct rapid value chain assessment and identify Completed – USAID Oceans submitted the VCA Report to USAID for review on industry priorities and gaps for the implementation of    June 5, 2017. CDTS • Develop partnership with the Indonesia Sustainable Tuna Ongoing – Concept Note developed by Marine Change for five-year alliance and Industry Alliance to support CDTS demonstration and partnership plan, but work needed with three organizations to formalize the expansion, sustainable fisheries management and human    X alliance that may take six months or more. welfare in Indonesia pole-and-line and handline tuna fisheries Ongoing – USAID Oceans received a grant application from MDPI and signed a • Develop and agree on partnership concept; Conduct partnership agreement with IPNLF that outlined potential partnerships for small- partnership briefing for district/local government    scale fisheries support and CDTS implementation in Bitung, Indonesia. Meetings counterparts were held with MMAF PPP lead in March on the grant and partnerships, but engagement with local government awaits TA finalization. Pending – This activity is now slated for Q4 as USAID Oceans awaits TA • Organize local industry discussion on CDT roadmap X X X X finalization and coordination of proposed grant to MDPI. • Set up and hold local data management committee with Completed and ongoing – USAID Oceans, with MDPI, established a Data X X key local stakeholders to support CDTS implementation  Management Committee, which held its first meeting in Q3. Delayed – USAID Oceans worked in Q2 to further develop the MVP concept • Localize mobile CDT MVP for vessel traceability and X X X X with technical partners, including GFTC and Future of Fish. Mobilization of the point of capture data logger CDT MVP relies on a finalized IA with MMAF and completed DEX architecture. • Demonstrate application of CDTS/FIS components with Ongoing – While CDTS/FIS components were not localized in Q3, Oceans key supply chain actors and local government in Bitung in secured agreement from “first mover” companies, including Nutrindo, to host X partnership with industry associations and NGO   CDTS equipment on operation vessels. Securing these partners is a critical step in partners demonstrating the components in the field. • Integrate CDT data exchange at the site with key supply Pending X chain actors and district/provincial government • Support the expansion of CDTS and fisheries data Pending collection through sustainable business or investment X models ID6 - Build local stakeholder capacity to use CDTS/FIS • Conduct of EAFM training with FMA-716 (North Completed – This was incorporated in the conduct of stakeholder workshop in Sulawesi province); EAFM lead training; and hands-on   Q3. CDT training with key supply chain stakeholders ID7 - Develop fisheries management plan Completed – Rapid Appraisals were conducted in Q2 in Bitung. STTA support • Conduct rapid appraisal of FMA-716 using RAFMS    (Mr. Badruddin) commenced in January 2017 and prepared the Fisheries Profile

USAID Oceans and Fisheries Partnership Page 32 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion for FMA 716. In-field work was conducted January – March 2017, with final reports assembled in early. Completed – Workshop conducted on June 19-21, 2017. • Conduct stakeholder validation workshop   Ongoing – STTA complemented this effort with the rapid appraisal studies and • Develop SFMP implementation plan in consultation with X conduct of Focus Group Discussions in conjunction with the Stakeholder MMAF   Validation Workshop. The SFMP was drafted in Q3, with ongoing work in Q4. ID8 - Support fair labor and gender equity in local implementation • Gender Analysis: UNSRAT has completed a series of workshops for local stakeholders and enumerators, in-field Focus Group Discussions, interviews, • Conduct in-depth gender analysis and X   X and other research. Results were presented at June’s Stakeholder Workshop, with final report forthcoming.

• Labor Studies: Research has been completed, Verite has submitted final reports • Labor studies, and implement interventions X and their contract has concluded. USAID Oceans’ team is working to process    the report for USAID review and further dissemination.

Complete – workshop conducted June 21-23, 2017. • Conduct/participate in stakeholder validation workshop X 

Expansion Sites Expansion Sites I - Thailand and Malaysia Expansion Sites II - Cambodia, Brunei Darussalam, Lao, Myanmar, Singapore, Vietnam, and CTI-CFF Countries (Papua New Guinea, Solomon Islands, Timor Leste)

Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion EX1 – Expansion Sites 1 - Thailand Ongoing – STTA, Mr. John Parks, worked in Q2 to develop the draft Site Profile. • Develop Site Profile X   X Efforts have continued into Q3, and USAID Oceans anticipates sharing the profile with the Thailand TWG for review and finalization in Q3. • Support TWG reps from other sites to national/site level X training and workshops    Ongoing – Supported SEAFDEC with proposal development for USAID/DOI grant, • Provide technical support for EAFM planning, including proposed to fund Expansion Site participation in training/workshop activities and support for identification of EAFM issues, management continued technical support. X objectives, and management measures to contribute to    EAFM planning Engaged with Thailand Department of Fisheries and Thai Union to participate in • Facilitate CDT mentoring from other countries to Songkhla pilot stakeholder group. USAID Oceans is acting as a technical advisor for X learning sites    the pilot’s implementation of CDT technology on fishing vessels.

USAID Oceans and Fisheries Partnership Page 33 of 43 FY 2017 – Q3 Progress Report Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion • Facilitate networking among women leaders through TWG human welfare    X

EX1 – Expansion Sites 1- Malaysia • Support TWG reps from other sites to national/site level Ongoing – Coordinated with SEAFDEC and TWG members to arrange X training and workshops*    participation in upcoming regional workshops. • Facilitate networking among women leaders through X TWG human welfare    EX2 – Expansion Sites I1 • Support TWG reps from other sites to national/site level X training and workshops*    Ongoing – Coordinated with SEAFDEC and TWG members to arrange • Facilitate networking among women leaders through participation in upcoming regional workshops. X TWG human welfare   

Administration and Operations Activity Q1 Q2 Q3 Q4 Notes on Progress and Completion AO1 – Work Planning • Finalize and Submit Year 2 Work plan Complete – Submitted October 31, 2016.

 Pending – Work planning sessions were held in late May 2017. The USAID Oceans • Develop and Finalize Year 3 Work plan X team is currently working on the draft work plan for internal review and early   draft submission to USAID COR. AO2 – Reporting Ongoing • Prepare and submit Quarterly Reports    X Complete – Submitted October 31, 2016. • Prepare and submit Annual Report  AO3 – Procurement Complete – Submitted in FY 2016, August 2016. Received USAID • Complete ADS 548  recommendations September 2016. USAID Oceans submitted response to recommendations November 2016. At the request of USID/RDMA, budget modification will be submitted in Q1, FY • Realign budget and submit modification request X  2018. AO4 – Monitoring & Evaluation Ongoing • Compile and review monitoring data    X Shifted, According to M&E Plan, DQA conducted by USAID or external consultant • Conduct internal and external Data Quality Assessments X X is scheduled to take place in September 2017.

USAID Oceans and Fisheries Partnership Page 34 of 43 FY 2017 – Q3 Progress Report ANNEX II. USAID OCEANS CONFIRMED PARTNERSHIPS

Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

Global traceability − Leverage global programs, partners, global best − CDT system designed that meets − June 2016 – May 2017 $150,000 minimum leverage partnership to design practices and knowledge of the regulatory and the requirements of multiple (expected to extend) w/ possibility up to an interoperable CDT private standards environment regarding seafood commercial industry players and $300,000K − system aligned to global traceability to design a CDT system in the Asia- value chains. Partnership concept traceability standards Pacific region. note and contract − CDT system developed that uses signed (June 2016 – • Global Food − Advise on global data and traceability standards for traceability standards and data May 2017) Traceability Center the Oceans CDT program, including standards exchange approach aligned with − (GFTC) organizations. global markets Expect to adjust timeline and extend Supporting: Gordon and Betty − Collaborate on the implementation of two CDT − Evaluation and improvement of the contract/partnership Moore Foundation and 17 demonstrations by providing recommendations on CDT design and deployment leading through September sponsors. the communications standards approach. to improved system. 2017 − Monitoring and evaluating the capturing, storing, − Regional industry alliance sharing and assessing CTEs and KDEs along the two supporting the CDT system. demonstrations supply chains. − Provide facilitation and guidance for creating a seafood industry coalition

Catch Documentation − Future of Fish will conduct research to gather − Understand the pathway to and − Sept 2016 – May 2017 − $100,000 from Walton and Traceability information for the design of effective and scalable increase industry adoption of − Partnership and and Moore Foundations System Design CDT systems and how different value propositions CDTS, understanding value subcontract signed − Future of Fish will raise Partnership will increase uptake. propositions, providing evidence September 2016 $750K to $1.2M for • for Return on Investment Future of Fish − Draft and complete identified sections of the deployment phase in Supporting: Walton CDT201 document, and design document for the − Provide critical insight and data 2017-2018. Oceans could Foundation and Gordon data exchange server prototype. needed to secure buy-in from the leverage some of these and Betty Moore − Communicate with the technology vendors for seafood supply chain, to support funds Foundation and feedback on the current architecture and how it can the development of the CDT technology/traceability be adopted, including roadblocks to adoption. deployment models companies. − Contribute to CDT201 implementation approach − Set the stage and accelerate the

and integration within the supply chain to support development and deployment of

more effective, scalable models for traceability scalable, full-chain CDT systems

deployment around the world informed by case study research.

USAID Oceans and Fisheries Partnership Page 35 of 43 FY 2017 – Q3 Progress Report Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

North American buyer − Leverage its strong connections to major seafood − Seafood industry partnerships and − August 2016 (2 - 3 − $100,000 for staff and NGO alliance to buyers, including the largest food service companies key stakeholder awareness built in years) support traceability and in North America, suppliers, restaurants, culinary the North American seafood market − Partnership signed in sustainable fisheries in celebrities and spokespeople, and retailers. to support the CDT system August 2016 Asia Pacific − − Seafood Watch will use its robust communications Market-driven approaches improving − Developing work plan • Seafood Watch platform to promote awareness on the transparency in complex, for 2017 Food Service Roundtable and implementation of CDT. international seafood supply chains. other Seafood Watch buyer − Link the Seafood Watch standards with the CDT − Platform for engagement to create and NGO partners in North system and sustainable fisheries management improvements in the environmental America market programs in the demonstration sites. performance of fisheries in the Asia − Identify opportunities and partners to support CDT Pacific Region based on the SFW expansion to priority areas and species with high standards for “Best Choice” and value for biodiversity based on interest Seafood “Good Alternative” Watch’s buyers and partners Technical advisory − Technical Advisory Group (TAG) focused on − CDT strategy and roadmap − Sept 2016 to May − 2-3 days per month per group partnership to supporting the Catch Documentation and development accelerated. 2017 (initial) organization for 6 develop the catch Traceability (CDT) component of the project. months to start − Credibility of the CDT system with − Formed officially in documentation and − Represent a diversity of key CDT-related technical key stakeholders, including thought September 2016 − Estimated leverage of traceability system skill sets and knowledge bases that are not sufficiently leaders and industry partners. − KDEs/CTEs appendix around $50,000 – Partners: Future of Fish, represented within the USAID Oceans team. − Leverage significant funding and of the $75,000 GFTC, Marine Stewardship − Provide technical expertise in the design, testing, and technical resources from multiple CDT201document Council, Fishwise, implementation of the electronic CDT system. partners to support the shared October 21, Monterey Bay Aquarium demonstration, expansion and 2016 with comments Seafood Watch, WWF, − Support CDT demonstration site testing and adaption of the CDT system in the due beginning International Sustainable implementation process; expansion site strategy; and Asia Pacific region. Seafood Foundation, support USAID Oceans learning, adaptation, and Catapult, MDPI and Thai scaling of the CDT strategy. Union

USAID Oceans and Fisheries Partnership Page 36 of 43 FY 2017 – Q3 Progress Report Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

Indonesia Coastal Tuna USAID Oceans and ICTTA agreed to develop a clear − Identify the CDT requirements of − Phase 1: Sept 2016 to − $95,000 for Phase 1 Traceability Alliance multi-year strategy and partnership plan. From May – July different stakeholders within the Jan 2017 (ICTTA), Phase I 2016, ICTTA members, USAID Oceans, Marine Change tuna industry in Indonesia, − Partnership concept and Future of Fish developed an initial phased strategy to • Marine Change (PT focusing on value chains linked to and subcontract signed ensure the long-term success of the Alliance and the Konsultasi Investasi the USAID Oceans preferred site in Sept 2016 Kelautan) and partnership with USAID Oceans. Phase 1 includes: at Bitung. Masyaraket dan − Rapid Value Chain Assessment of the Tuna Fisheries − Identify the various leverage Perikanan Indonesia Sector in Indonesia: map the critical actors in the points for CDT and fisheries (MDPI) value chain and identifying the key end markets for management data collection, and tuna from Indonesia, both regional and international, start to explore the business case with an emphasis on Bitung. for different actors through

− Identify Critical Tracking Events (CTE) and Key Data traceability and differentiation for Supporting: Asosiasi Elements (KDE) throughout value chain that will further research. Perikanan Pole & Line dan meet priority export markets. Handline Indonesia (AP2HI), − Identify the priority end-markets International Pole and Line − Conduct End User Value Proposition for Adopting for Indonesia tuna. Foundation (IPNLF) and CDT Technology in Indonesia − Develop the concept around Future of Fish − Conduct initial interviews with in-direct users of ICTTA and outline strategy and CDT technology and understand the value planned activities for the coming proposition (i.e. telecommunication companies, 2-3 years. financial services).

USAID Oceans and Fisheries Partnership Page 37 of 43 FY 2017 – Q3 Progress Report Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

Collaborate in the Possible technical areas for collaboration include: − Establish a transparent and − MOU signed in March − Estimated leverage of Design and − Industry dialogue on catch documentation and financially sustainable regional 2017 and effective approximately $150,000 Implementation of a traceability catch documentation and until May 13, 20202 Regional Catch traceability system to combat IUU − Government engagement: Facilitate public-private Documentation and fishing and seafood fraud Traceability System collaboration to support the implementation of − • Thai Union USAID Oceans activities Promote sustainable fisheries management to conserve marine − Design of the CDT system: Through USAID Oceans biodiversity CDT TAG, design an interoperable electronic and financially sustainable CDT system. Explore and test − Form and strengthen partnerships linking additional features and tools to promote among governments, regional responsible and equitable labor practices institutions and industry to improve transparency in seafood − Demonstrate the CDT system in Thailand: Identify supply chains and support the testing of e-CDT system in one fishery in Thailand, and link the electronic data with − Integrate and address key social internal and external traceability systems through the and community issues such as supply chain for verification by government and gender, labor and safety at sea in customers target fisheries − Expansion and replication of the CDT system: Identify and support the expansion of CDT system to other high priority fisheries and seafood supply chains − Implement fishery improvement projects in demonstration and expansion sites, with the goal of supporting the development and implementation of ecosystem-based approaches to fisheries management

USAID Oceans and Fisheries Partnership Page 38 of 43 FY 2017 – Q3 Progress Report Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

Catch Documentation − Task 1: Coordinate with USAID Oceans to plan and − Involve key companies from − November 2016 – − $15,000 in in-kind and Traceability deliver a panel session at the Sustainable Ocean fisheries, seafood, technology, data March 2017 support Regional innovation and Summit in 2016 management, telecommunications − Partnership and Partnership Platform − Task 2: Work with USAID Oceans to refine and and other sectors essential to the subcontract signed • World Ocean strengthen the goals and objectives of the Technical development, improvement, November 2016 Council Advisory Group scope, with an emphasis on WOC’s operation and expansion of the CDT system. role − − Task 3: Using the findings from Tasks 1 and 2, Identify approaches and strategic develop and vet a list of target companies and partnerships for industry and organizations to contact for supporting and governments to expand the contributing to the Technical Advisory Group availability of lower cost technologies and remote/at sea − Task 4: Develop brief communication package connectivity to support the (USAID Oceans, WOC and CDT Technical Advisory expansion of data collection for Group background) to support outreach and CDT, fisheries management and recruiting of key companies and organizations. enforcement. − Task 5: Conduct the outreach and recruiting of the − Identify the business and key companies and organizations; investment models that could − Task 6: Interview the companies and organizations sustain the CDT and fisheries data to gather inputs and recommendations to input to collection beyond the life of the TAG and associated work products, including the USAID Oceans, and the barriers CDT201 document. and opportunities for developing and implementing these models. − Task 7: Combine and synthesize results from Task 6 into a summary report of key findings and recommendations for the Technical Advisory Group and USAID Oceans development, actions and outputs for 2017 and beyond. Explore a Financing − Develop a sustainable financing model that will create − Collaborate to identify a financing − January - May/June Vehicle to Scale Catch a value proposition and incentive for adoption of model to scale and expand CDT 2017 Documentation and traceability across the different nodes within the and data management in tuna and – Partnership and Traceability in value chain. other fisheries in Indonesia, from subcontract signed Indonesia Fisheries − Support a select group of innovative service the fishing vessel through the January 18, 2017 • ADM Capital providers in developing their business models and supply chain. Foundation financial forecast requirements, offering access to − Engage selected CDT service finance, where relevant, to meet scalability. providers to develop and deploy − Investigate working with national banks and credit at scale technology that meets unions in Indonesia to create a financing vehicle that USAID Oceans, MMAF and other will allow adoption of traceability within the partners’ objectives and smallholder sector. requirements. − − Offer growth management and financial intelligence Engage end markets on reducing to innovative Indonesian traceability service market barriers due to the providers that can support the CDT system implementation of CDT for small- development and implementation. scale fisheries within Indonesia.

USAID Oceans and Fisheries Partnership Page 39 of 43 FY 2017 – Q3 Progress Report Partners Roles and Contribution Goals and Objectives Timeline and Status Leveraged Funds

− Work on improving the value proposition across the nodes of the seafood supply chains for greater adoption of traceability and CDT technology. Build Seafood Industry − Engage IPNLF members for input to the CDT − Build buy-in from the market, get − March 2017 - 2019 $250,000 minimum leverage Partnerships and with possibility up to Advisory Group involvement in the CDT input on future and current − Partnership signed $400,000 Awareness in Key demonstration, and increase active market market requirements, and help March 13, 2017 Export Markets participation to engage in traceability/CDT dialogue. align field and market aspirations • International Pole & − Work with AP2HI to raise awareness on USAID on CDT Line Foundation Oceans and the role of CDT, and strengthen − Promote and outreach through (IPNLF) communication and outreach to the tuna industry IPNLF members and networks the importance of the partnership − Provide co-funding, strategic planning advice and technical support to AP2Hi to strengthen its capacity − Strengthen IPNLF’s capacity in to support its members to implement traceability, Indonesia to provide technical and to play a key role in building a common industry support to AP2HI and ICTSA in voice on traceability/CDT, both at the national and at support of CDT system site level in Bitung. implementation − Coordinate policy work and support AP2HI − Strengthening AP2HI’s human and engagement with the Indonesian government to institutional capacity streamline existing catch documentation and − Policy coordination by working certification process. with the Indonesia government − Identify and mobilize ‘first mover’ AP2HI members to − Testing improvements in catch participate in the demonstration, and provide co- documentation procedures at funding and technical support on CDT technology landing sites (such as Bitung) and software for specific AP2HI members where AP2HI members operate − Promote the ICTSA to IPNLF members and other to address IUU fishing partners as a forum for strengthened cooperation in − Build seafood industry the tuna industry in Indonesia. partnerships and PPP through collaborations with IPNLF members

USAID Oceans and Fisheries Partnership Page 40 of 43 FY 2017 – Q3 Progress Report ANNEX III. DELIVERABLES (Q3, FY 2017)

Deliverable Date FY 2017, Quarter Two Progress Report April 28, 2017

Fiscal Year 2017-2018 Trip Reports (RFA 19, 21, 29-33, 37-38) May 11, 2017

Fiscal Year 2017-2018 Trip Reports (RFA 39-42, 45) May 24, 2017

Indonesia Value Chain Analysis Report June 5, 2017

Fiscal Year 2017-2018 Trip Reports (RFA 43, 49, 52) June 19, 2017

Philippines Stakeholder Validation Workshop Report June 27, 2017

USAID Oceans and Fisheries Partnership Page 41 of 43 FY 2017 – Q3 Progress Report ANNEX IV. MONITORING & EVALUATION MATRIX

Achievement Target DQA Results Indicators Due Cumulative Q1 Q2 Q3 Q4 Total Cumulative Y2 LOA from FY16 (FY17) Total (FY17) Marine Ecosystems 1. Number of hectares of biologically September 0 0 0 0 0 0 1M 10M Maintained significant areas under improved 2017 natural resource management as a result of USG assistance (EG.10.2-2) R1 .Amount of illegal fish 2. Number of CDTS-secured seafood June 2018 0 0 0 0 0 0 1M 10M entering regulated units purchased (Custom) markets is reduced R2 .Industry self 3. No .of stakeholders participating in June 2018 0 0 0 0 0 0 0 20 regulates to keep illegal and submitting data voluntarily products out of (Custom) commerce Adequate use of CDTS/ACDS IR.1 Adoption of CDTS/ACDS in selected learning sites in the Asia-Pacific region by 2020. 1.1 CDTS components 4. Number of Critical Tracking Event June 2018 0 0 0 0 0 0 0 16.8K and functionality (CTE) transactions submitted into the demonstrated CTDS by targeted stakeholders (Custom) 1.2 CDTS design 5. Percentage of targeted stakeholders June 2018 0 0 0 0 0 0 0 70% meets agency and who self-report “ adoption” of the key stakeholder CDTS as basic business requirement needs (Custom) Adequate National & Local Fisheries Governance IR 2 .Improved fisheries management Asia Pacific selected countries by 2020 2.1 Decision/ 6. Number of innovations supported September 0 0 0 0 0 0 1 2 integration tools for through USG assistance 2017 key agencies and (disaggregated by type) (RDMA IRS3 stakeholders in PM1) place and functioning 2.2 Fisheries 7. Number of laws, policies, or June 2018 0 0 0 0 0 0 0 4 management plans regulations that address biodiversity & processes conservation and/or other improved environmental themes officially

USAID Oceans and Fisheries Partnership Page 42 of 43 FY 2017 – Q3 Progress Report proposed, adopted, or implemented as a result of USG assistance (EG.10.2-5) 2.3 CDTS/EAFM/ PPP 8. Number of legal instruments drafted, June 2018 0 0 0 0 0 0 0 4 processes and proposed or adopted with USG procedures assistance to promote gender incorporate gender equality or non-discrimination against considerations women and girls at the regional, national, or sub-national level (GNDR-1) Regional Capacity and Cooperation IR 3 .Strengthened regional capacity to support and sustain CDTS, PPP, and EAFM 3.1 Guidelines for 9. Number of regional or national June 2018 0 0 0 0 0 0 0 6 implementing governmental entities endorsing the integrated Integrated CDTS/ACDS and CDTS/ACDS Guidelines (Custom) developed and adopted at regional level Technical Assistance, Capacity Building, and PPP Engagement Activities for Targeted Stakeholders Key stakeholders have 10. Number of people trained in September 102 36 148 0 184 286 525 1,555 capacities to use sustainable natural resources 2017 CDTS/FIS for fisheries management and/or biodiversity traceability and conservation as a result of USG management assistance (EG.10.2-4) (Total) • EAFM training 51 36 148 0 184 235 343 829 51 0 0 0 0 51 182 726 • CDTS training CDTS public-private 11. Value in cash or in-kind (in USD) of September 0 10,014 17,456 149,017 176,487 176,487 0.5M 4M partnerships enable public and private sector investments 2017 CDTS demonstration and in sustainable fisheries and coastal and expansion marine ecosystem conservation (Custom) (Total) • Cash 0 0 0 0 0 0 N.A N.A • In-kind 0 10,014 17,456 149,017 176,487 176,487 N.A N.A

Regional, national, and 12. Number of new USG-supported September 4 1 3 0 4 8 2 8 local stakeholders public-private partnerships (PPPs) 2017 engaged and committed formed (Custom) to CDTS, PPP, and EAFM

USAID Oceans and Fisheries Partnership Page 43 of 43 FY 2017 – Q3 Progress Report