Appendix A4 Mid-term Evaluation Report (February 2003) Introduction

5.2 Duration of the project

The MTR team recommended that the project be extended for two years but that some outputs will have been completed before the end of that time. Activities will be scheduled and completed at the pace that suits each province and nature reserve.

5.3 Management Arrangements

The basic management structure of the project, i.e. central, provincial and nature reserve project management units (CPMU, PPMU and NRPMU), are retained. Wetland Management Authorities (WMA) were never operational in the function of "Authorities" and are renamed as Project Liaison Groups to make decisions on government cofunding and to facilitate cross-sectoral activities of the project, which are to be established under the new design. The redesigned project aims to improve government management and decision making capacity on biodiversity conservation, particularly in wetlands, strengthening existing government programmes and working through existing government channels (for example provincial planning commissions).

5.3.1 Roles and Responsibilities of each partner in Management

• 
  advance project funds from GEF and AusAID in a timely manner according to the annual and quarterly workplans;
  

• 
  promote effective management and implementation of the project to ensure the achievement of the objectives
  

• 
  monitor project implementation and progress to ensure the wise and productive use of the project resources
  
• 
  organize the final evaluation of the project
  
• 
  appoint an individual to oversee the project and maintain weekly communication and fortnightly meetings with both comanagers
  
• 
  authorize the financial and planning procedures under which the project will operate (note that the MTR report recommended that NEX procedures were not appropriate in all aspects so, if this is possible, ad hoc amendments are needed and should be defined)
  
• 
  approve all posts and job descriptions in the CPMU
  
• 
  approve all senior staff changes in the CPMU
  

• 
  carry out the daily management and operation of the project to ensure the outputs of the project lead towards its objectives
  
• 
  overall direction and supervision of work carried out with AusAID funds
  

• 
  overall and local work-planning to ensure that quality outputs planned
  

• 
  participate in preparation of annual and quarterly workplans drafted at provincial and site levels, approve advance payments and certify financial reports
  
• 
  approve PPMU and NRPMU management structure and senior staff appointments
  
• 
  transfer funds on a quarterly basis to all project management units at provincial and site level
  
• 
  submit quarterly work plans and financial reports for the whole project, covering site, provincial and state levels (funded by GEF, AusAid and government co-financing) to UNDP Country Office at the end of each quarter; ensure the wise use of the funds and be accountable to Government of China and UNDP for the management and auditing of the funds;
  

• 
  coordinate all discussions and decisions on government co-funding and be responsible for ensuring that all funds are applied to activities that contribute to achievement of project objectives
  
• 
  monitoring implementation of the work-plans
  
• 
  training in planning, implementation and monitoring
  
• 
  links with other relevant organizations and projects both in China and abroad
  
• 
  technical support - references, printed materials, contacts, information, ideas
  
• 
  operational support - procurement of equipment, recruitment of consultants, trainers
  
• 
  coordination of policy initiatives under Output 2.1 in each province, particularly with respect to bringing together the various institutions
  
• 
  sharing and dissemination of information across provinces and sites and linking the field with the national level
  
• 
  approval of all consultants and trainers hired for the provincial and nature reserve activities
  
• 
  full responsibility for Output 2.2, collection of lessons learned in the provinces and at the sites
  
• 
  reporting (six monthly)
  
• 
  monitoring, including development of a system of indicators that measure actual achievements rather than quantify inputs.
  
• 
  one annual Tripartite Review meeting and two biannual meetings to review implementation
  

• 
  make arrangements to allow project staff to visit the SFA offices whenever required for project activities and consultation
  
• 
  assign counterparts to work with project staff
  
• 
  collaborate on daily basis on project activities
  
• 
  take particular responsibility for activities under Outputs 1.1 and 2.2
  

• 
  provincial and local work-planning
  
• 
  monitoring and implementation of the work plans
  
• 
  sharing of information across agencies and between nature reserves and local governments
  
• 
  design and management of provincial based activities under Outputs 1.2 - 1.6 and 2.1 to include nature reserve administrations and a wide range of institutions at county, prefectural and provincial levels related to wetland policy and management
  
• 
  each unit accountable for the outputs assigned to it
  
• 
  links between CPMU and the sites
  
• 
  reporting (quarterly)
  
• 
  attendance at one annual and two biannual meetings, including the annual Tripartite Review, and two project meetings to review implementation
  

• 
  work planning
  
• 
  implementation of work plans and accountability for results under Output 1.1
  
• 
  monitoring other project work at the site
  
• 
  making and maintaining links with wide range of local government officials and general public required in order to carry out the programmes and work plans
  
• 
  reporting (quarterly)
  
• 
  transfer of techniques and knowledge to other nature reserves at the site
  
• 
  participation in Outputs 1.2 to 1.6, and 2.1
  

• 
  links between agencies necessary for effective project implementation - particularly under Outputs 1.2 to 1.6
  
• 
  participate in meetings to finalize decisions on allocation of government cofunding - with CPMU represented
  

CICETE's role at present is to manage Subcontract 4. However, the MTR team recommended on management and effectiveness grounds that CICETE be removed from the project as they are considered to be a superfluous agency between the main implementing agency (AFIP of SFA) and a subcontractor (WWF/EDG). A decision on this recommendation has to be made by AusAID and MOFTEC, presumably in consultation with CICETE. If CICETE are not involved SFA would contract WWF/EDG directly. The subcontractor for Subcontract 4 (WWF/EDG) will be responsible for implementing the work through and in collaboration with the appropriate PPMU's and NRPMU's

5.3.2 Staff of Central Project Management Unit (CPMU)

1. 
   Administrative Comanager (ACM) – responsible for setting up and maintaining the management system at all levels - national, provincial and site. S/he should have very good capability to take a broad view of the project, work well in the existing government channels, hold together all staff working on the project and coordinate relationships between agencies.
   
2. 
   Technical Comanager (CTA) (TCM) - the original CTA position to be changed to this for about two years with the Biodiversity Capacity Development Officer to take over at the end of that time if s/he has reached the required standard of proficiency. [In the event that the CTA position was retained at the end of two years it would revert to a purely advisory position and be part time - say three months per year for two years]
   

3. 
   Biodiversity Information Officer (BIO) - will assist with the BCDO’s work, be trained on the job and prepare to take over the position of BCDO when the BCDO becomes the TCM. S/he must have good knowledge of English and experience with environmental and biodiversity issues.³³
   
4. 
   Administrative Officer (AO) – work as an interpreter, secretary and administrative assistant to the Comanagers. His/her English and Chinese must be sufficiently fluent that s/he is able to deal with daily tasks such as translating short documents quickly, oral translation for the CPMU office, communication with international consultants through emails or fax, catalogueing reports and documents in English and Chinese. S/he should also have good computer skills in order to maintain the computer network in the office and the database and library of reports and other documents.
   
5. 
   Accountant - requires good English and must be able to prepare budget revisions and track shadow budgets using UNDP standard software.
   
6. 
   Translator/interpreter - work mainly long documents and at official meetings
   

Draft Terms of Reference (TOR) for all positions are shown in Annex 2: these require approval by UNDP. Appointments to the first three posts above need joint approval by UNDP and SFA. UNDP hiring policies and procedures should be followed to ensure that highly qualified persons are recruited, and remunerated properly.

National Project Director

Administrative Comanager

Technical Comanager (CTA)

After around two years on the job training, fill in the position of BCDO when the former BCDO becomes TCM

Biodiversity Information Officer (BIO)

5.2.3 Decentralized management

The overall project quarterly reports, advance requests and workplans will be prepared by the comanagers and must be approved by both the NPD and UNDP. Those submitted by the PPMU and RPMU must be approved by both comanagers before any disbursements are made.

5.2.4 Sub-contracts

• 
  The base maps will be completed by the current subcontractor under Subcontract 1 but the biodiversity overlays are not required in the format requested, the subcontractor is not qualified to provide them, and the funds will be better spent developing sound monitoring schemes at the sites under Outputs 1.1 and 1.2.
  
• 
  If the funds remaining under Subcontract 3 are insufficient to fund an effective and accepted scheme to reflood the Honghe NR they will be reallocated to other activities under Output 1.5.
  
• 
  Subcontract 2 will be terminated as currently formulated: the surviving subcontractor (one has already terminated the contract) may be given assignments under Output 1.6 but the funds will be under the direct management of the project
  

• 
  The conclusion of the MTR is that alternative livelihoods (most of Subcontract 4) will not contribute to achievement of project objectives, and that the alternative livelihoods component will be removed from the project. However, the Ruoergai component of Subcontract 4 is of great importance to the project objectives both in its policy aspects and in mitigation of impacts on biodiversity and wetlands through changes in human practices, encouraged by carefully targeted incentives. Outputs 1.3 and 1.4 overlap substantially with the Ruoergai components of the Subcontract 4 TOR. It was the recommendation of the MTR team that WWF/EDG be retained as a subcontractor, without the involvement of CICETE, to carry out selected parts of the Outputs that match the programmatic criteria of AusAID. The most suitable components for WWF/EDG's involvement are Outputs 1.3, 1.4 (Ruoergai) and 1.6 (Yancheng). At meetings between the MTR team and AusAID it was concluded that the necessary revisions to the TOR for subcontract 4 could be made without a new bidding process. One option is to allocate three whole outputs (those listed above) to be carried out with AusAID funding by WWF/EDG the subcontractor. The second option is for AusAID to support specific parts of a number of different outputs - for example the community involvement parts of Output 1.1 and parts of outputs 1.2, 1.3, 1.4, 1.6 and 2.1. , with the subcontractor engaged by the project for specific tasks.
  

The rough proposal for budget allocation in Section 6 includes all subcontract funds, so funds to be allocated to subcontracts would be identifiable in any or all of the cells.

5.2.5 Monitoring and evaluation