Appendix A4 Mid-term Evaluation Report (February 2003) Introduction
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Other Considerations
Consideration should be given to extending the project, to ensure there is enough time to build the capacity within SFA. By the time the project has been redesigned and the new team in place, there is likely to only be 2.5 years left. This is not much time to build capacity through learning by doing approaches. An extension would allow activities to be conducted at the rate and pace most suitable for beneficiaries and also would allow some of the successful demonstration practices to be replicated from one area to another. For instance, with more time, the monitoring approaches from Dong Ting could be transferred to Sangjang and a monitoring program for Sanjiang developed. We believe there is enough money to support replication of provincial demonstrations to other provinces, if activities are implemented efficiently. We suggest that the project be extended for two year, but that activities be implemented at their natural pace. What we mean by this is that activities should not be artificially spread out to last two more years. Activities should be done at the pace that suits each province and nature reserve, and in many provinces all the activities will be finished before the extra two years are up. That is fine.
The CTA position should be extended, for another two years, after which it could become part-time or transferred to a national technical advisor. The reason for this is that the CTA is needed to help implement the redesigned project. One of the roles of the CTA should be to train a national to take over from him, as was intended in the original design of the project. After two years, the CTA should either hand-over the work to a national or be phased out, into a part-time position with SFA technical experts taking over. This decision should be made by the TRP two years from now. Although a CTA has been in place for two years, unfortunately most of the CTA’s time has not been used effectively, due to both design/implementation problems and problems with the first CTA. The redesigned project is somewhat like starting over, and the CTA’s position needs to be looked at in that light – it too should “start over” and be used effectively for the next two years.
There are basically two options possible under UNDP programming guidelines for redesign of a project:
Whether the project is suspended or not, this project’s redesign would fall under the UNDP category of substantive revisions (see UNDP Programming Manual). A substantive revision must be made through a participatory process involving the key stakeholders and approval by the TPR. We suggest that following steps be followed to redesign the project:
APPENDIX A Wetland Biodiversity Conservation and Sustainable Use in China CPR/98/G32 Terms of Reference for Mid-Term Review Introduction to the Mid-Term Review (MTR) Process for United Nations Development Program/Global Environment Facility (UNDP/GEF) projects Monitoring and Evaluation at the UNDP/GEF project level has four main objectives: i) to monitor and evaluate results and impacts; ii) to provide a basis for decision making on necessary amendments and improvements; iii) to promote accountability for resource use; and iv) to document, provide feedback on, and disseminate lessons learned. In accordance with UNDP/GEF policy and procedures, projects are encouraged to conduct mid-term reviews. In addition to providing an independent thorough review of project performance and making recommendations for improvements, this type of evaluation is a response to GEF Council decisions on the need for transparency and better access to information during implementation. It provides a vital opportunity to test the assumptions in project design and to evaluate the appropriateness of the design strategy. The mid-term review of a project is intended to identify project design problems, to assess progress towards the achievement of objectives, to identify and document lessons learned (including lessons that might improve design and implementation of other UNDP/GEF projects), and to make recommendations regarding specific actions that might be taken to improve the project). The mid-term review covers all aspects of a project, including technical, management, administrative and financial and examines the roles of all those involved from design onwards. Introduction to the Project Wetland Biodiversity Conservation and Sustainable Use in China is a project funded by the Global Environment Facility (GEF) [US$ 11.7 million] and the Australian Aid and Development Agency (AusAID) [US$ 2.6 million] - both through the United Nations Development Program (UNDP) - and the Government of China (GOC) [US$ 20.3 million]. The objective of the project is "to secure the conservation of globally significant wetland biodiversity in China". To this end, the project will combat threats to wetland biodiversity, promote sustainable development in and around wetland sites, and develop local and national capacity to integrate conservation into the development process. UNDP is the GEF Implementing Agency for the project. The project is nationally executed, by the GEF project office of the State Forest Administration, and implemented by the Academy of Forest Inventory and Planning (AFIP) at the SFA. The UN Cooperating Agency, responsible mainly for international recruitment is the United Nations Office of Project Services (UNOPS). CICETE is managing the Sub-Contract 4, and in this role participating in the overall management of the project. China has over 25 million hectares of diverse natural wetlands, supporting a wide range of globally important species of plants and animals. In addition to providing habitats for resident species, the wetlands act as crucial staging and breeding areas for migratory bird populations, including many globally threatened species. The economic values and social benefits of China’s wetlands are enormous. Many local communities rely heavily on local wetland resources for daily food (fish and rice), medicines, energy and building materials and clean water supply. In addition, wetlands play an important role in micro-climate stabilization, flood mitigation, securing ground water supply and in providing transportation routes. However, China’s natural wetlands and their associated biodiversity are under constant threat of degradation, mostly from human development pressures, such as drainage, over-use of water resources, conversion to agricultural and other uses, unsustainable harvesting and resource use, illegal hunting, siltation and pollution. Without a balanced and well-structured approach to wetland conservation and sustainable use, the wetlands will be lost, along with many of their economic values and benefits. A National Wetland Conservation Action Plan was been prepared under the leadership of State Forestry Administration with the participation of a wide range of institutions and was published in September 2000. The project aims to protect globally important biodiversity at four demonstration wetland sites centred on nature reserves through a combination of capacity building, increasing public awareness and facilitating the integration of wetland management and biodiversity conservation into development planning at central and local levels. The four sites are widely separated geographically - the Sanjiang Plains of northern Heilongjiang province, the region around Ruoergai on the border between Sichuan and Gansu, the Dongting Lakes of the Yangtze river basin in Hunan, and the Yancheng coastal marshes and mudflats and Dafeng Pere David's Deer reserve in Jiangsu Province. Of the eleven nature reserves presently receiving attention under the project, seven have been designated as Wetlands of International Importance as defined under the Ramsar Convention on Wetlands. The immediate objectives of the project cover management and management planning for seven nature reserves (although the project has since included four more nature reserves), and wetland use and management at the wider (approaching ecosystem) level in the surrounding areas. The project document includes changes in exploitation patterns of wetland resources through establishment of alternative sources of income and ways of life at the demonstration sites, and for the incorporation of wetland biodiversity conservation into national policy and dissemination of the results of the project to other wetland sites in China. Sanjiang Plain is a vast alluvial floodplain. Its natural habitats consist of sedge and reed marshes, wet meadows, ox-bow lakes, riparian willow scrub, and wooded hummocks of birch and poplar. Every year many rare waterbirds, including Red-crowned Crane Grus japonensis, White-naped Crane G. vipio and Oriental White Stork Ciconia boyciana stopover or breed. During the past 30-40 years much of the wetlands of Sanjiang Plains have been converted to cultivation. The human population within the five municipal jurisdictions of the Sanjiang Plain is nearly eight million. Development has led to significant degradation of the wetlands, loss of locally and globally important biodiversity, lessening of the flood mitigation capacity and reservoir functions of much of the wetland area. There is cultivation inside the reserves, even in the core zone; on the other hand there are good natural wetlands nearby that do not have protected area status. Ruoergai Marshes are situated in the trans-boundary area of Sichuan and Gansu Provinces at an altitude of 3,400-3,900 m. The area consists of peat bogs, sedge marshes, lakes and wet grasslands, interspersed with low hills and drier grasslands. It is the largest area of plateau peat bog remaining in China. With up to 600-900 Black-necked Cranes G. nigricollis during the breeding season Ruoergai Marshes represent the most important breeding site of this species worldwide. Tibetan people, who are almost exclusively pastoralists with vast herds of sheep, yaks, horses and goats, inhabit the area. In recent decades the traditional nomadic pastoralism has been superceded by transhumant and settled systems. Drainage has led to desertification in sandy areas on the hills and to loss of large areas of wetlands. The four nature reserves in the Ruoergai Marshes cover large areas of grassland and even in the core zones there is grazing allowed at certain times of the year. Yancheng coastal marshes (a UNESCO Biosphere Reserve since 1992) consist of inter-tidal mudflats, salt marshes, reed beds and marshy grasslands. More than a third of the world population of Red-crowned Cranes winter there, and the 600 km coastline provides breeding habitat for about 50% of the world population of Saunder’s Gull Larus saundersi. Yancheng is also home to the largest semi-captive population of the critically endangered Pere David’s Deer or Milu Elaphurus davidianus, which has no viable population in the wild. Sea dykes have been built over the years and much of the natural habitat has been converted to other uses such as fish and shellfish farming and salt production. These estuarine and inter-tidal environments are exceptionally dynamic ecosystems that require innovative and well planned strategies to ensure the protection of key habitats for biodiversity conservation and defence against storms and tidal surges, at the same time as allowing commercial harvesting of resources in certain areas. The nature reserves have land title to relatively small areas, and even within those areas there are commercial activities taking place that are detrimental to the wetland habitats. Dongting Lake is a vast complex of freshwater lakes and inter-connecting rivers and drainage channels. Dongting Lake supports an exceptionally high biodiversity. At least 16 globally threatened species of migratory birds have been recorded from among its 258 species. It provides winter sanctuary for more than 30% of the global population of Lesser White-fronted Goose Anser erythropus. The critically endangered Yangtze River Dolphin or Baiji Lipotes vexillifer has been recorded in Dongting Lake. Dongting provides enormous benefits for the large human populations in the middle Yangtze River valley. These benefits can be measured in terms of domestic, agricultural and industrial water supply, flood mitigation through its enormous water storage capacity, waste water treatment, transportation, fisheries, reed procuction, and other resource uses of national benefit. However in recent decades the area and quality of lakes has been reduced, thereby threatening biodiversity and reducing the benefits to the local community. There are several excellent initiatives to manage the area at the ecosystem level. The project document was signed in December 1999 and project implementation began in May 2000. The project has six specific objectives: the first four focus on biodiversity conservation in protected areas and the surrounding areas at each of the four sites, the fifth specifies establishment of "sustainable alternative livelihoods" in order to reduce pressure on globally significant biodiversity and the sixth is the incorporation of wetland biodiversity conservation into national policy. The project is heavily dependent on subcontractors to carry out important parts of the work. A bidding procedure was established to select subcontractors and work has started on three of the subcontracts, although one subcontract has since been suspended. The following are the planned immediate objectives and outputs as listed in the project document: Immediate Objective 1 To ensure conservation of globally significant wetland biodiversity at Honghe NNR and the surrounding area Outputs 1.1: (As necessary) an expanded Honghe NNR in Sanjiang Plain to include additional biodiversity hotspots and create wetland corridors within the PAS. 1.2: Strengthened protected wetland area management of the extended Honghe NNR. 1.3: Restoration and management of the water regime at Honghe NNR. 1.4: Biodiversity-friendly agricultural development demonstrated in buffer zone of Honghe NNR. 1.5: Over all the plain, biodiversity-friendly land use planning demonstrated through preparation of biodiversity overlays. 1.6: Raised public awareness of wetland values and functions in Sanjiang Plain.
To ensure conservation of globally significant wetland biodiversity at Xiaman PNR, Gahai NNR, Shouqu PNR and intervening areas in Ruoergai Marshes. Outputs 2.1: Expanded protected wetland areas in Ruoergai Marshes to include additional biodiversity hotspots, as necessary. 2.2: Strengthened protected area wetland management in the Ruoergai marshes (Xiaman PNR, Shouqu PNR and Gahai NNR). 2.3: Increased community involvement in management of protected wetlands at Ruoergai Marshes. 2.4 : Over a wider area, biodiversity-friendly land use planning demonstrated through preparation of biodiversity overlays. 2.5 : Raised public awareness of wetland values and functions in Ruoergai Marshes Immediate Objective 3 To ensure conservation of globally significant wetland biodiversity at Dafeng NNR and surrounding areas in Yancheng Coastal Marshes. Outputs 3.1: Expansion and re-alignment of protected wetland areas in Yancheng Coastal Marshes to include additional biodiversity hotspots and create coastal wetland eco-cline. 3.2 :Improved protected area management and protection of globally significant biodiversity in the core areas of the Yancheng Biosphere Reserve. 3.3 : Sustainable use of inter-tidal resources by local communities and cooperatives in Dafeng NNR buffer zone demonstrated 3.4 : Over the total Yancheng coastal area, biodiversity-friendly land use planning demonstrated through preparation of biodiversity overlays. 3.5: Raised public awareness of wetland values and functions in Yancheng Coastal Marshes Immediate Objective 4 To ensure conservation of globally significant wetland biodiversity at East Dongting NNR and surrounding areas in the Dongting Lakes Basin. Outputs 4.1: Improved protected area management at East Dongting NNR. 4.2 : Identification and management of biodiversity hotspots in the wider Dongting Lake basin. 4.3 : Biodiversity overlays prepared and biodiversity conservation fully integrated into development plans over a large area. 4.4 : Raised public awareness of wetland values and functions in Dongting lakes area
To develop sustainable, alternative livelihoods with local communities in and around wetland areas in order to decrease pressures on globally significant biodiversity. Outputs 5.1: Alternative livelihood schemes developed for local communities in and around wetland areas in Sanjiang Plain. 5.2 : Alternative livelihood schemes developed for local communities in and around wetland areas in Ruoergai Marshes. 5.3 : Demonstrations of sustainable grassland management for local herder communities in Ruoergai Marshes: 5.4 : Alternative livelihood schemes developed for local communities in and around wetland areas in Yancheng Coastal Marshes. 5.5 : Alternative livelihood schemes developed for local communities in and around wetland areas in Dongting Lakes. Immediate Objective 6 To incorporate wetland biodiversity conservation into national conservation plans, legislation and processes. Outputs6.1 : National support structures for integrated wetland management established and operational. 6.2 : Lessons learned and dissemination of project results nationally and internationally. Purpose of the MTR The overall objective of the Mid Term Review (MTR) is to review progress towards the project’s objectives and outputs, test assumptions made in project design, identify strengths and weaknesses in design of project strategy and in implementation, assess the likelihood of the project achieving it objectives and delivering its intended outputs, and provide recommendations on any modifications (whether technical, management, administrative, or financial) necessary to achieve success. Scope of the MTR
Approach and implementation arrangements The review team will read key documentation, including project materials such as the project document, consultant reports, annual and quarterly work plans and reports, monitoring reports, financial reports and correspondence, as well as relevant policy documents and laws and reports of other projects, researchers and conservation organizations. The team will visit the central project management unit, the GEF Project Office and the Academy of Forest Inventory and Planning (AFIP) and will interview relevant personnel (preferably in person, but by phone if necessary) within the project, the government and UNDP (including UNDP/GEF), and independent observers of the project and its activities. Field visits to project sites will be conducted to view activities of the project, to meet with local project staff, government counterparts and the general public, to gain understanding of the wetland conservation problems and to assess the extent to which the project is addressing them effectively and how it could address them better. The subcontractors will be required to attend site and national level workshops and both the performance of the subcontractors and the appropriateness of their inputs will be assessed, and where possible new approaches to reaching the goals will be developed. This MTR is going to assess progress and redesign the project to achieve the goal, so the approach during the evaluation will be to review project log frame, build ownership at the site level, encourage stakeholder input and lay the ground for decentralization of planning and implementation. In order to do this it will be necessary to hold workshops at the central and site levels, concluding with a final workshop in Beijing at which provincial representatives will be present. There is flexibility for the evaluation team to determine the best and/or combined approach (of desk reviews, questionnaires, field visits, interviews, validation, participation of stakeholders and/or partners etc.) to collecting and analyzing data. The review team will consist of three international consultants, each with a national counterpart and will take five weeks from beginning to end. One consultant will be designated as team leader and will carry overall responsibility for organizing and completing the review and delivery of the final report. All the consultants will be asked to work on the project from home for a few days before arrival in the country, and the team leader will be employed to complete the final report. The team will be supported by national interpreters/translators and a co-ordinator, who will accompany the mission to gather data, set up meetings, identify key individuals, assist with planning and logistics, and generally ensure that the evaluation is carried out in smoothly. This person will not be a member of the project staff. The criteria for assessment Achievements should be measured against the project document, including the “success criteria” used throughout Section D, the crude log-frame in the project planning matrix in Annex 9 and the Project Brief in Annex 10. Decisions made at the Tripartite Review meeting in 2001 have to be considered effectively as parts of the project control documentation. The project is also expected to fulfil the requirements of, and be in line with, the objectives of the GEF. A succinct summary of these requirements and objectives will be provided to the team by UNDP/GEF so that the reviewers are able to assess the contribution of the project and the projected contribution of a redesigned project, towards the goals of the GEF, and the extent to which the GEF principles are being supported. Outputs The team will provide an overall assessment of the project, assessing all of the following aspects and answering the questions to be provided upon arrival under the same headings, but should not limit their analysis to these. PROJECT DESIGN PROJECT PROGRESS (towards achievement of outputs and in their contribution to immediate objectives as presented in Project Document) Overall Training Equipment (including vehicles) Research/Data gathering Public information/ Understanding of the project Planning and wetland management Social aspects of conservation Law and Policy PROJECT MANAGEMENT Staff Infrastructure Wetland Management Authorities Logistical support Consultants Execution and Implementation Arrangements Project Support Financial Coordination Work Planning and Monitoring Adaptive management Links Subcontract awards Sustainability An assessment of “sustainability” of Project activities – constraints to this and possible mechanisms to address these will be produced. The team will pay particular attention throughout the review to assessing the sustainability of inputs and changes. For example they will answer questions such as: Will the resources necessary to sustain activities and changes in the future be provided? and
How well are management plans and other project outputs reflecting the likelihood of post-project support being available? The project is designed to learn from site level experiences and contribute lessons to national level policy and legislation. The reviewers should assess what is the "learning environment" of the project and what role each level (site, province, central) plays in this. A focus on the log frame followed by a SWOT analysis during the review workshops will facilitate both assessment of performance so far in this aspect of the project and recommendations for changes in resource allocation to strengthen this component. In this connection the institutional placement of the project requires assessment. Also relevant under Sustainability is the issue of decentralization of capacity and authority and the need for the project to allow for each province to have its own policy functions and extension programme to capture the lessons learned. Lessons learned The team will assess what are the main lessons that have emerged in terms of:
In describing all lessons learned, an explicit distinction needs to be made between those lessons applicable only to this project, and lessons that may be of value more broadly, including to other, similar projects in the UNDP/GEF pipeline and portfolio. Recommendations The review team will include any recommendations they have on adjustments to the project design, to project activities, procedures and organization, including changes in implementation arrangements if necessary, and any consequential changes to supporting legal documents. In particular, the following outputs will also be produced:
Evaluation Team Requirements The MTR Team will consist of three international consultants and three national counterparts. The team will be made up as follows: International Institutional Specialist (Team leader)
International Wetland/Biodiversity Specialist Academic and professional background in wetland and protected area management, with extensive experience in biodiversity conservation and an understanding of the landscape ecology approach.
International Sociologist with an emphasis on society and resources Academic and/or professional background in the sociological aspects of natural resource use
National Institutional Specialist
National Wetland/Biodiversity Specialist Academic and professional background in wetland and protected area management, with extensive experience in biodiversity conservation and an understanding of the landscape ecology approach.
National Sociologist with an emphasis on society and resources Academic and/or professional background in the sociological aspects of natural resource use
Tentative Agenda Pre-mission Three days are allowed for consultants to read reports emailed to them or available on the project website. Tentative Schedule for MTR in 2002 The itinerary may be adjusted by the MTR Team as necessary.
Specific TOR for the International Team Leader/Institutional Specialist, as a supplement, within the Framework of the Overall MTR TOR In consultation with UNDP and within the framework of the overall MTR TOR, the International Team Leader/Institutional Specialist (ITLIS) has the overall responsibility for the MTR in terms of the following:
For the purpose of workload calculation, the follow schedule is tentatively planned. The more specific itinerary of travel and work in China may be adjusted and improved by the MTR Team as necessary, in consultation with UNDP.
More specifically, the ITLIS will assess project design and performance and propose appropriate changes in design, focus and implementation that would facilitate progress towards the overall goal. The work will involve reading documents, informal and formal meetings, workshops at which presentations of ideas will be required, and preparation of a final report. Before the mission starts the ITLIS is expected to communicate with UNDP and the team members for MTR preparation, and read relevant documents on the project website, including the project document, the CTA's quarterly report (Sept 2002), the biodiversity assessments and the draft protected area management plans for all sites and all consultant reports for 2002. The ITLIS will prepare a final report to cover the contents agreed to with the client (UNDP and the Government of China) during the specific design of the MTR. The following is an indicative list before the specific design, which may be discussed and adjusted: 1. Itinerary and activities, with brief summaries of meetings
11. Recommendations, if any, for changes in geographical scope of the project from the point of view of the feasibility of provision of valuable demonstrations at the four sites. 12. Detailed recommendations on how data collection, management and use should be improved under the project. The length of the final report is expected to be 20-25 pages, with any additional details needed to be supplied in supporting appendices/annexes. Based on the response to the above points and timely inputs to the final MTR report, the performance of the ITLIS services will be certified by UNDP China Office. Implementation Arrangements According to the China National Execution Manual and normal practice for UNDP projects, UNDP China Country Office will recruit the three international consultants including the team leader, while the Government Executing Agency will recruit the three national consultants. None of the six independent consultants have been significantly involved in the formulation or implementation of the project. UNDP China will provide the following inputs, as more specific description of the travel provisions of the SSA:
Reporting to UNDP Country Office The MTR team will maintain close contact with SFA, UNOPS, AusAID, CICETE, and UNDP and report to UNDP China Country Office. Although the team should feel free to discuss any relevant matters with the project authorities and partners/stakeholders in relation to its assignment, it is not authorised to make any commitment on behalf of UNDP or the Government. APPENDIX B: Itinerary and Activities
MTR Team: Joan Freeman (JF): the Team Leader XIE Yan (XY): the National Team Leader John MacKinnon (JRM): the biodiversity expert ZHANG Liquan (ZLQ): the national biodiversity expert Gerard Fitzgerald (GF): the social economy expert LAI Qingqui (LQQ): the national social economy expert APPENDIX CINTERNATIONAL EXPERTS’ FEEDBACK ABOUT THE GEF/UNDP PROJECT ON CHINA WETLANDS (CPR/98/G32)BACKGROUNDA mid-term review (MTR) of the GEF/UNDP project on Wetland Biodiversity Conservation and Sustainable Use in China is being conducted now. As part of this review, the MTR team is seeking feedback about the project from all the international experts who have done work for the project. We would appreciate it if you could take a few minutes to provide us with answers to the following questions. This should take no more than 15 minutes of your time. (But if you wish to take longer and write extra comments, the information will be appreciated and used). Your responses will be kept confidential and we would appreciate having them by December 2, as the MTR ends December 10. The MTR team has read many of the mission and project reports produced by international consultants. What we are interested in knowing here are your personal views and insights about the project. Please send your responses to the MTR team leader Joan Freeman by email (joan@avantel.ca) and Gerard Fitzgerald MTR social scientist (gerard@fitzgerald.co.nz). In case we have difficulty identifying you through your email address, please tell us your name, the purpose of your work and in which of the four areas you worked (Sanjiang Plain, Ruoergai Marshes, Dongting Lakes, Yancheng Coast). Name: Purpose of work: Area(s) where you worked:
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