P R O J E C T B R IE F
P R O J E C T ID E N T IF IC A T IO N
P ro ject N u m b er:

T itle o f P ro ject:
N a tu re C o n s e rv a tio n a n d F lo o d C o n tro l in th e Y a n g tz e
R iv e r B a s in
D u ra tio n o f P ro ject:
F iv e y e a rs
Im p lem en tin g A g en cy :
U n ite d N a tio n s E n v iro n m e n t P ro g ra m m e (U N E P )
E x ecu tin g A g en cy :
S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n (S E P A )
R eq u estin g C o u n try :
C h in a
E lig ib ility :
C h in a is e lig ib le u n d e r p a ra g ra p h 9 (b ) o f th e G E F
In s tru m e n t. C h in a ra tifie d th e C o n v e n tio n o n B io lo g ic a l
D iv e rs ity in J a n u a ry 1 9 9 3 , th e U N C o n v e n tio n o n C lim a te
C h a n g e in J a n u a ry 1 9 9 3 , a n d th e U N C o n v e n tio n to
C o m b a t D e s e rtific a tio n in F e b ru a ry 1 9 9 7
G E F F o ca l A rea (s):
O P 1 2 . G lo b a l b e n e fits u n d e r B D , C C , a n d S L M
G E F P ro g ra m m in g
O P 1 2 : In te g ra te d E c o s y s te m M a n a g e m e n t. P rio rity o n
F ra m ew o rk :
IE M 4 (b ), B D s tra te g ic p rio ritie s I a n d II, C C s tra te g ic
p rio rity S 4 , a n d S L M p rio rity I id e n tifie d in S tra te g ic
B u s in e s s P la n n in g : D ire c tio n a n d T a rg e ts .

P ro ject S u m m a ry :
A s p a rt o f its e ffo rts to re d u c e flo o d s in th e Y a n g tz e R iv e r b a s in , th e G o v e rn m e n t o f
C h in a (G O C ) is im p le m e n tin g a se rie s o f s o il a n d v e g e ta tio n c o n s e rv a tio n p ro g ra m s in th e
u p p e r Y a n g tz e R iv e r b a s in . In a n e ff o rt to f u rth e r in c re a s e th e b e n e f its o f th e s e m e a s u re s, th e
G O C p la n s to im p le m e n t a n E c o s y s te m F u n c tio n C o n s e rv a tio n A re a s (E F C A s ) p ro g ra m , th a t
w ill n o t o n ly in c re a se w a te r re te n tio n c a p a c ity a n d re d u c e s e d im e n t lo a d s, b u t w ill a ls o p ro v id e
g lo b a l b e n e fits in b io d iv e rs ity , c a rb o n s e q u e s tra tio n , s u s ta in a b le la n d m a n a g e m e n t a n d
In te g ra te d E c o s y s te m M a n a g e m e n t (IE M ) in th e u p p e r Y a n g tz e R iv e r b a sin . T h e G O C is m o s t
in te re ste d in p a rtic ip a to ry IE M a s a s u sta in a b le m e c h a n is m to h e lp re d u c e p o v e rty a n d b a la n c e
th e v a rio u s e n v iro n m e n ta l b e n e f its a n d c o sts. T h e p ro je c t u s e s th e in c re m e n ta l c o st a p p ro a c h to
h e lp th e G O C s e t u p a s y s te m o f E F C A s w ith m u ltip le e n v iro n m e n ta l b e n e f its in th e u p p e r
b a s in o f th e Y a n g tz e R iv e r. T h e m a in o b je c tiv e s in c lu d e : (i) T o c o m p le m e n t n a tio n a l e ff o rts to
d e s ig n a s y s te m o f E F C A s e n s u rin g th e p ro te c tio n o f g lo b a l e n v iro n m e n ta l v a lu e s ; (ii) T o
e s ta b lis h a m a n a g e m e n t- o rie n te d m o n ito rin g a n d e a rly w a rn in g s y s te m to d e te c t g a in s a n d
lo s s e s o f e c o s y s te m f u n c tio n s in E F C A s a n d p ro te c te d a re a s ; a n d (iii) T o h e lp e s ta b lis h tw o
d e m o n s tra tio n s ite s s h o w in g h o w E F C A s c a n a c tu a lly w o rk a n d in te ra c t w ith th e m o n ito rin g
a n d e a rly w a rn in g s y s te m . T h e tw o d e m o n s tra tio n s ite s w ill a ls o s h o w h o w to a lle v ia te
p o v e rty , in c re a s e w a te r re te n tio n c a p a c ity a n d r e d u c e se d im e n t lo a d s , c o o rd in a te se c to r
p ro g ra m s , p ro te c t b io d iv e rs ity , a n d in c re a se c a rb o n g a in s in a n in te g ra te d m a n n e r. In e a c h
p ro v in c e w h e re a d e m o n s tra tio n site is lo c a te d , a c o m m itte e w ith re p re se n ta tio n f ro m a ll m a jo r
sta k e h o ld e rs, w h ic h is p re s id e d b y th e p ro v in c ia l g o v e rn m e n t w ill c o o rd in a te a ll a c tiv itie s in
th e E F C A s. T h e G O C w ill re p lic a te p ro je c t re s u lts th ro u g h o u t th e u p p e r b a s in o f th e Y a n g tz e
R iv e r in th e fu tu re , b a se d o n th e re su lts o f th e d e m o n stra tio n a c tiv itie s.
i

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C o sts a n d F in a n c in g (M illio n U S $ ):
G E F :
-P ro je c t:
$ 3 .6 5
M

-P D F :
$ 0 .3 5
M


S u b to ta l G E F :
$ 4 .0 0 M







C o -fin a n c in g (P D F -B ):-IA :
$ 0 .1 2 M (U N E P )

- O th e r In te rn a tio n a l
$ 0 .0 2 M (U N -H A B IT A T )

- G o v e rn m e n t
$ 0 .0 6 M (G O C )

C o -fin a n c in g (F P ) - IA
$ 0 .2 5 M (U N E P )

-O th e r In te rn a tio n a l:
$ 2 .4 9 M (T N C )

-G o v e rn m e n t:
$ 2 0 .0 1 M (G O C )


S u b to ta l
C o -fin a n c in g :
$ 2 2 .9 5
M





T o ta l P r o je c t C o st:
$ 2 6 .9 5 M

Baseline:
$14.70M


A sso c ia te d F in a n c in g (M illio n U S $ ):
$ 9 ,2 8 9 .4 9 M (G O C in v e stm e n t o n flo o d c o n tro l,
so il, w a te r a n d v e g e ta tio n c o n se rv a tio n m e a su re s in th e u p p e r Y a n g tze R iv e r B a sin )


O p e r a tio n a l F o c a l P o in t E n d o r se m e n t:
N a m e : W a n g B in g
T itle : D e p u ty D ire c to r o f D iv isio n IV , In te rn a tio n a l C o o p e ra tio n D e p a rtm e n t
O rg a n iza tio n : M in istry o f F in a n c e , P e o p le 's R e p u b lic o f C h in a

D a te : 8 S e p te m b e r 2 0 0 3

IA C o n ta c t: U N E P
A h m e d D jo g h la f, D iv isio n o f G E F C o o rd in a tio n , P .O . B o x 3 0 5 5 2 , N a iro b i, K e n y a .
T e le p h o n e : + 2 5 4 -2 0 -6 2 4 1 6 6 , e -m a il: ahmed.djoghlaf@unep.org

P r o je c t C o n ta c t P e r so n
T a k e h iro N a k a m u ra , D iv isio n o f G E F C o o rd in a tio n , P .O . B o x 3 0 5 5 2 , N a iro b i, K e n y a
T e le p h o n e : + 2 5 4 -2 0 -6 2 3 8 8 6 , e -m a il: ta k e h iro .n a k a m u ra @ u n e p .o rg

ii

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L IS T O F A C R O N Y M S
A D B
A sia n D e v e lo p m e n t B a n k
A L A lte rn a tiv e
L iv e lih o o d
A P R
A n n u a l P ro je c t R e p o rt
B D B io d iv e rsity
C A S
C h in e se A c a d e m y o f S c ie n c e s
C C C lim a te
C h a n g e
C I C o n se rv a tio n
In te rn a tio n a l
C IT E S
C o n v e n tio n o n In te rn a tio n a l T ra d e in E n d a n g e re d S p e c ie s o f
W ild F a u n a a n d F lo ra
C R A E S
C h in e se R e se a rc h A c a d e m y o f E n v iro n m e n ta l S c ie n c e s
D E P I
D iv isio n o f E n v iro n m e n ta l P o lic y Im p le m e n ta tio n (o f U N E P )
D R O C
D iv isio n a l R e v ie w a n d O v e rsig h t C o m m itte e (o f U N E P )
E F C
E c o sy ste m F u n c tio n C o n se rv a tio n
E F C A
E c o sy ste m F u n c tio n C o n se rv a tio n A re a
E P B
E n v iro n m e n ta l P ro te c tio n B u re a u
F C F u n c tio n
C o n se rv a tio n
F E C O
F o re ig n E c o n o m ic C o o p e ra tio n O ffic e (o f S E P A )
F S G
F ie ld S u rv e y G ro u p
G E F
G lo b a l E n v iro n m e n t F a c ility
G IS
G e o g ra p h ic a l In fo rm a tio n S y ste m
G O C
G o v e rn m e n t o f C h in a
G P S
G lo b a l P o sitio n in g S y ste m
IA Im p le m e n tin g
A g e n c y
IC In c re m e n ta l
C o st
IC IM O D
In te rn a tio n a l C e n te r fo r In te g ra te d M o u n ta in D e v e lo p m e n t
IC O
In te r-m in istry C o o rd in a tio n O ffic e
ID R C
In te rn a tio n a l D e v e lo p m e n t R e se a rc h C e n te r
IE M
In te g ra te d E c o sy ste m M a n a g e m e n t
IE M C C
In te g ra te d E c o sy ste m M a n a g e m e n t a n d C o n se rv a tio n C o m m itte e
IU C N
T h e W o rld C o n se rv a tio n U n io n
L S C
L o c a l S te e rin g C o m m itte e
M E W S
M o n ito rin g a n d E a rly W a rn in g S y ste m
M L R
M in istry o f L a n d a n d R e so u rc e s
M O A
M in istry o f A g ric u ltu re
M O C
M in istry o f C o n stru c tio n
M O F
M in istry o f F in a n c e
M S P M e d iu m -siz e d
P ro je c t
M W R
M in istry o f W a te r R e so u rc e s
N D R C
N a tio n a l D e v e lo p m e n t a n d R e fo rm C o m m issio n
N F P P
N a tu ra l F o re st P ro te c tio n P ro g ra m
N G O N o n -G o v e rn m e n ta l
O rg a n iz a tio n
N P D
N a tio n a l P ro je c t D ire c to r
O P 1 2
O p e ra tio n a l P ro g ra m n u m b e r 1 2
iii

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P A P ro te c te d
A re a
P D F -B
P ro je c t D e v e lo p m e n t F a c ility -B lo c k B
P IR
P ro je c t Im p le m e n ta tio n R e v ie w
P L E C
P e o p le , L a n d M a n a g e m e n t a n d E n v iro n m e n ta l C h a n g e
P M O
P ro je c t M a n a g e m e n t O ffic e
P M U
P ro je c t M a n a g e m e n t U n it
P R C
P e o p le 's R e p u b lic o f C h in a
P S C
P ro je c t S te e rin g C o m m itte e
R S R e m o te
S e n sin g
S A G
S c ie n c e A d v iso ry G ro u p
S C S te e rin g
C o m m itte e
S D C
S w iss D e v e lo p m e n t C o rp o ra tio n
S E P A
S ta te E n v iro n m e n ta l P ro te c tio n A d m in istra tio n
S F A
S ta te F o re stry A d m in istra tio n
S IC P
S in o -Ita lia n C o o p e ra tio n P ro g ra m fo r E n v iro n m e n ta l P ro te c tio n
S L M
S u sta in a b le L a n d M a n a g e m e n t
S N S
S a c re d N a tu ra l S ite
T N C
T h e N a tu re C o n se rv a n c y
T P R
T rip a rtite P ro je c t R e v ie w
U N D P
U n ite d N a tio n s D e v e lo p m e n t P ro g ra m m e
U N E P
U n ite d N a tio n s E n v iro n m e n t P ro g ra m m e
U N -H A B IT A T
U n ite d N a tio n s H u m a n S e ttle m e n t P ro g ra m m e
W B W o rld
B a n k
W W F
W o rld W id e F u n d fo r N a tu re
Y P F P
Y a n g tz e P ro te c tio n F o re st P ro g ra m
Y R W R C
Y a n g tz e R iv e r W a te r R e so u rc e C o m m issio n


iv

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TABLE OF CONTENTS




























Page No.
PROJECT IDENTIFICATION

I.
BACKGROUND AND CONTEXT
1
1.1
Yangtze River floods and ecosystem conservation
1
1.2
Ecosystem Function Conservation Areas
3
1.3
Linkages to the other national programs and action plans
4
1.4
Linkages to other GEF-funded projects and IA program
5
1.5
Global enviornmenal values in the upper basin of the Yangtze River
6
1.6
Threats to ecosystem integrity and their root causes
8
1.7 Baseline
activities
10
II.
RATIONALE AND OBJECTIVES
13
2.1 Project
description
13
2.2
Project components and expected results
14
III.
RISKS AND SUSTAINABLITY
22
3.1 Risks
22
3.2 Sustainability
22
3.3 Replicability
23

IV.
INPLEMENTATIN ARRANGEMENTS AND STAKEHOLDER
PARTICIPATION 24
4.1 Implementation
arrangements
24
4.2 Stakeholder
participation
27
V.
INCREMENTAL COSTS AND PROJECT FINANCING
28
VI.
MONITORING, EVALUATION, AND DISSEMINATION
31


v

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L IS T O F A N N E X E S

A
In c r e m e n ta l C o sts A n a ly sis
B L o g fr a m e
M a tr ix
C
S T A P R o ste r T e c h n ic a l R e v ie w
C 1
R e sp o n se to S T A P
D
L e tte r o f E n d o r se m e n t
E
T h r e a ts a n d R o o t C a u se s o f E c o sy ste m D e g r a d a tio n a t T w o D e m o s
F
P u b lic In v o lv e m e n t P la n
G
R e fe r e n c e D o c u m e n ts o f T w o D e m o S ite s (in c lu d in g m a p s)
G 1 A ttr ib u te s o f T w o D e m o S ite s
G 2 G e o g r a p h ic a l L o c a tio n o f T w o D e m o S ite s
H
M o n ito r in g a n d E v a lu a tio n P la n
I
W o r k p la n a n d T im e ta b le
J
S tr u c tu r e o f P r o je c t Im p le m e n ta tio n
K
L e tte r s o f C o -fin a n c in g C o m m itm e n ts
vi

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S E C T IO N I. B A C K G R O U N D A N D C O N T E X T
1 .1 Y a n g tze R iv er flo o d s a n d eco sy stem co n serv a tio n
1 .
T h e Y a n g tz e R iv e r is th e la rg e s t riv e r in C h in a , w ith th e to ta l le n g th o f 6 ,3 0 0
k ilo m e te rs a n d a d ra in a g e a re a o f 1 .8 m illio n k m 2. O v e r 4 0 0 m illio n p e o p le liv e in th e
Y a n g tz e R iv e r b a sin . W a te r d is c h a rg e b y th e Y a n g tz e R iv e r a m o u n ts to a b o u t 9 6 0
b illio n c u b ic m e te rs p e r a n n u m , a n d h a s s ig n if ic a n t im p a c ts o n th e e n v iro n m e n t o f th e
E a st C h in a S e a .
2 .
O n e th ird o f th e to ta l C h in e s e p o p u la tio n liv e s in th e Y a n g tz e R iv e r B a s in , a n d th e
B a s in 's e c o n o m ic a c tiv itie s c o n trib u te s ig n if ic a n tly to th e c o u n tr y 's G D P . P o p u latio n
d e n sity in th e b a sin is a b o u t 2 2 0 p e o p le/k m 2. T h e b a sin is th e e c o n o m ic c e n te r o f
C h in a , a n d o n e o f th e m o st d e v e lo p e d a re a s in te rm s o f a g ric u ltu re , fis h e ry , in d u s try ,
a n d tra n s p o rta tio n . T h e b a sin h as 2 3 .3 m illio n h a o f ara b le lan d , w h ic h is a b o u t 2 4 .3 %
o f C h in a's to ta l. A g ric u ltu ra l o u tp u t fro m th e re g io n a m o u n ts to ab o u t 3 2 % o f C h in a 's
to ta l a g ric u ltu ral p ro d u c tio n an d a b o u t 3 5 % o f th e to ta l g ra in p ro d u ctio n . M ajo r
a g ric u ltu ra l p ro d u c ts in c lu d e rice, c o tto n , sesa m e, fib e r, te a, a n d to b ac co . T a i L a k e,
D o n g tin g L a k e, P o y a n g L ak e an d th e Jia n g h a n L a k e G ro u p a re n a tio n ally im p o rta n t
fish ery gro u n d s.
3 .
T h e c a ta s tro p h ic 1 9 9 8 Y a n g tz e R iv e r f lo o d s c a u s e d se v e re d a m a g e to h u m a n life ,
p ro p e rty a n d th e n a tu ra l e n v iro n m e n t. 1 ,0 7 5 d y k e s b u rs t, s u b m e r g e d a n a re a o f 3 ,2 1 0
k m 2 a n d a ff e c te d 2 .2 9 m illio n p e o p le . T h e f lo o d s c a u s e d d ire c t e c o n o m ic lo s s o f
a b o u t U S $ 2 0 b illio n a n d th e d e a th s o f 1 ,5 6 2 p e o p le liv in g in th e m id d le a n d lo w e r
re a c h e s o f th e b a s in . T h e 1 9 9 8 f lo o d s w e re n o t is o la te d e v e n ts a n d it is a p p a re n t th a t
th e s c a le a n d f re q u e n c y o f Y a n g tz e R iv e r f lo o d s h a v e re a c h e d th e le v e l w h e re
su sta in a b le d e v e lo p m e n t o f th e b a sin is th re a te n e d .
4 .
P e rs is te n t ra in w a s th e d ire c t c a u se o f th e 1 9 9 8 f lo o d s. A b o u t 7 0 % o f th e m a x im u m
d is c h a rg e d u rin g th e 3 0 - d a y f lo o d p e rio d a rriv e d a t th e H a n k o u s ta tio n (m id d le
Y a n g tz e re a c h ) c a m e f ro m th e u p p e r re a c h e s o f th e Y a n g tz e R iv e r. T h e re f o re , w a te r
re te n tio n c a p a c ity a n d s o il c o n se r v a tio n in th e u p p e r Y a n g tz e b a sin a re o f sig n if ic a n c e
to m itig a te th e th re a t o f flo o d to m id d le a n d lo w e r re a c h e s o f th e Y a n g tz e R iv e r. T h e
R e p o rt o f th e U N E P S c o p in g M iss io n to th e Y a n g tz e R iv e r B a s in , in J a n u a ry 1 9 9 9 ,
p o in te d o u t th re e m a in e c o lo g ic a l c a u se s e x a c e rb a tin g th e p h e n o m e n o n : (i) s h a rp
d e c lin e in w a te r re te n tio n c a p a c ity o f f o re sts a n d g ra s s la n d s d u e to d e f o re s ta tio n a n d
o v e r g ra z in g ; (ii) d e c re a s e in w a te r s to ra g e c a p a c ity in th e m id d le a n d lo w e r re a c h e s
o f th e Y a n g tz e R iv e r d u e to lo s s o f la k e s a n d w e tla n d s ; a n d (iii) s ilta tio n o f th e riv e rs
a n d lo ss o f w e tla n d s in th e Y a n g tz e R iv e r b a sin . T h e re p o rt e n c o u ra g e d th e G O C to
im p le m e n t e c o lo g ic a lly so u n d m a n a g e m e n t o f th e u p p e r Y a n g tze R iv e r b a sin .
1

---

5 .
T h e fo llo w in g ta b le d e sc rib e s th e g e n e ra l situ a tio n in th e u p p e r Y a n g tze R iv e r b a sin :
L a n d U se T y p e
U p p e r B a sin
S ize o f R e g io n
1 0 0 .0 m illio n h a .
P o p u la tio n 1 5 3 .1
m illio n
F o re st
3 4 .3 0 m illio n h a .
G ra ssla n d
3 2 .5 7 m illio n h a .
C ro p la n d
1 5 .1 5 m illio n h a .
W a te r b o d ie s
2 .1 8 m illio n h a .
R e sid e n tia l a re a s, ro a d s a n d
2 .4 9 m illio n h a .
m in in g a re a s
L a n d n o t su ita b le fo r h u m a n
1 .8 3 m illio n h a .
u se
U n u se d la n d
1 1 .4 8 m illio n h a .

6 .
T h e c a ta s tro p h ic 1 9 9 8 f lo o d s o f th e Y a n g tz e R iv e r s y s te m p ro m p te d th e G o v e rn m e n t
o f C h in a (G O C ) to f o rm u la te a se t o f g u id in g p rin c ip le s f o r f lo o d c o n tro l a n d d a m a g e
m itig a tio n . T h e s e g u id e lin e s re c o m m e n d e d se v e ra l m e a s u re s, in c lu d in g lo g g in g b a n s,
re -c o n v e rs io n o f c le a re d la n d s to f o re s ts, p ro h ib itio n o f c u ltiv a tio n o n s te e p s lo p e s , re -
c o n v e rs io n o f re c la im e d a g ric u ltu ra l la n d s to w e tla n d s, re lo c a tio n o f p o p u la tio n s
liv in g in v u ln e ra b le a re a s, s tre n g th e n in g o f riv e r b a n k s , a n d d re d g in g o f riv e r
c h a n n e ls.
7 .
P ro v in cial g o v e rn m e n ts re sp o n d e d to ce n tra l g o v e rn m e n t in stru ctio n s b y ta k in g sw ift
actio n s. F o r e x a m p le, S ic h u a n P ro v in c e in tro d u ce d a lo g g in g b a n o n n a tu ra l fo re sts in
S e p te m b er 1 9 9 8 , a n d tra n sfo rm e d th e ac tiv ities o f lo g g in g c o m p a n ies in to affo restatio n ,
an d train e d lo g g e rs o n tree p la n tin g a n d fo re st ra n c h in g. Y u n n an P ro v in ce fo rb a d e
co m m e rc ia l lo g g in g in th e Jin sh a R iv e r V a lle y in O cto b e r 1 9 9 8 . B y 2 0 0 0 , th e re w a s
alm o st n o co m m ercial u se o f tim b er in n atu ral fo rest p ro tectio n areas.
8 .
In O c to b e r 1 9 9 9 , S ic h u a n P ro v in ce im p le m e n te d a p ro g ra m to c o n v e rt c u ltiv a ted a re as
o n ste e p slo p es in to fo rest/g rass la n d s, a n d to c o m p e n sate affec te d farm e rs. It a ch ie v e d
its co n versio n target o f tw o th o u san d k m 2 w ith in a year.
9 .
T h e N a tio n al P eo p le s' C o n g ress a p p ro v e d th e W estern D e v elo p m e n t S trate g y in e a rly
2 0 0 0 , in clu d in g restrictio n s o n th e u se o f steep slo p es.
1 0 . T h e G O C g a v e h ig h p rio rity to re h a b ilita tio n a n d c o n se r v a tio n o f n a tu ra l e c o s y s te m s
in th e u p p e r a n d m id d le b a s in s o f th e Y a n g tz e R iv e r. N a tu re c o n s e rv a tio n in th is
re g io n h a s n e v e r re c e iv e d a s m u c h a tte n tio n a n d s u p p o rt a s it d o e s to d a y . T h e G O C
is n o w p la n n in g to in v e s t a b o u t $ 9 .2 9 b illio n in th e n e x t fiv e y e a rs in th e u p p e r
Y a n g tz e R iv e r b a s in . T h e s e re s o u rc e s, p a y in g f o r re h a b ilita tio n a n d re s to ra tio n
m e a s u re s, w ill b e s e c to r-b a s e d a n d le d b y th e v a rio u s m in istrie s (M L R , M W R , M O C ,
M O A , S F A , S E P A , e tc .). P a rt o f th e s e re h a b ilita tio n a n d re s to ra tio n e ff o rts f o rm th e
b a s e lin e o f in v e s tm e n ts th a t th is p ro je c t w ill b u ild u p o n to a c h ie v e g lo b a l
e n v iro n m e n ta l b e n e fits.
1 1 . It is im p o rta n t to n o te th a t th e d e g ra d a tio n o f th e e n v iro n m e n t o f th e c a tc h m e n t,
2

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c a u s e d b y c u ltiv a tio n o n s te e p s lo p e , d e f o re s ta tio n , s o il e ro s io n a n d w e tla n d
re c la m a tio n , is c lo s e ly a ss o c ia te d w ith th e s o c io -e c o n o m ic c o n d itio n s o f th e lo c a l
c o m m u n itie s . T h e u p p e r Y a n g tz e b a s in is c h a ra c te riz e d b y h ig h p o p u la tio n p re s s u re
a n d lim ite d la n d s u ita b le f o r c u ltiv a tio n . In 2 0 0 0 , p e r c a p ita fa rm la n d in th e u p p e r
b a s in w a s 0 .0 4 9 h a , w h ic h w a s lo w e r th a n th e C h in e s e a v e ra g e o f 0 .0 8 4 h a . In 1 9 9 9 ,
th e G D P p e r c a p ita w a s a p p ro x im a te ly 4 ,1 0 0 C h in e se y u a n (a p p ro x im a te ly U S $ 5 0 0 ),
w h ic h is a b o u t 6 7 % o f th e n a tio n a l a v e ra g e . In m o u n ta in a re a s, s u c h a s th e W u jia n g
R iv e r b a s in , a n n u a l G D P p e r c a p ita d o e s n o t e x c e e d 2 ,2 0 7 y u a n . In a d d itio n to
lim ite d e c o n o m ic p ro d u c tiv ity , e n e rg y s u p p ly in th e u p p e r b a s in is lim ite d . O f 7 8
c o u n tie s in th e h illy a n d lo w m o u n ta in a re a s in th e u p p e r b a s in , 6 0 c o u n tie s la c k in
s u ff ic ie n t fire w o o d , w h ic h a c c o u n ts f o r a p p ro x im a te ly 8 0 % o f th e to ta l e n e rg y
c o n su m p tio n .
1 .2 E c o sy ste m F u n c tio n C o n se r v a tio n A r e a s
1 2 . T h e G O C is w illin g to p io n e e r a n in te g ra te d e c o sy ste m m a n a g e m e n t a p p ro ac h fo r flo o d
co n tro l, w h ic h aim s a t p o v e rty alle v iatio n a n d a t ac h ie v in g g lo b a l e n v iro n m e n tal
b e n efits. S u c h a n a p p ro a ch g o e s b e y o n d th e tra d itio n a l sec to r-b a se d m e th o d o f flo o d
co n tro l. T h e G O C b e lie v e s it c an a rre st la n d d e g ra d atio n b y in te g ratin g e c o sy ste m
m a n a g e m e n t w ith th e e lim in atio n o f th re ats to ec o sy ste m in te g rity a n d th e ir ro o t ca u ses.
T h is d e sire o f th e G O C to g o b e y o n d a tra d itio n al sec to r-b ase d a p p ro a c h is th e e n try
p o in t fo r th e G E F p ro jec t. T h e G O C se ek s G E F su p p o rt to a se ries o f critical ste p s
lea d in g to th e esta b lish m e n t o f in te g ra te d ec o sy ste m m a n a g e m e n t a n d d e m o n stra tio n o f
h o w to u se it to c o n tro l flo o d s a n d se d im e n ts, c o n se rv e b io d iv e rsity, a n d se q u este r a n d
red u ce em issio n o f carb o n .
1 3 . T h e 1 9 9 8 flo o d s ca n also b e see n as a g g ra v a te d b y a d eclin e o f k e y "e co sy ste m
fu n c tio n s" in th e b asin . T h e d efin itio n o f th e te rm "e co sy ste m fu n c tio n s" e n c o m p asses
im p o rta n t e co sy ste m a ttrib u tes fo r th e m ain te n a n c e o f a so u n d ec o lo g ic al b a la n ce,
en su rin g re g io n al e n v iro n m e n ta l safety a n d p ro v isio n o f se rv ice s to p e o p le. T h ese
fu n c tio n s in c lu d e w a te r rete n tio n , w a ter p u rificatio n , se d im e n t c o n tro l, carb o n
se q u estra tio n , n u trie n t c y clin g , b io d iv e rsity m ain te n a n ce, etc. F ro m a flo o d c o n tro l
p e rsp ec tiv e, th e m o st im p o rta n t e c o sy ste m fu n ctio n s are w a te r a n d so il re te n tio n . M ajo r
g o v e rn m e n t in te rv e n tio n s h a v e a d d resse d re h a b ilita tin g a n d stre n g th e n in g th ese
fu n c tio n s. F o r ex a m p le, th e G O C re ce n tly d e v e lo p e d a p la n fo r th e u se o f w a te r
reso u rces an d a gen eral p lan to co n tro l flo o d s.
1 4 . T h e g o a l o f th is p ro je c t is to e s ta b lis h a n d d e m o n s tra te in te g ra te d e c o s y s te m
m a n a g e m e n t s y s te m s o f a ric h s e t o f e c o s y s te m f u n c tio n s, in c lu d in g th o s e a s s o c ia te d
w ith g lo b a l e n v iro n m e n ta l v a lu e s.
1 5 . T h e p ro je c t w ill ta rg e t " E c o s y s te m F u n c tio n C o n se r v a tio n A re a s (E F C A s )" , a s
d e f in e d b y th e G O C . T h e N a tio n a l E c o lo g ic a l C o n s e rv a tio n G u id e lin e s d e v e lo p e d b y
th e S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n (S E P A ) to g e th e r w ith o th e r
re la te d m in is trie s /a d m in is tra tio n s a n d a p p ro v e d b y th e S ta te C o u n c il a t th e e n d o f
N o v e m b e r 2 0 0 0 , p ro v id e E F C A d e ta ils. E F C A s h a v e th e g o a l o f
m a in ta in in g /re s to rin g s o u n d e c o lo g ic a l b a la n c e s a n d e n s u re e n v iro n m e n ta l sa f e ty .
T h e G O C w ill e sta b lis h E F C A s in im p o rta n t h e a d w a te r a re a s, n a tu ra l a re a s e ss e n tia l
fo r f lo o d c o n tro l, s o il c o n se rv a tio n a re a s, c ritic a l a re a s to p re v e n t d a m a g e c a u se d b y
h u rric a n e s, a n d v u ln e ra b le c o a sta l e c o lo g ic a l re g io n s . In e s s e n c e , E F C A s w ill
3

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c o n s e rv e /re s to re k e y e c o s y s te m f u n c tio n s h e lp in g p re v e n t n a tu ra l d is a s te rs, s u c h a s
flo o d s.
1 6 . T h e E F C A is a n e w c o n se r v a tio n in s tru m e n t in C h in a . A c c o rd in g to th e E F C A
p rin c ip le s, th e E F C A s c a n p ro h ib it a c tiv itie s d e trim e n ta l to k e y e c o s y s te m fu n c tio n s,
a n d a d d re s s p o p u la tio n g ro w th e x c e e d in g th e lo c a l c a rry in g c a p a c ity , a n d
u n s u s ta in a b le p ro d u c tio n . T h e E F C A s p rin c ip le s, a t th e s a m e tim e , in d ic a te th a t th e
E F C A s o b je c tiv e is n o t to e lim in a te h u m a n a c tiv itie s a lto g e th e r, b u t to e n c o u ra g e a n d
p ro m o te e n v iro n m e n ta lly frie n d ly a c tiv itie s e ss e n tia l to p o v e rty a lle v ia tio n a n d
s u s ta in a b le d e v e lo p m e n t. T h e re a re , h o w e v e r, te c h n ic a l c h a lle n g e s f o r th e e ffe c tiv e
im p le m e n ta tio n o f E F C A s, s u c h a s m a n a g e m e n t stra te g ie s to e n s u re th e in te g rity o f
k e y e c o s y s te m f u n c tio n s , ty p e s a n d s c o p e o f h u m a n a c tiv itie s, a n d id e n tif y in g
c a p a c ity b u ild in g n e e d s fo r e ffe c tiv e m a n a g e m e n t o f E F C A s.
1 7 . T h e S ta te C o u n c il o f C h in a a p p ro v e d th e N a tio n a l T e n th F iv e - Y e a r P la n f o r
E n v iro n m e n ta l P ro te c tio n , c o v e rin g th e p e rio d o f 2 0 0 1 -2 0 0 5 , in D e c e m b e r 2 0 0 1 . T h e
P la n in c lu d e s a s m a jo r c o n se r v a tio n a c tiv itie s e s ta b lis h m e n t o f 1 5 n a tio n a l a s w e ll a s
4 0 p ro v in c ia l-le v e l E F C A s. T h e P la n g iv e s h ig h p rio rity to h e a d w a te r a re a s a n d
c ritic a l w e tla n d s in th e m id d le a n d u p p e r b a sin s o f th e Y a n g tz e R iv e r, a n d c o m m its
$ 2 4 0 .2 4 m illio n to th e ir e sta b lis h m e n t. In a d d itio n , S E P A is p la n n in g to c o n d u c t a
stu d y o n th e g e o g ra p h ic a l d is trib u tio n o f e c o lo g ic a l f u n c tio n s in 1 2 w e s te rn
p ro v in c e s /m u n ic ip a litie s. T h e stu d y w ill b e e ss e n tia l to id e n tif y in g th e lo c a tio n o f
c ritic a l E F C A s.
1 8 . B e f o re e m b a rk in g o n th is la r g e -s c a le s tu d y , S E P A e n v is a g e s to c o n d u c t a s m a lle r-
sc a le a ss e s s m e n t w ith G E F s u p p o rt in th e u p p e r b a s in o f th e Y a n g tz e R iv e r. S E P A
w ill u s e le ss o n s le a rn e d a n d e x p e rie n c e s f ro m th is s u b -b a sin le v e l a s s e s s m e n t in
fu tu re b ro a d e r E F C A s id e n tific a tio n . D e v e lo p in g m e th o d o lo g ie s to a s se ss th e
p o ss ib le lo c a tio n o f f u tu re E F C A s is th e re f o re a n e s se n tia l c o m p o n e n t o f th is p ro je c t.
T h e o th e r c o m p o n e n ts re la te to m a n a g e m e n t-o r ie n te d m o n ito rin g o f e c o lo g ic a l
fu n c tio n s a n d a n e a rly w a rn in g s y s te m in E F C A s, a n d th e e s ta b lis h m e n t o f tw o
d e m o n stra tio n site s a s c o n se rv a tio n /re sto ra tio n o f e c o sy ste m fu n c tio n s.
1 .3
L in k a g e s to th e o th e r n a tio n a l p r o g r a m s a n d a c tio n p la n s
1 9 . C h in a h a s in c re a s in g ly re c o g n iz e d th e im p o rta n c e o f a d d re s sin g th e n a tio n a lly a n d
g lo b a lly s ig n if ic a n t e n v iro n m e n t in th e Y a n g tz e R iv e r b a sin b y e s ta b lis h in g a n u m b e r
o f n a tu re re se rv e s . In S ic h u a n P ro v in c e a lo n e , a to ta l o f 9 7 f o re s t, w ild lif e , a n d
w e tla n d n a tu re re s e rv e s h a v e b e e n e s ta b lis h e d . T h e a re a s c o n ta in e d in th e s e n a tu re
re s e rv e s a m o u n t to 1 3 .0 % o f th e p ro v in c e . In Y u n n a n P ro v in c e , o n th e o th e r h a n d ,
th e re a re 1 4 6 re se rv e s, c o v e rin g a b o u t 7 .3 % o f th e p ro v in c e .
2 0 . S e v e ra l n a tu re re se rv e s in th e b a s in h a v e in te rn a tio n a l im p o rta n c e a n d a re in c lu d e d in
U N E S C O 's " M a n a n d B io s p h e re " re s e rv e n e tw o rk , o r id e n tif ie d a s th e W o rld N a tu re
H e rita g e S ite s o r th e R a m s a r w e tla n d s. W ild A n im a l R e s e rv e s s u c h a s W o lo n g ,
T a n g jia R iv e r, W a n g la n g , J iu z h a ig o u , H u a n g lo n g T e m p le , a n d w e tla n d n a tu re
re s e rv e s , s u c h a s P o y a n g L a k e , a n d D o n g tin g L a k e a re a m o n g th e b e tte r k n o w n . M o s t
o f th e 1 7 e x is tin g p a n d a n a tu re re s e rv e s a re lo c a te d in th e m o u n ta in a re a s o f th e
Y a n g tze R iv e r b a sin .
4

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2 1 . C h in a d e v e lo p e d its B io d iv e rs ity A c tio n P la n in 1 9 9 4 . T h e P la n s e ts o u t g o a ls a n d
o b je c tiv e s d ire c tly re la te d to th e u p p e r a n d m id d le re a c h e s o f th e Y a n g tz e R iv e r. T h e
P la n a d v o c a te s, in te r a lia , a d o p tio n o f f o re s try p ra c tic e s c o n s iste n t w ith b io d iv e rs ity
c o n s e rv a tio n , p ro te c tio n o f m a jo r h a b ita ts o u tsid e n a tu re re s e rv e s, a n d s tric t
c o n s e rv a tio n o f g ra s sla n d s a n d w e tla n d s. T h e 1 9 9 8 C h in a N a tio n a l R e p o rt o n
Im p le m e n ta tio n o f th e C o n v e n tio n o n B io lo g ic a l D iv e rs ity a ls o lis te d th e u p p e r a n d
m id d le re a c h e s o f th e Y a n g tze R iv e r b a sin a m o n g p rio rity c o n se rv a tio n a re a s.
2 2 . T h e S ta te C o u n c il iss u e d , in 1 9 9 8 , th e N a tio n a l E c o lo g ic a l C o n s tru c tio n P la n th a t
id e n tif ie d th e u p p e r b a s in o f th e Y a n g tz e R iv e r a s k e y to c o n se r v a tio n , w ith f o c u s o n
d e fo re sta tio n , la n d d e g ra d a tio n , d e se rtific a tio n , a n d lo ss o f b io d iv e rsity .
2 3 . T h e C h in a N a tio n a l C lim a te C h a n g e C o m m itte e a n d C h in a M e te o r o lo g ic a l
A d m in istra tio n d ra f te d a se t o f g u id e lin e s f o r c lim a te c h a n g e p la n n in g (2 0 0 1 -2 0 1 0 ).
T h e g u id e lin e s c le a rly s ta te d th a t th e G O C w o u ld stre n g th e n its c a p a c ity to m o n ito r
a n d m itig a te c lim a te c h a n g e in th e u p p e r b a s in o f th e Y a n g tz e R iv e r. T h e G O C h a s
m a d e a n d w ill c o n tin u e to m a k e s ig n if ic a n t e ff o rts to c o n tro l C O 2 e m is s io n a n d
in c re a se c a rb o n se q u e stra tio n in th is a re a a s o n e o f th e c ritic a l ta rg e ts o f th e se e ffo rts.
2 4 . T h e C h in a N a tio n a l A c tio n P ro g ra m to C o m b a t D e s e rtif ic a tio n (1 9 9 6 ) f o c u se s o n a rid
a n d s e m i-a rid e n v iro n m e n ts. T h e h e a d w a te r a re a s o f th e Y a n g tz e R iv e r b e lo n g to
s u c h e n v iro n m e n t. T h e Y a n g tz e p ro je c t w ill c o n trib u te to a c h ie v in g th e ta r g e t se t f o r
re h a b ilita tio n o f d e g ra d e d ra n g e la n d a n d f o re st a re a s f o r th e s e c o n d p h a s e (2 0 0 1 -
2 0 1 0 ) o f th e im p le m e n ta tio n o f th e N a tio n a l A c tio n P ro g ra m .
1 .4
L in k a g e s to o th e r G E F -fu n d e d p r o je c ts a n d IA p r o g r a m
2 5 . T h e U N E P /G E F p ro je c t o n P e o p le , L a n d M a n a g e m e n t, a n d E n v iro n m e n ta l C h a n g e
(P L E C ) in c lu d e d in its p ro je c t s c o p e , a f o c u s o n d e v e lo p in g p a rtic ip a to r y m o d e ls f o r
s u s ta in a b le la n d m a n a g e m e n t in tw o lo c a tio n s in Y u n n a n P ro v in c e (X is h u a n b a n n a
a n d G a o lig o n g s h a n ). A lth o u g h th e s e tw o stie s a re o u ts id e th e Y a n g tz e b a sin , th e
S L M m o d e ls d e v e lo p e d a n d te s te d a t th e P L E C s ite s h o ld p o te n tia l f o r re p lic a tio n a n d
u p sc a lin g in th e u p p e r Y a n g tz e b a s in . U N E P a n d A D B a re im p le m e n tin g a G E F
M S P o n P re v e n tio n a n d C o n tro l o f D u s t a n d S a n d sto rm s in N o rth e a s t A s ia , w h ic h
w ill g e n e ra te a m o n ito rin g a n d e a rly w a rn in g s y ste m f o r la n d d e g ra d a tio n re la te d
p re s s u re s, w h ic h c o u ld b e u se d a s a m o d e l f o r th e m o n ito rin g c o m p o n e n t o f th e
Y a n g tze p ro je c t.
2 6 . T h e W B /G E F S u s ta in a b le F o re s try D e v e lo p m e n t P ro je c t, P ro te c te d A re a s
M a n a g e m e n t C o m p o n e n t s u b s ta n tia lly a c ts o n 1 3 n a tu re re s e rv e s f o r b io d iv e rs ity
c o n s e rv a tio n p u rp o s e . T h e U N D P /G E F s u p p o rte d p ro je c t - W e tla n d B io d iv e rs ity
C o n s e rv a tio n a n d S u s ta in a b le U s e s u p p o rts c o n se rv a tio n a n d th e s u s ta in a b le u s e o f
w e tla n d s a t f o u r d e m o n s tra tio n s ite s. T h e a b o v e p ro je c ts a re lo c a te d o u ts id e th e
Y a n g tz e R iv e r b a sin , b u t w ill p ro v id e im p o rta n t le s s o n s f o r im p le m e n ta tio n o f th e
Y a n g tze p ro je c t.
2 7 . T h e W B /G E F L a k e D ia n c h i A q u a tic B io d iv e rs ity R e s to ra tio n M S P w ill re s to re a n d
m a n a g e h a b ita ts a ro u n d th e la k e in o rd e r to se c u re th e c o n s e rv a tio n o f th e re m a in in g
e n d e m ic s p e c ie s o f L a k e D ia n c h i a n d its im m e d ia te trib u ta rie s. U N D P a ls o in itia te d a
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m e d iu m -s iz e d p ro je c t e n title d " M u lti-A g e n c y a n d L o c a l P a rtic ip a to ry C o o p e r a tio n in
B io d iv e rs ity C o n se r v a tio n in Y u n n a n U p la n d 's E c o s y s te m " w ith its fo c u s o n th e
u p la n d b io d iv e rs ity o f W u lia n g s h a n (Y u n n a n P ro v in c e ). T h is p ro je c t w ill s e e k
le sso n s th a t m a y b e u se fu l d u rin g th e e x e c u tio n o f th e u p p e r Y a n g tze in itia tiv e .
2 8 . In 1 9 9 9 , th e G O C re q u e s te d A D B to ta k e th e le a d in p re p a rin g a C h in a /G E F
P a rtn e rs h ip o n la n d d e g ra d a tio n a n d d e s e rtif ic a tio n . T h e A D B P a rtn e rs h ip w ill ta k e
p la c e in th e d r y la n d o f n o rth w e s te rn C h in a , w h ic h is c lim a tic a lly a n d b io lo g ic a lly
d iff e re n t f ro m th e Y a n g tz e R iv e r b a s in , a n d in a d iffe re n t a d m in is tra tiv e a n d s o c io -
e c o n o m ic c o n te x t. T h e Y a n g tz e R iv e r b a sin is m u c h ric h e r in b io d iv e rs ity th a n th e
n o rth w e s t. T h re a ts to th e e n v iro n m e n t d iff e r in th e tw o re g io n s : lo g g in g a n d e ro s io n
in th e Y a n g tz e b a s in a n d sa lin iz a tio n a n d " s a n d if ic a tio n " in th e n o rth w e s t. M o re o v e r,
th e o v e ra ll ta rg e t o f th e A D B e ff o rt is c a p a c ity b u ild in g a n d la n d m a n a g e m e n t,
w h e re a s th e g o a ls o f th is p ro je c t a re f lo o d a n d s e d im e n t c o n tro l th ro u g h in te g ra te d
e c o s y s te m m a n a g e m e n t, a ls o in c o rp o ra tin g g lo b a l e n v iro n m e n ta l b e n e f its.
Im p le m e n ta tio n o f th e A D B le a d in itia tiv e w ill, h o w e v e r, p ro v id e im p o rta n t le s s o n s
fo r in te g ra te d e c o sy ste m m a n a g e m e n t a n d th is p ro je c t w ill c o o rd in a te c lo se ly w ith it.
2 9 . D u rin g th e p ro je c t p re p a ra tio n , c o n s u lta tio n s w e re c o n d u c te d w ith th e W o rld B a n k ,
U N D P a n d A sia n D e v e lo p m e n t B a n k th ro u g h a s e rie s o f P D F -B S te e rin g C o m m itte e
m e e tin g s . It w a s c o n c lu d e d th a t p o s sib le m u ltip le lin k a g e s b e tw e e n th is p ro je c t a n d
th e a b o v e - m e n tio n e d in itia tiv e s w o u ld b e s o u g h t a n d th a t W B , U N D P a n d A D B
w o u ld b e in v ite d to th e S te e rin g C o m m itte e to e n su re sy n e rg ie s a n d a v o id o v e rla p s.
3 0 . T h e p ro p o s e d p ro je c t w a s d e v e lo p e d b a s e d o n U N E P 's s u p p o rt f o r th e G O C in
a d d re s s in g th e u n d e rly in g e n v iro n m e n ta l c a u se s o f flo o d s, w h ic h w e re id e n tif ie d in
th e U N E P s c o p in g m is s io n re p o rt p re p a re d im m e d ia te ly a f te r th e 1 9 9 8 Y a n g tz e
flo o d s. U N E P a ls o o rg a n iz e d in 2 0 0 0 a se rie s o f tra in in g w o rk s h o p s o n m o u n ta in
e c o s y s te m s , w e tla n d m a n a g e m e n t a n d re n e w a b le e n e rg y , w h ic h p ro v id e d a b a s is f o r
th e Y a n g tz e p ro je c t. U N E P D isa s te r M a n a g e m e n t P ro g ra m m e c o n tin u e s to p ro v id e
te c h n ic a l in p u t b a se d o n th e v u ln e ra b ility a ss e ss m e n t c o n d u c te d in th e Y a n g tz e R iv e r
b a sin .
3 1 . U N E P 's C h in a C o u n try W o rk P ro g ra m m e (2 0 0 4 -2 0 0 5 ) a c c o rd s p ro g r a m m a tic
p rio ritie s to e n v iro n m e n ta l la w d e v e lo p m e n t a n d im p le m e n ta tio n , e n v iro n m e n ta l
e d u c a tio n a n d a w a re n e s s ra isin g , e n v iro n m e n ta l a s s e s s m e n t a n d e a rly w a rn in g ,
e n v iro n m e n ta l c a p a c ity b u ild in g , c le a n e r p ro d u c tio n , a n d e n v iro n m e n ta l e m e rg e n c y
p re v e n tio n a n d re s p o n s e . T h e W o rk P ro g ra m m e f u rth e r g iv e s a p rio rity to th e
im p le m e n ta tio n o f th e G E F Y a n g tz e p ro je c t, a s it c o n trib u te s to th e p ro g r a m m a tic
p rio ritie s th e W o r k P ro g r a m m e is g iv in g . T h e im p le m e n ta tio n o f th e p re s e n t p ro je c t
w ill b e c o o rd in a te d th ro u g h th e U N E P C h in a o f fic e u n d e r its o v e ra ll p ro g ra m to
s u p p o rt th e G O C a n d to c o o rd in a te th e im p le m e n ta tio n o f th e C o u n try W o rk
P ro g ra m m e , in o rd e r to e n su re sm o o th c o o rd in a tio n w ith th e G O C .
1 .5 G lo b a l en v iro n m en ta l v a lu es in th e u p p er b a sin o f th e Y a n g tze R iv er
3 2 . a ) C a r b o n se q u e s tr a tio n . T h e Y a n g tz e R iv e r b a sin h a s g re a t p o te n tia l o f
se q u e ste rin g g re e n h o u s e g a s e s. R e f o re s ta tio n a n d c o n s e rv a tio n o f e c o s y s te m s in th e
b a s in w ill c o n trib u te to th e n e t re d u c tio n o f g re e n h o u s e g a s e m iss io n s f ro m C h in a .
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U n d e r th e a s s u m p tio n th a t 1 m 3 o f s ta n d in g w o o d c a n s e q u e ste r a b o u t 3 5 0 k g /y e a r o f
c a rb o n a n d th e a v e ra g e p ro d u c tiv ity o f f o re s ts in th e u p p e r b a s in is 6 t/h a /a , a to ta l
c a rb o n s e q u e s tra tio n in th e 4 7 .7 m illio n h e c ta re o f fo re s ts in th e u p p e r b a sin m a y
re a c h u p to 2 2 2 .6 m illio n to n s /y e a r. T h e p la n n e d re f o re s ta tio n a n d re s to ra tio n
p ro g ra m s in th e u p p e r b a sin (7 .1 m illio n h a ) c a n b e e x p e c te d to s e q u e s te r a n o th e r
1 9 2 .3 m illio n to n s o f c a rb o n in th e n e x t 1 0 y e a r s. U n d e r th is p ro je c t, a d d itio n a l
re f o re s ta tio n a n d im p ro v e d la n d m a n a g e m e n t w ill b e n e e d e d in th e tw o d e m o s ite s,
illu s tra tin g h o w to se q u e s te r c a rb o n a n d re d u c e e m is s io n s. C a rb o n se q u e s tra tio n b y
s o ils is y e t to b e e v a lu a te d , b u t in c re a s e in th e se q u e stra tio n a m o u n t is p o ss ib le
th ro u g h im p ro v e d la n d m a n a g e m e n t.
3 3 . b ) B io d iv e r s ity v a lu e s. T h e Y a n g tz e R iv e r b a sin e c o s y s te m s h a v e u n iq u e a n d ric h
s p e c ie s a s se m b la g e s, v a rio u s h a b ita ts a n d e n o r m o u s p ro d u c tiv ity . T h e y a re a m o n g th e
m o s t b io d iv e rs ity -ric h a re a s in C h in a . Its m id d le a n d u p p e r re a c h e s a re o n e o f th e
G lo b a l 2 0 0 S ite s (W W F ) a n d o n e o f th e H o t S p o ts o f g lo b a l b io d iv e rs ity
(C o n s e rv a tio n In te rn a tio n a l). O f th e e le v e n m o st c ritic a l te rre s tria l re g io n s f o r
b io d iv e rs ity c o n s e rv a tio n in C h in a id e n tif ie d b y th e C h in a 's B io d iv e rs ity C o u n tr y
S tu d y (F e b ru a r y 1 9 9 8 ), f o u r a re a t le a s t p a rtly lo c a te d in th e u p p e r a n d m id d le p a rts
o f th e Y a n g tz e R iv e r b a s in . T h e s e f o u r re g io n s w e re in c lu d e d in th e C h in a
B io d iv e rs ity A c tio n P la n a s c ritic a l a re a s o f c o n s e rv a tio n . T h e y a re th e Q in g h a i-T ib e t
p la te a u , th e s o u th e rn p a rt o f H e n g d u a n S h a n , th e n o rth e rn p a rt o f H e n g d u a n S h a n ,
a n d th e m o u n ta in re g io n b e tw e e n G u izh o u a n d S ic h u a n .
3 4 . A c c o rd in g to p re s e n tly in c o m p le te sta tis tic s, th e re a re m o re th a n 1 0 ,0 0 0 s p e c ie s (2 4 0
fa m ilie s a n d 1 6 0 0 g e n e ra ) o f h ig h e r p la n ts a n d 1 ,3 0 0 s p e c ie s o f m o s s e s a n d lic h e n s
liv in g in th is re g io n , in c lu d in g 8 4 e n d a n g e re d s p e c ie s u n d e r p ro te c tio n w ith n a tio n a l
le v e l p rio rity . S c ie n tis ts h a v e re c o rd e d m o re th a n 5 ,0 0 0 s p e c ie s o f m e d ic in a l p la n ts
a n d o th e r e c o n o m ic a lly v a lu a b le p la n ts in th e re g io n , a n d m o re th a n a th o u s a n d
v e rte b ra te s p e c ie s. T e n p e rc e n t o f th e s e fa ll in th e e n d a n g e re d s p e c ie s lis t w ith
n a tio n a l le v e l p rio rity .
3 5 . P ro te c te d p la n t s p e c ie s in c lu d e : C y stia th y r iu m c h in e n s i, S o r o le p id iu m g la c ia le ,
G in k g o b ilo b a , T a x u s c h in e n s is, T a x u s c h in e n s is v a r. m a ir e i, D a v id ia in v o lu c r a ta ,
D a v id ia in v o lu c r a ta v a r. v ilm o r in ia n a , K in g d o n ia u n iflo r a , C u p r e s s u s c h e n g ia n a ,
L a r ix m a s te r s ia n a , P ic e a c o m p la n a ta , A e c r c a ta lp ifo liu m , C e r c id ip h y llu m ja p o n ic u m ,
E u c o m m ia u lm o id e s, C in n a m o m u m lo n g ip a n ic u la tu m , C in n a m o m u m c a m p h o r a ,
P h le b e z h e n n a n , G ly c in e so ja , M a g n o lia o ffic in a lis, M a g n o lia sin e n s is, M a g n o lia
w ils o n ii, T e tr a c e n tr o n s in e n s e , T o o n a c ilia te , C e rc a e a ste r a g r e stis, E m m e n o p te r y s
h e n r y i, P te r o s ty r a x p silo p h y llu s, T o r re y a fa r g e s ii, C o r d y c e p s s in e n s is, M a g n o lia
s a r g e n tia n a , L in d e r a tie n c h u a n e n sis, C in n a m o m u m m a ir e i, D ip te r o n ia sin e n sis,
P ic e a b r a c h y ty la , P r u n u s g r a y a n a , S a lix m a g n ific a , D y s o s m a v e r sip e llis,
R o d o d e n d r o n r e x , G a s tr o d ia e la ta , S y r in g a p in n a tifo lia , E u p te le a p le io s p e r m u m ,
C o p tis c h in e n s is, T a p isc ia s in e n s is , S in o p o d o p h y llu m e m o d i, e tc . V e rte b ra te s p e c ie s
lis te d in th e C IT E S in c lu d e , b u t n o t lim ite d to : A ilu r o p o d a m e la n o le u c a ,
R h in o p ith e c u s r o x e lla n a e , N e o fe lis n e b u lo s a , P a n th e r a u n c ia l, P a n th e r a p a r d u s,
P a n th e r a tig r is, E q u u s k ia n g , C e rv u s a lb ir o s tr is , B u d o rc a s ta x ic o lo r, A ilu r u s fu lg e n s,
M a c a c a a r c to id e s, M a c a c a m u la tto , F e lis te m m in c k i, F e lis ly n x , U r s u s a r c to s
p r u in o s u s, S e le n a rc to s th ib e ta n u s, M o s c h u s b e rz o v sk ii, M o s c h u s s ifa n ic u s,
C a p r ic o r n is s u m a tr a e n s is , N a e m o r h e d u s g o r a l, O v is a m m o n , C u o n a lp in u s, L u tr a
sp p ., P rio n o d o n p a rd ic o lo r, F e lis b e n g a le n sis, e tc .
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3 6 . T h e p ro je c t a re a h a s ric h a q u a tic b io d iv e rs ity a s w e ll. T h e riv e r a n d its a ss o c ia te d
w e tla n d s a re th e h a b ita ts o f : A n d r ia s d a v id ia n u s, M y x o c y p r in u s a s ia tic u s, H u c h o
b le e k e ri, A c ip e n se r d a b ry a n u s, a n d P se p h u ru s g la d iu s.
3 7 . E n d a n g e re d b ird s p e c ie s in c lu d e : N ip p o n ia n ip p o n , A n s e r a lb ifr o n s, A ix g a le r ic u la ta ,
A q u ila c h ry s a e to s, H a lia e e tu s le u c o r y p h u s, G y p a e tu s b a r b a tu s, F a lc o n id a e s p p .,
T e tr a o p h a sis o b s c u r u s , Ith a g in is c r u e n tu s, L o p h o p h o r u s s p p ., C r o ss o p tilo n
c r o ss o p tilo n , P u c r a s ia m a c r o lo p h a , S y r m a tic u s re e v e sii, G r u s g r u s, G r u s n ig ric o llis,
B u b o b u b o , a n d T y to c a p e n sis.
3 8 . T h e P ro te c te d A re a s (P A s ) in C h in a a re d e s ig n a te d a t d iff e re n t a d m in is tra tiv e le v e ls :
n a tio n a l, p ro v in c ia l a n d lo c a l g o v e rn m e n ts . In S ic h u a n P ro v in c e , f o r e x a m p le , th e re
a re 9 7 P A s , o f w h ic h 1 3 a re a d m in is tra tiv e ly a n d f in a n c ia lly m a n a g e d b y p r o v in c ia l
m in is trie s, 5 4 m a n a g e d b y th e p ro v in c ia l g o v e rn m e n t a n d 3 0 m a n a g e d b y lo c a l
g o v e rn m e n ts. In Y u n n a n P ro v in c e th e re a re 1 4 6 P A s . M a n y P A s a re m a n a g e d b y
fo re stry d e p a rtm e n t, b u t o th e rs a re m a n a g e d b y e n v iro n m e n ta l p ro te c tio n d e p a rtm e n t.
T h e G O C re c o g n iz e s th a t, d e s p ite th e n u m b e r o f P A s, m a n a g e m e n t e ff ic ie n c y o f P A s
n e e d s to b e re v ie w e d to m e e t th e n e e d s o f e ffe c tiv e b io d iv e rsity c o n se rv a tio n .
3 9 . c ) S u s ta in a b le la n d m a n a g e m e n t. T h e u p p e r b a sin o f th e Y a n g tz e R iv e r h a s ric h
la n d re s o u rc e s d u e to its d iv e rs e e c o s y s te m s. T h e p ro je c t a re a h a s s u ff e re d fro m la n d
d e g ra d a tio n in re c e n t y e a rs f ro m th e p e rs p e c tiv e s o f b o th s u s ta in a b le e c o lo g ic a l
p ro d u c tiv ity a n d n a tiv e b io lo g ic a l ric h n e s s b e c a u s e o f c u ltiv a tio n o n s te e p slo p e s,
o v e r g ra z in g a n d irra tio n a l fo re s try a c tiv itie s. T h e G O C is n o w p a y in g c lo s e a tte n tio n
to la n d d e g ra d a tio n in th e a re a a n d h a s e a rm a rk e d o n s ig n if ic a n t f u n d s f o r re le v a n t
p ro je c ts, s u c h a s th e N a tu ra l F o re s t P ro te c tio n P ro g ra m a n d F a rm -to - F o re s t P ro g ra m .
U n d e r th is p ro je c t, ro o t c a u s e s o f la n d d e g ra d a tio n w ill b e a d d re ss e d b y
m a in s tre a m in g e x is tin g re le v a n t e ff o rts b y re la te d g o v e rn m e n t d e p a rtm e n ts to
im p ro v e b o th liv e lih o o d s a n d e c o n o m ic w e ll-b e in g o f lo c a l p e o p le a n d to p re se rv e o r
re s to re e c o s y s te m in te g rity , s ta b ility , f u n c tio n s, a n d s e rv ic e s in th e tw o d e m o s ite s
th ro u g h sc ie n tific a lly so u n d a n d in te g ra te d a p p ro a c h e s.
4 0 . d ) E c o s y s te m in te g r ity . M a in v e g e ta tio n ty p e s in th e u p p e r b a s in o f th e Y a n g tz e
R iv e r in c lu d e s u b tro p ic a l e v e r g re e n b ro a d -le a f e d f o re s ts, s u b tro p ic a l e v e r g re e n b ro a d
le a f e d a n d d e c id u o u s b ro a d -le a f e d f o re s ts, s u b tro p ic a l c o n if e ro u s f o re s ts, g r a s sla n d s
a n d w e tla n d s . T h e ric h a rr a y o f e c o s y s te m s in th e u p p e r b a sin (s e e in A n n e x G d e ta ils
a b o u t e c o s y s te m s in th e tw o d e m o n s tra tio n s ite s ) a re in d a n g e r o f d e g ra d a tio n a n d
d e s e rtif ic a tio n a s s o c ia te d w ith m is m a n a g e m e n t a n d u n s u sta in a b le la n d u se p ra c tic e s.
E c o s y s te m se r v ic e s, s u c h a s w a te r a n d s o il c o n se r v a tio n , c a rb o n se q u e stra tio n ,
b io d iv e rs ity c o n s e rv a tio n , n u trie n t c y c lin g , a n d p o llu tio n c o n tro l a re a t ris k w ith o u t
a d o p tin g a n in te g ra te d e c o s y s te m m a n a g e m e n t a p p ro a c h . T h e g lo b a l c o m m u n ity
n e e d s to g iv e u r g e n t a tte n tio n to th e s e a re a s in o rd e r to p re v e n t f u rth e r d e g ra d a tio n o f
im p o rta n t e c o sy ste m v a lu e s.
1 .6 T h rea ts to eco sy stem in teg rity a n d th eir ro o t ca u ses
4 1 . D e s p ite th e n a tio n a l a n d g lo b a l im p o rta n c e o f n a tu ra l e c o s y s te m s in th e u p p e r b a s in
o f th e Y a n g tz e R iv e r, th e a re a h a s s u ffe re d f ro m s e rio u s d e g ra d a tio n f o r d e c a d e s. T h e
lo c a liz e d th re a ts to th e u p p e r b a sin o f th e Y a n g tz e R iv e r re s u lt f ro m m is m a n a g e m e n t
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o f n a tu ra l re so u rc e s. T h e th re a ts in c lu d e :
4 2 . D e fo re s ta tio n . U n re g u la te d d e v e lo p m e n t o f c ro p la n d s, lo g g in g , a n d f u e lw o o d
c o lle c tio n , h a s le a d to f o re s t lo s s, h a b ita t f ra g m e n ta tio n , a n d re d u c tio n o f s o il a n d
w a te r re te n tio n c a p a c ity. D e f o re sta tio n h a d b e e n a c o n tin u in g tre n d in C h in a f o r a
h u n d re d o f y e a rs u n til th e lo g g in g b a n in 1 9 9 8 . S ta tistic s in th e 1 9 4 0 s s h o w e d th a t
a v e ra g e f o re s t c o v e ra g e w a s a b o u t 3 0 % in th e u p p e r b a s in , w h ile in m o u n ta in s o f
w e s te rn S ic h u a n a n d n o rth e rn Yu n n a n , f o re s t c o v e r w a s m o re th a n 5 0 % a t th a t tim e .
E x a c e rb a te d d e f o re s ta tio n a t th e e x p e n s e o f n a tu ra l fo re s ts h a s b e e n p re v a le n t sin c e
m id 1 9 6 0 s. In 1 9 7 0 s, a v e ra g e f o re s t c o v e r o f th e u p p e r b a sin d e c re a s e d to 1 0 % , a n d
fo re st c o v e r w a s le ss th a n 5 % in p la c e s w ith d e n s e p o p u la tio n , s u c h a s S ic h u a n B a s in
a n d Yu n n a n -G u iz h o u P la te a u . S ta tis tic s f ro m 1 9 9 9 s h o w e d f o re s t c o v e r h a d in c re a s e d
in th e u p p e r b a s in s in c e th e 1 9 7 0 s. H o w e v e r, in d ry v a lle y s a n d lim e s to n e a re a s in
n o rth e rn Yu n n a n a n d w e ste rn S ic h u a n , it is d iff ic u lt to re f o re st w ith d e f o r e s ta tio n
w o rse n in g .
4 3 . G r a ss la n d d e g r a d a tio n th ro u g h o v e rg r a z in g . G ra ss la n d d e g ra d a tio n in th e u p p e r
b a s in le a d s to d e c re a s e d c o v e ra g e a n d d e c lin in g b io m a s s p ro d u c tio n . In th e h e a d w a te r
a re a s, g ra s sla n d s w ith le ss th a n 6 0 % g ra ss c o v e r a c c o u n t f o r 2 5 % o f th e to ta l
a v a ila b le g ra ss la n d s, w h ile g ra s s la n d s w ith le s s th a n 5 % g ra s s c o v e r a c c o u n t fo r 1 5 % .
A v e ra g e e d ib le h e rb p ro d u c tiv ity o f g ra s s la n d s in th e h e a d w a te r a re a s f e ll f ro m 1 ,2 0 0
k g /h a in th e 1 9 5 0 s to 6 9 0 k g /h a in th e 1 9 9 0 s. F u rth e rm o re , d e se rtif ic a tio n is in
p ro g re ss in s o m e p a rt o f th e u p p e r b a s in d u e to g ra ss la n d d e g ra d a tio n . F o r e x a m p le ,
d e s e rtif ic a tio n is e x p a n d in g a t a ra te o f 3 ,3 0 0 h a /y e a r in A b a p re f e c tu re o f
n o rth w e s te rn S ic h u a n , a n d 1 .9 m illio n h a o f g ra ss la n d in Q in g h a i P ro v in c e h a s b e e n
d e se rte d .
4 4 . S o il e ro s io n . C u ltiv a tio n o n s te e p s lo p e s a n d v e g e ta tio n d e g ra d a tio n h a v e le a d to s o il
e ro s io n , in c re a se in f lo o d fre q u e n c y a n d d a m a g e to th e s o c ia l e c o n o m y. E c o lo g ic a lly
d a m a g in g h u m a n a c tiv itie s, s u c h a s d e f o re s ta tio n a n d o v e rg ra z in g h a v e c a u se d
se rio u s s o il e ro s io n in th e u p p e r re a c h e s o f th e Ya n g tz e R iv e r b a s in . M o s t c u ltiv a te d
la n d in m o u n ta in a re a s is o n s te e p slo p e s (m o re th a n 2 5 d e g re e s ). T h e re a re n o s o il
c o n s e rv a tio n m e a s u re s f o r a b o u t 6 0 % o f c u ltiv a te d la n d o n s lo p e s. G ra s s la n d a re a s
a ff e c te d b y s o il e ro s io n in th e h e a d w a te r a re a s a m o u n t to 1 0 .6 m illio n h a . O f th is, 4 .2
m illio n h a s h o w e ro s io n to a h ig h d e g re e , a n d 0 .1 m illio n h a to a n e x tre m e ly h ig h
d e g re e .
4 5 . W e tla n d lo ss b y la n d re c la m a tio n . W e tla n d lo ss h a s le a d to lo s s o f w a te r re te n tio n
c a p a c ity , d e c re a s e d c a rb o n s e q u e stra tio n a n d h a b ita t f ra g m e n ta tio n a ff e c tin g g lo b a lly
im p o rta n t m ig ra to r y b ird s. W e tla n d s in th e h e a d w a te r a re a s o f th e Y a n g tz e R iv e r
c o lle c tiv e ly c o v e r a n a re a o f 8 0 0 ,0 0 0 h a . H o w e v e r , w e tla n d a re a is d e c re a sin g . F o r
e x a m p le , W u la n w u la L a k e in th e h e a d w a te r a re a , w h ic h c o v e rs a n a re a o f 3 0 ,0 0 0 h a ,
h a s b e e n re d u c e d to f o r m f o u r in d e p e n d e n t s m a ll la k e s, a n d 7 0 ,0 0 0 h a o f s w a m p s
h a v e d rie d u p in n o rth w e ste rn S ic h u a n .
4 6 . T h e a b o v e -m e n tio n e d th r e a ts a re p re s e n t in th e tw o d e m o n s tra tio n site s a n d th e
p ro je c t w ill s h o w h o w s o u n d in te g ra te d e c o s y s te m m a n a g e m e n t c a n e lim in a te th e m .
T h e u n d e rly in g c a u se s o f th e se th re a ts a re :
4 7 . L a c k o f a n in te g r a te d a p p r o a c h to e c o s y s te m m a n a g e m e n t. N a tu ra l re s o u rc e s
9

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a s se ss m e n t a n d m a n a g e m e n t is se c to r-b a se d a n d u n c o o rd in a te d . V a rio u s d e p a rtm e n ts
c a rr y o u t s p e c if ic in d e p e n d e n t a ss e s s m e n ts, b u t th e se a re c e n te re d o n e a c h
d e p a rtm e n t's in te re s ts a n d c o n c e rn s in s te a d o f e c o s y s te m f u n c tio n s. F o r e x a m p le , th e
S ta te F o re s try A d m in is tra tio n is re s p o n s ib le f o r a s se ss m e n ts o n f o re str y re s o u r c e s, th e
M in is try o f W a te r R e s o u rc e s c a rrie s o u t a s se ss m e n ts o n s o il e ro sio n a n d ru n -o ff, a n d
th e M in is try o f L a n d a n d R e s o u rc e s c a rrie s o u t a ss e s s m e n ts o n la n d u se . P ro v in c ia l,
p re f e c tu re a n d c o u n ty le v e l g o v e rn m e n ts a ll h a v e th e ir o w n d e v e lo p m e n t p la n s, b u t
th e y d o n o t p a y a tte n tio n to n a tu re c o n se r v a tio n a n d a re n o t c o n c e iv e d to a c t o n a
c o lla b o ra tiv e b a sis. T h e re fo re , c u rre n t la n d u se p a tte rn s te n d to b e u n su sta in a b le .
4 8 . L im ite d a w a r e n e s s o f e c o sy ste m fu n c tio n s a t a ll le v e ls. L o c a l c o m m u n itie s, d e c isio n -
m a k e rs, a n d e v e n th e g o v e rn m e n t e m p h a s iz e e c o n o m ic p ro d u c tiv ity a n d h a v e lim ite d
a w a re n e s s o f th e s ig n if ic a n c e o f c o n s e rv in g e c o s y s te m f u n c tio n s f o r lo n g -te r m
su sta in a b ility .
4 9 . In a d e q u a te in fo r m a tio n fo r d e c is io n -m a k e rs to a s se ss e c o s y s te m in a n in te g r a te d
m a n n e r. In C h in a , th e re a re s e v e ra l m o n ito rin g s y s te m s e sta b lis h e d b y th e M in is try o f
L a n d a n d R e s o u rc e s, M in is try o f W a te r R e s o u rc e s, C h in e s e A c a d e m y o f S c ie n c e s,
M in is try o f A g ric u ltu re , S ta te F o re s try A d m in is tra tio n , a n d S ta te E n v ir o n m e n ta l
P ro te c tio n A d m in is tra tio n . E a c h o n e o f th e s e s y ste m s d e a ls o n ly w ith a s p e c if ic
s u b je c t a n d is n o t a lw a y s c o m p a tib le w ith e a c h o th e r. T h e re is a n e e d f o r a
m a n a g e m e n t-o rie n te d , in te g ra te d m o n ito rin g s y s te m b a s e d o n th e e x is tin g s y s te m s
u n d e r th e v a rio u s g o v e rn m e n t b o d ie s.
5 0 . L im ite d te c h n ic a l c a p a c ity a n d la c k o f e x p e rie n c e s in in te g r a te d e c o sy s te m
m a n a g e m e n t. T h e W e s te rn D e v e lo p m e n t S tra te g y a p p ro v e d in e a rly 2 0 0 0 a d v o c a te s a
h a rm o n iz e d a p p ro a c h to e n v iro n m e n ta l p ro te c tio n , d is a ste r p re v e n tio n a n d s o c io -
e c o n o m ic d e v e lo p m e n t. T h e T e n th F iv e - Y e a r P la n a ls o a d v o c a te s th e E F C A
a p p ro a c h . T h e G O C e sta b lis h e d a n in te r-m in is te ria l a g re e m e n t o n th is n e w in te g ra te d
a p p ro a c h a n d a n E F C A s E v a lu a tio n C o m m itte e , w h ic h is a tte n d e d b y h ig h -le v e l
o ff ic ia ls a n d e x p e rts o f re la te d m in is trie s, in c lu d in g S E P A , N D R C , M O F , M L R ,
M O C , M W R , M O A a n d S F A a n d c h a ire d b y a V ic e M in is te r o f S E P A . H o w e v e r, th e
E F C A a p p ro a c h is n e w , a n d th e re is a n e e d to d e m o n s tra te its a p p lic a b ility a n d
e ffic ie n c y a n d b u ild te c h n ic a l c a p a c ity to c a rry o u t su c c e ssfu l E F C A s m a n a g e m e n t.
5 1 . L a c k o f in te g r a te d a p p r o a c h to la n d u s e p la n n in g a n d m a n a g e m e n t. T h e p ro v in c ia l,
p re f e c tu re a n d c o u n ty g o v e rn m e n ts h a v e d iff e re n t le v e ls o f la n d u s e p la n n in g . L a n d
u se p la n s a re d e v e lo p e d f o r s p e c if ic a d m in is tra tiv e u n its, w ith o u t ta k in g in to
c o n s id e ra tio n e x is tin g e c o s y s te m f u n c tio n s. In th is w a y , s h o rt-te rm e c o n o m ic
b e n e f its a re g iv e n p rio rity in la n d u se p la n n in g , a n d lo n g e r-te rm e c o s y s te m v a lu e s a re
n o t ta k e n in to fu ll a c c o u n t.
5 2 . R u r a l p o v e r ty , in a d e q u a te a c c e ss to e d u c a tio n a n d r e n e w a b le e n e r g y . M o re th a n 5 0 %
o f th e to ta l p ro je c t a re a is m o u n ta in o u s , a n d f re q u e n tly p e o p le h a v e in a d e q u a te a c c e s s
to e d u c a tio n a n d o th e r s e rv ic e s a n d re s o u rc e s. A s a re s u lt, la n d u s e p ra c tic e s th a t h a v e
se v e re e n v iro n m e n ta l im p a c ts p re v a il, s u c h a s c u ltiv a tio n o n s te e p slo p e s,
o v e rg ra zin g , a n d w e tla n d re c la m a tio n .
5 3 . T h e u ltim a te d e v e lo p m e n t g o a l o f th e p ro je c t is to b u ild c a p a c ity th a t w ill s ta rt a
p ro c e s s o f E F C A e s ta b lis h m e n t to h e lp p ro te c t th e a b o v e - m e n tio n e d g lo b a l
10

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e n v iro n m e n ta l v a lu e s in th e u p p e r Y a n g tz e R iv e r b a s in . T h e p ro c e s s w ill h a v e to
in c lu d e m a n a g e m e n t o f th e s e th re a ts a n d u n d e rly in g c a u se s. T h e p ro je c t w ill w o rk o n
tw o d e m o n s tra tio n a re a s , se t u p th e E F C A id e n tific a tio n p ro c e s s a n d e s ta b lis h a
m a n a g e m e n t-o rie n te d m o n ito rin g a n d e a rly w a rn in g sy ste m fo r E F C A s.
1 .7 B a se lin e
a c tiv itie s
5 4 . T h e p ro je c t w ill m o d if y s o m e b a s e lin e p ro g ra m s a n d a d d n e w c ritic a l in itia tiv e s
d e m o n s tra tin g h o w to re m o v e th re a ts a n d ro o t c a u se s m e n a c in g g lo b a lly s ig n if ic a n t
e n v iro n m e n ta l v a lu e s in th e tw o d e m o n s tra tio n a re a s. It w ill c o m p le m e n t c u rre n t
e ff o rts to b u ild E F C A s a ro u n d flo o d a n d s e d im e n t c o n tro l a n d s h o w h o w to m a n a g e
e c o s y s te m s f o r p o v e rty a lle v ia tio n a n d m u ltip le g lo b a l e n v iro n m e n ta l b e n e f its. T h e s e
g o a ls o f d e v e lo p in g c a p a c ity a n d d e m o n s tra tin g , in p ra c tic e , h o w to in te g ra te
e c o s y s te m m a n a g e m e n t w h ile p ro v id in g b e n e f its in te rm s o f b io d iv e rs ity a n d c a rb o n
se q u e stra tio n a s w e ll a s a v o id in g la n d d e g ra d a tio n , a re fu lly c o n siste n t w ith O P 1 2 .
5 5 . W ith o u t G E F s u p p o rt, th e G O C w ill c o n tin u e d e v e lo p in g E F C A s a ro u n d f lo o d a n d
se d im e n t c o n tro l, b u t a n o p p o rtu n ity to h a rn e ss g lo b a l e n v iro n m e n ta l b e n e f its a n d
e n s u re e n v iro n m e n ta l s u s ta in a b ility w o u ld b e lo s t. E c o s y s te m s in E F C A s w ill b e c o m e
b io lo g ic a lly s im p le r a n d b io d iv e rs ity w ill b e lo s t. In te g ra te d m a n a g e m e n t a p p ro a c h e s,
se c u rin g s u s ta in a b le liv e lih o o d s a n d g lo b a l e n v iro n m e n ta l b e n e f its w o u ld n e ith e r b e
d e m o n s tra te d n o r b e a v a ila b le f o r re p lic a tio n in f u tu re E F C A s. W ith o u t s u c c e ss f u l
d e m o n s tra tio n o f in te g ra te d e c o s y s te m m a n a g e m e n t, c o n tin u e d s e c to r-b a se d
in itia tiv e s w o u ld p re v a il a n d la n d d e g ra d a tio n w o u ld c o n tin u e .
5 6 . T h e p ro je c t h a s th re e m a jo r o b je c tiv e s f o c u s in g o n th e u p p e r Y a n g tz e R iv e r b a s in : (i)
a s se ss m e n t a n d p la n n in g fo r e s ta b lis h in g E F C A s w ith m u ltip le g lo b a l e n v iro n m e n ta l
b e n e f its ; (ii) a g e n e ra l E c o lo g ic a l M o n ito rin g a n d E a rly W a rn in g S y s te m f o r E F C A s
a n d p ro te c te d a re a s ; a n d (iii) tw o c ritic a l E F C A d e m o n s tra tio n s s h o w in g th a t IE M is
in p ra c tic e . O b je c tiv e o n e is p la n n in g f o r th e f u tu re e x p a n s io n o f E F C A s. O b je c tiv e 2
e n c o m p a ss e s a m a n a g e m e n t-o rie n te d m o n ito rin g s y s te m a d d re ss in g e c o lo g ic a l
fu n c tio n s a n d th re a ts in E F C A s , a n d O b je c tiv e 3 is th e a c tu a l im p le m e n ta tio n o f th e
n e w c o n s e rv a tio n a p p ro a c h . U n d e r th is la s t o b je c tiv e , th e p ro je c t w ill e sta b lis h
d e ta ile d m e th o d s fo r n e w c o n se rv a tio n p ra c tic e s.
5 7 . T h e tw o d e m o n s tra tio n s ite s c h o s e n (B a o x in g a n d L a o ju n s h a n , s e e d e ta ils a n d a
lo c a tio n m a p in A n n e x G ) w e re se le c te d b a se d o n e c o s y s te m a n d v e g e ta tio n ty p e s ,
flo o d re la te d f u n c tio n s, g lo b a l e n v iro n m e n ta l b e n e f its, th re a ts , ro o t c a u s e s, p re s s u re ,
a lte rn a tiv e sc e n a rio s , a s w e ll a s re p lic a b ility . T h e se tw o d e m o n s tra tio n site s re p re s e n t
d iff e re n t m ix e s a n d ty p e s o f e c o s y s te m s a n d s h o w d iff e re n t a ss e m b la g e s o f th re a ts.
T h e y re p re s e n t a la r g e p a rt o f th e e c o s y s te m a n d c a p tu re s o c ia l v a ria b ility , a n d h a v e
th e p o te n tia l to g e n e ra te g lo b a l e n v iro n m e n ta l a s w e ll a s d o m e s tic b e n e f its in th e
u p p e r b a sin .
5 8 . T h e
a s se ss m e n t a n d p la n n in g f o r th e e s ta b lis h m e n t o f E F C A s w ith m u ltip le g lo b a l
e n v iro n m e n ta l b e n e f its w ill c o m p le m e n t c u rre n tly u n c o o rd in a te d b a s e lin e e f fo rts b y
v a rio u s a g e n c ie s:
5 9 . W ith in th e lif e o f th e p ro je c t, th e S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n is
11

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p la n n in g to c a rry o u t e c o s y s te m f u n c tio n -b a s e d z o n in g a n d in tro d u c e s o m e
c o n s e rv a tio n -o rie n te d re g u la tio n s in th e 1 2 w e s te rn p ro v in c e s ($ 1 ,4 9 7 ,5 6 0 ). T h e
Y a n g tze P ro je c t w ill u se th e se d a ta .
6 0 . T h e M in istr y o f W a te r R e s o u rc e s w ill c o n d u c t a s u rv e y o n s o il e ro s io n th a t w ill
p ro v id e b a s ic in f o rm a tio n o n w a te r a n d s o il re te n tio n f u n c tio n s to th e a s se ss m e n t
c o m p o n e n t o f th e p ro p o se d G E F p ro je c t. ($ 1 ,4 9 7 ,5 6 0 ).
6 1 . T h e C h in e se A c a d e m y o f S c ie n c e s is c u rre n tly c o n d u c tin g th e N a tio n a l K e y B a s ic
R e s e a rc h P ro je c t (N o . 9 7 3 ) o n th e b io d iv e rs ity o f th e Y a n g tz e R iv e r. D a ta a n d
in f o rm a tio n e m a n a tin g f ro m th is re s e a rc h p ro je c t w ill p ro v id e v a lu a b le in f o rm a tio n to
th e p ro p o se d G E F p ro je c t. ($ 2 ,4 3 9 ,0 4 2 ).
6 2 . T h e S ta te F o re s try A d m in is tra tio n (S F A ) c a rrie s o u t s u rv e y s o n f o re s t re s o u rc e s e v e ry
fiv e y e a rs . In d ic a to rs in c lu d e f o re s t c o v e ra g e , tim b e r v o lu m e a n d a re a o f d iff e re n t
fo re st ty p e s. R e s u lts o f th is s u rv e y w ill b e o n e o f th e d a ta s o u rc e s o n c a rb o n
se q u e stra tio n p o te n tia l in th e in te g ra te d a ss e ss m e n t in th e p ro p o se d G E F p ro je c t.
($ 2 ,4 3 9 ,0 4 2 ).
6 3 . T h e M in is try o f L a n d a n d R e s o u rc e s c a rrie s o u t la n d a n d re s o u rc e s s u r v e y s e v e r y
y e a r. T h e d a ta o n d is trib u tio n o f c ro p la n d s w ill b e m a d e u s e o f b y th is p ro je c t.
($ 2 ,7 1 9 ,5 1 2 ).
6 4 . S u r v e y s b y th e S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n o n e c o -e n v ir o n m e n t in
th e w e s te rn re g io n w ill p ro v id e p a rt o f th e d a ta a n d in f o rm a tio n n e e d e d fo r th e
e c o lo g ic a l th re a ts a n d ro o t c a u se a n a ly sis. ($ 2 ,1 0 0 ,0 0 0 ).
6 5 . E F C A s p la n n in g in N o rth w e s t Y u n n a n a n d J ia jin M o u n ta in w ill p ro v id e d a ta a n d
in fo rm a tio n u se fu l in re c o m m e n d in g E F C A s e sta b lish m e n t. ($ 3 9 0 ,2 4 3 ).
6 6 . S E P A w ill o r g a n iz e tra in in g a n d w o rk s h o p s f o r g o v e rn m e n t o ff ic ia ls a n d te c h n ic ia n s
to d iss e m in a te E F C A s k n o w le d g e . T h is e ff o rt w ill b e p a rt o f th e b a s e lin e to th e p u b lic
a w a re n e ss c a m p a ig n . ($ 1 2 1 ,9 5 1 ).
6 7 . T h e in f o rm a tio n f ro m th e a b o v e p ro v id e s s o m e b a s e lin e in f o rm a tio n b u t is c le a rly
in s u ffic ie n t to b u ild th e d e s ire d in te g ra te d a ss e s s m e n t o f e c o s y s te m f u n c tio n s. U n d e r
th e p ro je c t, th e G O C w ill g e n e ra te a ll a d d itio n a l in f o rm a tio n n e e d e d to a ss e s s th e
flo o d a n d s e d im e n t c o n tro l f u n c tio n s o f E F C A s . T h e G E F w ill c o v e r th e c o lle c tio n o f
in fo rm a tio n n e e d e d to a sse ss b io d iv e rsity a n d c a rb o n se q u e stra tio n b e n e fits.
6 8 . T h e g e n e ra l E c o lo g ic a l M o n ito rin g a n d E a rly W a rn in g S y s te m (M E W S ) f o r E F C A s
w ill a lso b e c o n stru c te d u sin g a b a se lin e o f n e tw o rk s:
6 9 . In th e u p p e r re a c h e s o f th e Y a n g tz e R iv e r, th e re a re 2 2 5 h y d ro lo g y s ta tio n s; 7 6 9
p re c ip ita tio n s ta tio n s ; 1 0 9 w a te r q u a lity s ta tio n s ; th re e re s e a rc h s ta tio n s b e lo n g in g to
th e C h in e s e A c a d e m y o f S c ie n c e s ; a n d 3 0 ,0 0 0 s a m p lin g s ite s b e lo n g in g to th e S F A
p ro v id in g d a ta e v e ry 5 y e a rs. ($ 1 ,2 3 9 ,0 0 0 ).
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7 0 . A t th e d e m o site le v e l, th e re a re a ra in f a ll s ta tio n , a h y d ro - m o n ito rin g s ta tio n a n d a
w a te r q u a lity s ta tio n a t th e L a o ju n s h a n d e m o site , a n d a ra in fa ll sta tio n a n d a h y d ro -
m o n ito rin g s ta tio n a t th e B a o x in g d e m o s ite . T h e s e sta tio n s w ill p ro v id e b a se lin e d a ta
to th e p ro je c t, w h ic h a re v a lu e d a t $ 9 5 ,0 0 0 .
7 1 . T h e a b o v e - m e n tio n e d e ff o rts to m o n ito r th e e n v iro n m e n t a re in s u ff ic ie n t a n d d o n o t
s p e c if ic a lly a d d re s s in te g ra te d a p p ro a c h f o r c o n s e rv a tio n a n d in te g ra te d e c o s y s te m
m a n a g e m e n t. U n d e r th e p ro je c t, th e G O C w ill c o v e r th e c o s ts fo r m e a s u re s th a t w ill
le a d to th e e sta b lis h m e n t o f a c o m p le m e n ta ry m o n ito rin g s y s te m a llo w in g m o n ito rin g
v a ria b le s re la te d to f lo o d a n d s e d im e n t c o n tro l b e n e f its. T h e G E F w ill s u p p o rt th e
in te g ra tio n o f in f o rm a tio n a n d th e e sta b lis h m e n t o f a ll m o n ito rin g n e e d e d to g e n e ra te
g lo b a l e n v iro n m e n ta l b e n e fits.
7 2 . T h e tw o c ritic a l E F C A d e m o n s tra tio n s a t B a o x in g a n d L a o ju n s h a n , w ill a d d to
p ro je c t-re le v a n t b a s e lin e in v e s tm e n ts in th e s e d e m o a re a s. W ith o u t th e p ro je c t,
in v e s tm e n ts in th e n e x t 5 y e a rs in th e tw o a re a s w ill b e $ 1 4 ,5 2 8 (B a o x in g ) a n d
$ 1 5 0 ,0 0 0 ( L a o ju n s h a n ). A lth o u g h p ro je c t-re le v a n t b a se lin e in v e s tm e n ts in th e tw o
a re a s a re re la tiv e ly s m a ll, th e p ro je c t w ill le v e ra g e f ro m th e G O C a n d T N C
sig n if ic a n t in v e s tm e n ts th a t w ill le a d to s u s ta in a b le in te g ra te d m a n a g e m e n t a t th e
site s.
7 3 . B a o x in g d e m o s ite a n d its s u rro u n d in g a re a : B a sic b io d iv e rs ity a ttrib u te s o f th is s ite
a n d its p ro te c te d a re a s, s o c io -e c o n o m ic c o n d itio n s, a n d th re a ts to its b io d iv e r sity a re
s u p p lie d in A n n e x e s E a n d G . T h e re a re p ro te c te d a re a s a t th is s ite : F e n g to n g z h a i,
L a b a h e a n d B a o x in g h e . E x c e p t s a la rie s f o r P A s ta ff (G O C , $ 1 4 ,5 2 8 ), th e G O C h a d
n o b u d g e ts f o r c o rrid o rs a n d b u ff e r z o n e s . W ith o u t th e in te g ra te d a p p ro a c h o f th e
G E F p ro je c t, th e re w o u ld b e n o IE M , n o m a in s tre a m in g o f s e c to r p ro g ra m s to m e e t
g lo b a l e n v iro n m e n ta l v a lu e s, in s u ff ic ie n t c a rb o n g a in s a n d a v o id a n c e o f e m is sio n s,
a n d in s u ff ic ie n t p ro te c tio n o f b io d iv e rs ity b e c a u s e o f c o n f lic t b e tw e e n lo c a l re s id e n ts
a n d n a tu ra l re so u rc e s.
7 4 . L a o ju n s h a n d e m o s ite a n d its s u rro u n d in g a re a : B a s ic b io d iv e rs ity a ttrib u te s o f th is
site , s o c io -e c o n o m ic c o n d itio n s, a n d th re a ts to its b io d iv e rs ity a re s u p p lie d in
A n n e x e s E a n d G . W ith o u t th e G E F s u p p o rt, th e f o llo w in g in itia tiv e s b y th e G O C
w o u ld ta k e p la c e : D ra f tin g o f s e c to r-b a s e d re g u la tio n s f o r n a tu ra l re s o u rc e s
m a n a g e m e n t ($ 5 0 ,0 0 0 ), d ra f tin g o f se c to r-b a se d m a n a g e m e n t p la n s ($ 5 0 ,0 0 0 ) a n d
s m a ll in v e s tm e n ts in b io d iv e rs ity p ro te c tio n ($ 5 0 ,0 0 0 ). W ith o u t th e G E F p ro je c t,
th e re w o u ld b e n o IE M , n o m a in s tre a m in g o f se c to r p ro g ra m s to a c h ie v e g lo b a l
e n v iro n m e n ta l v a lu e s, in s u ff ic ie n t c a rb o n g a in s a n d re d u c tio n in e m iss io n s, a n d
in su ffic ie n t p ro te c tio n o f b io d iv e rsity .
S E C T IO N II. R A T IO N A L E A N D O B J E C T IV E S
2 .1 P ro ject d escrip tio n
7 5 . T h e b ro a d d e v e lo p m e n t o b je c tiv e o f th e p ro je c t is to in itia te a p ro c e ss le a d in g to
in te g ra te d e c o s y s te m m a n a g e m e n t in E F C A s in th e u p p e r b a s in o f th e Y a n g tz e R iv e r.
T h e s tra te g ic g o a l o f th e p ro je c t is to b u ild n e c e ss a ry c a p a c ity to a s s e ss a n d p la n th e
lo c a tio n o f f u tu re E F C A s, d e s ig n a n d im p le m e n t a s y s te m to m o n ito r e n v iro n m e n ta l
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v a lu e s, a n d to d e m o n s tra te in te g ra te d e c o s y s te m m a n a g e m e n t a im e d a t m u ltip le
e n v iro n m e n ta l b e n e fits in E F C A s. T h e d e s ire d in te g ra te d m a n a g e m e n t s y s te m w ill
in c lu d e m e a s u re s re d u c in g q u ic k ru n o ff a n d e x c e ss iv e s e d im e n t lo a d s to th e riv e r. In
a d d itio n , th e p ro je c t w ill le a d to s e q u e s tra tio n o f c a rb o n s, p ro te c tin g g lo b a lly
sig n ific a n t b io d iv e rsity a n d im p ro v in g th e liv e lih o o d s.
7 6 . T h e p ro je c t is b a s e d o n th e p rin c ip le o f in c re m e n ta l c o st. T h e p ro je c t w ill a d d to th e
c u rre n t n a tio n a l e ff o rts to c o n tro l w a te r ru n o ff a n d s e d im e n t lo s s in th e Y a n g tz e R iv e r
b a s in . T h e G O C w ill f u lly c o v e r a ll e x p e n s e s re la te d to ru n o ff a n d se d im e n t c o n tro l,
a s w e ll a s im p ro v e m e n t o f s u s ta in a b le liv e lih o o d s in th e tw o p ro p o s e d d e m o n stra tio n
site s. T h e G E F w ill h e lp p a y f o r e x p e n s e s a s s o c ia te d w ith c o n s e rv a tio n a n d
s u s ta in a b le u s e o f g lo b a lly s ig n if ic a n t b io d iv e rs ity a n d c a rb o n se q u e s tra tio n b e n e f its,
a s w e ll a s in te g ra te d e c o s y s te m m a n a g e m e n t. T h e se g o a ls a n d a p p ro a c h e s a re f u lly
c o n s iste n t w ith th e g o a ls o f th e G E F O P 1 2 o n In te g ra te d E c o s y s te m M a n a g e m e n t a n d
a d d re s s p rio rity o n IE M 4 (b ), B D s tra te g ic p rio ritie s I a n d II, C C s tra te g ic p rio rity S 4 ,
a n d S L M p rio rity I id e n tifie d in S tra te g ic B u sin e ss P la n n in g : D ire c tio n a n d T a rg e ts.
2 .2 P ro ject co m p o n en ts a n d ex p ected resu lts
7 7 . T h e p ro je c t w ill im p le m e n t in te r-re la te d a c tiv itie s to re a c h f o u r m a jo r O u tc o m e s (i.e .
c o m p o n e n ts ): (i) F u lly d e v e lo p e d in s titu tio n a l m e c h a n is m f o r a s se ss m e n t o f
e c o s y s te m f u n c tio n s a n d p la n n in g f o r E c o s y s te m F u n c tio n C o n s e rv a tio n A re a s in th e
u p p e r Y a n g tz e b a s in ; (ii) E s ta b lis h e d e c o s y s te m -f u n c tio n -b a s e d M o n ito rin g a n d E a rly
W a rn in g S y s te m (M E W S ) in th e u p p e r Y a n g tz e b a sin ; (iii) D e m o n s tra te d e f fic ie n c y
a n d e ff e c tiv e n e ss in a c h ie v in g g lo b a l e n v iro n m e n ta l b e n e f its a n d lo c a l e n v iro n m e n ta l
a n d s o c io -e c o n o m ic b e n e fits b y ta k in g a n IE M a p p ro a c h in th e B a o x in g d e m o site ,
a n d (iv ) D e m o n s tra te d e ff ic ie n c y a n d e ff e c tiv e n e ss in a c h ie v in g g lo b a l e n v iro n m e n ta l
b e n e f its a n d lo c a l e n v iro n m e n ta l a n d s o c io -e c o n o m ic b e n e f its b y ta k in g a n IE M
a p p ro a c h in th e L a o ju n s h a n d e m o s ite . T o a c h ie v e e a c h O u tc o m e , th e p ro je c t w ill
c o m p le m e n t B a se lin e in v e s tm e n ts to p ro d u c e a s u sta in a b le A lte rn a tiv e w ith g lo b a l
e n v iro n m e n ta l, a n d lo c a l e n v iro n m e n ta l a n d so c io -e c o n o m ic b e n e fits.
7 8 . O u tc o m e 1 . F u lly d e v e lo p e d in s titu tio n a l m e c h a n is m fo r a ss e s s m e n t o f e c o s y s te m
fu n c tio n s a n d p la n n in g fo r E c o s y s te m F u n c tio n C o n s e r v a tio n A r e a s in th e u p p e r
Y a n g tz e b a s in . T o ta l C o s t $ 2 ,3 7 8 ,5 0 0 (G O C $ 1 ,9 0 3 ,5 0 0 , G E F $ 4 7 5 ,0 0 0 ). T h e
p ro je c t w ill a d d to th e e ff o rts o f th e G O C to a ss e s s a n d p la n f o r th e e s ta b lis h m e n t o f
E F C A s in th e u p p e r b a sin o f th e Y a n g tz e R iv e r. T h e a ss e s s m e n ts w ill a llo w
e s ta b lis h m e n t o f p ro v in c ia l a n d n a tio n a l le v e l E F C A s in th e w h o le b a s in . T h e o v e ra ll
a s se ss m e n t w ill b e o n a s c a le o f 1 : 1 ,0 0 0 ,0 0 0 a n d w ill p ro d u c e re p o rts a n d m a p s f o r a
ra n g e o f e c o s y s te m f u n c tio n s, a n d a n in te g ra te d re c o m m e n d a tio n o n E F C A s to m e e t
m u ltip le o b je c tiv e s. C o s ts re f le c t th a t E F C A s c a n p ro v id e n a tio n a l a s w e ll a s g lo b a l
e n v iro n m e n ta l b e n e f its. T h e a ss e ss m e n t w ill in c lu d e b a s e lin e e c o s y s te m f u n c tio n s,
s u c h a s w a te r re te n tio n c a p a c ity , se d im e n t re te n tio n c a p a c ity , a n d re d u c tio n o f s o il
lo s s. In a d d itio n , th e re w ill b e a n in v e n to r y o f la n d u se p a tte rn s in c lu d in g a g r ic u ltu re ,
fo re stry , f is h in g , e n e r g y u se , a n d c u ltiv a tio n o n s te e p s lo p e s. T h e e v a lu a tio n w ill a ls o
in c lu d e p o p u la tio n d e n s ity a n d d is trib u tio n . T h e G O C w ill c o v e r in f ra s tru c tu re a n d
tra in in g c o s ts to c a rry o u t th e b a s e lin e a ss e s s m e n t, in c lu d in g c o m p u te rs, sa te llite
im a g e s, im a g e p ro c e s sin g h a rd w a re a n d s o f tw a re , G IS , b a s ic d a ta b a s e s a n d m a p s,
v e h ic le s, fie ld e q u ip m e n t, e tc .
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7 9 . T h e G E F w ill c o n trib u te to th e c o s ts o f a s se ss in g g lo b a lly s ig n if ic a n t b io d iv e rs ity
b e n e f its a n d p o te n tia l c a rb o n s e q u e stra tio n b e n e f its . B o th p o te n tia l c a rb o n g a in s a n d
b io d iv e rs ity w ill b e a s s e ss e d u sin g s a te llite im a g e s a n d s o f tw a re . S e le c te d g ro u n d
s u rv e y s w ill a llo w f o r c a lib ra tio n o f re m o te s e n sin g re s u lts . S o m e tra in in g w ill a ls o b e
c o n d u c te d . E x is tin g s u rv e y s b y W W F a n d o th e r a g e n c ie s w ill h e lp th e s e a s se s s m e n ts .
T h e G E F w ill c o n trib u te to th e c o sts o f in te g ra tin g a ll in f o rm a tio n in to a
c o m p re h e n s iv e re p o rt a p p ro p ria te f o r in te g ra te d d e c is io n -m a k in g , a n d w ill c o n trib u te
to d isse m in a tin g th is in fo rm a tio n a m o n g n a tio n a l a n d p ro v in c ia l g o v e rn m e n ts.
8 0 . T h e se g o a ls w ill b e a c h ie v e d w h ile c o n d u c tin g th e fo llo w in g a c tiv itie s:
8 1 . A c tiv ity 1 .1 . A s s e ss e c o s y s te m f u n c tio n s re le v a n t to n a tu re c o n s e rv a tio n a n d f lo o d
c o n tro l. (G E F $ 1 1 5 ,0 0 0 ; G O C $ 8 5 3 ,5 0 0 ). T h e p ro je c t w ill u s e re m o te s e n s in g a n d
fie ld s u r v e y s to o b ta in d a ta o n k e y in d ic a to rs o f w a te r re te n tio n , s o il e ro s io n ,
b io d iv e rsity , c a rb o n se q u e stra tio n , a n d la n d u se p a tte rn s a n d m a p th e se v a ria b le s.
8 2 . A c tiv ity 1 .2 . A ss e ss th re a ts to , a n d ro o t c a u s e s f o r d e g ra d a tio n o f e c o s y s te m f u n c tio n s
a n d e c o n o m ic a lly e v a lu a te s th e e c o s y s te m f u n c tio n s. (G E F $ 8 2 ,0 0 0 ; G O C $ 2 3 3 ,5 0 0 ).
T h e p ro je c t w ill id e n tif y a n d m a p m a in e c o lo g ic a l th re a ts to , a n d ro o t c a u se s f o r
d e g ra d a tio n o f e c o s y s te m f u n c tio n s in d if fe re n t a re a s. S p e c ia l e ff o rt w ill le a d to
u n ra v e lin g o f th e lin k a g e s b e tw e e n th re a ts a n d th e ir ro o t c a u se s to s o c ia l s u rv e y s a n d
s o c io -e c o n o m ic a n a ly s e s. A ss e ss m e n t o f e c o n o m ic v a lu e s o f a ll e c o s y s te m f u n c tio n s
w ill p ro v id e d e c isio n - m a k e rs w ith n e c e ss a ry in f o rm a tio n f ro m a n e c o n o m ic
p e rsp e c tiv e .
8 3 . A c tiv ity 1 .3 . P re s e n t in te g ra te d a ss e s s m e n t o f e c o s y s te m f u n c tio n s. (G E F $ 2 3 ,0 0 0 ;
G O C $ 6 9 ,0 0 0 ). T h e p ro je c t w ill c o m p ile a n d in te g ra te d ig ita l in f o rm a tio n f ro m
A c tiv itie s 1 .1 a n d 1 .2 a n d p ro v id e in te g ra te d , w e ig h te d m a p s.
8 4 . A c tiv ity 1 .4 . R e c o m m e n d n e w E c o s y s te m F u n c tio n C o n s e rv a tio n A re a s . (G E F
$ 1 5 5 ,0 0 0 ; G O C $ 4 5 7 ,5 0 0 ). T h e a c tiv ity w ill in c lu d e p re p a ra tio n a n d p u b lic a tio n o f a
re p o rt b a la n c in g th e v a rio u s a sse ssm e n ts a n d p ro p o sin g lo c a tio n o f E F C A s.
8 5 . A c tiv ity 1 .5 . D iss e m in a te a n d in itia te re p lic a tio n o f re s u lts. (G E F $ 1 0 0 ,0 0 0 , G O C
$ 2 9 0 ,0 0 0 ). T h e p ro je c t w ill p ro d u c e re p o rts, m a p s a n d o th e r m e a n s to d iss e m in a te th e
re su lts th ro u g h o u t a n d o u tsid e C h in a .
8 6 . A t th e e n d o f th e p ro je c t, th e G O C w ill h a v e a n in te g ra te d d o c u m e n t, w ith m a p s a t a
sc a le o f 1 :1 ,0 0 0 ,0 0 0 , o n th e d is trib u tio n o f re le v a n t e c o s y s te m f u n c tio n s, th re a ts a n d
ro o t c a u s e s in th e u p p e r b a s in , a n d a s e t o f re c o m m e n d a tio n s o n th e lo c a tio n o f f u tu re
E F C A s . T h e n a tio n a l a n d p ro v in c ia l g o v e rn m e n ts in fu rth e r d e v e lo p in g E F C A s in th e
u p p e r b a sin o f th e Y a n g tz e R iv e r a n d e lse w h e r e w ill u s e th is p ro p o s a l a n d its
m e th o d o lo g ie s.
8 7 . O u tc o m e 2 : E s ta b lis h e d e c o s y s te m -fu n c tio n -b a s e d M o n ito r in g a n d E a r ly
W a r n in g S y s te m (M E W S ) in th e u p p e r Y a n g tz e b a sin . T o ta l C o s t $ 3 ,4 6 6 ,2 5 0
(G O C $ 2 ,8 4 5 ,2 5 0 , T N C $ 1 5 0 , 0 0 0 , G E F $ 4 7 1 ,0 0 0 ). T h e p ro je c t w ill s u p p o rt e ffo rts
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b y th e G O C to e s ta b lis h a M o n ito rin g a n d E a rly W a rn in g S y s te m (M E W S ) f o c u s e d
o n e c o s y s te m f u n c tio n s in E F C A s a n d e x is tin g p ro te c te d a re a s in th e u p p e r b a sin .
T h e s e e ff o rts o f th e G O C to b u ild th e s y s te m w ill u s e e x is tin g m o n ito rin g s ta tio n s
h a n d le d b y v a rio u s m in is trie s, a n d th e p ro je c t w o u ld o n ly c o m p le m e n t th e se e ff o rts a s
n e c e ss a ry to s e c u re g lo b a l e n v iro n m e n ta l b e n e f its. T h e g o a l is n o t to d u p lic a te th e
e x is tin g e a rly w a rn in g s y s te m f o r f lo o d s, b u t to c re a te a s y s te m th a t w ill a le rt
d e c is io n -m a k e rs o f g a in s a n d lo ss e s, a n d b a la n c e s o f k e y e c o s y s te m f u n c tio n s in th e
s y s te m o f E F C A s in th e u p p e r b a sin o f th e Y a n g tz e R iv e r. In y e a r tw o , M E W S w ill
d e v e lo p h a b ita t q u a lity , n a tiv e v e g e ta tio n c o v e r a n d o th e r in d ic e s th a t w ill f a c ilita te
in te g ra te d m a n a g e m e n t o f E F C A s.
8 8 . M E W S w ill n o t b e a b le to p ro v id e a ll in f o rm a tio n n e e d e d b y d e c isio n - m a k e rs , b u t
w ill b e a b le to w a rn th e m o f tre n d s th a t la te r ta rg e te d re s e a rc h c a n c o m p le m e n t a n d
v e rif y . M E W S w ill b e a n a d a p tiv e m a n a g e m e n t to o l th a t e v o lv e s w ith th e n e e d s o f
m a n a g e rs. T h e p ro je c t w ill m a k e a s p e c ia l e ff o rt to d e v e lo p M E W S in c lo s e
c o n n e c tio n w ith th e p a rtic ip a to ry IE M a n d c o n se r v a tio n p la n s d e v e lo p e d a n d
a p p ro v e d fo r e a c h o n e o f th e tw o E F C A s d e m o site s (A c tiv ity 3 .2 , 4 .2 ).
8 9 . M E W S w ill b e a d a p te d to th e n e e d s o f d e c is io n -m a k e rs a n d w ill g ro w in p a ra lle l w ith
th e E F C A s s y s te m . D u rin g th e lif e o f th e p ro je c t, it w ill b e e sta b lis h e d a n d u se d in
d e c is io n -m a k in g in th e tw o d e m o n s tra tio n s ite s. D u rin g th e p ro je c t, c o sts a n d o u tp u ts
o f M E W S p e r site /p e r y e a r w ill b e re fin e d .
9 0 . M E W S w ill p ro v id e in f o rm a tio n a t a s c a le o f 1 : 1 ,0 0 0 ,0 0 0 f o r th e w h o le u p p e r b a s in
o f th e Y a n g tz e R iv e r a n d 1 :1 0 0 ,0 0 0 f o r tw o d e m o s ite s. F o r d e m o m a n a g e m e n t,
M E W S w ill p ro v id e a n n u a l in f o rm a tio n . M E W S w ill in c lu d e b a s ic in f o rm a tio n
re la te d to f u n c tio n s o f p rim a rily n a tio n a l in te re s t, s u c h a s p o p u la tio n in th e ta rg e t a re a
a n d in th e s u rro u n d in g 1 0 k m b e lts, ra in f a ll a n d te m p e ra tu re (in c lu d in g d a ily
m a x im u m ), ru n -o ff, la n d u s e , a n d G D P . It w ill a ls o in c lu d e c o v e r b y n a tu ra l a n d
a g ric u ltu ra l v e g e ta tio n , f o re s t c o v e r, g ra ss la n d c o v e r a n d p ro d u c tiv ity , s u rfa c e a re a o f
d e g ra d e d g ra ss la n d s, q u a n tity a n d ty p e s o f liv e s to c k , f ire w o o d c o n s u m p tio n ,
c u ltiv a tio n o n s lo p e s, s o il e ro s io n a n d s e d im e n ts lo a d s, s u rf a c e a re a s th a t u n d e rw e n t
re f o re s ta tio n , lo g g in g a re a s, c o m m e rc ia l lo g g in g a re a s, e n e rg y u s e s tru c tu re ,
in d u stria l s tru c tu re , a n d e x te n t a n d q u a lity o f w ild life h a b ita t. T h is b a s ic in f o rm a tio n
w ill a llo w c a lc u la tio n o f th e f o llo w in g e c o s y s te m f u n c tio n s: c a p a c ity to re g u la te
w a te r re te n tio n , c a p a c ity to re ta in s e d im e n ts, c a p a c ity to p ro te c t g lo b a lly s ig n if ic a n t
w ild life , c a rb o n s e q u e s te rin g c a p a c ity , a n d a n e s tim a te o f th e te n d e n c y o f th re a ts to
th e d e liv e r y o f th e se e c o s y s te m f u n c tio n s. T h e f irs t tw o M E W S re p o rts, in y e a rs f o u r
a n d fiv e , w ill a llo w fe e d b a c k fro m th e E F C A m a n a g e rs a n d th u s its first a d ju stm e n ts.
9 1 . M E W S w ill u se s a te llite im a g e s a n d s e le c te d g r o u n d v e rif ic a tio n . T h e G O C w ill
c o v e r th e c a p ita l, tra in in g a n d ru n n in g e x p e n s e s re la te d to b a se lin e c o s ts, in c lu d in g
sta ff s a la rie s, c o m p u te rs, sa te llite im a g e s , im a g e p r o c e s sin g h a rd w a re a n d s o ftw a re ,
G IS , b a s ic d a ta b a s e s a n d m a p s, c a rs, f ie ld e q u ip m e n t, e tc . D u rin g p ro je c t e x e c u tio n ,
th e G E F w ill c o n trib u te to c o v e r e x p e n s e s re la te d to b io d iv e rs ity c o n s e rv a tio n
( w ild lif e h a b ita t q u a n tity a n d q u a lity ), c a rb o n se q u e stra tio n , a n d in te g r a tio n o f
in f o rm a tio n f o r d e c is io n -m a k e rs. A f te r p ro je c t c o m p le tio n , th e G O C w ill c o v e r a ll
c o sts fo r c o n tin u in g M E W S .
9 2 . T h e p ro je c t w ill a c h ie v e th o se g o a ls w h ile c a rry in g o u t th e fo llo w in g a c tiv itie s:
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9 3 . A c tiv ity 2 .1 . E s ta b lis h te c h n ic a l c a p a c itie s f o r M E W S in th e u p p e r b a s in . (G E F
$ 2 1 1 ,0 0 0 ; G O C $ 1 ,7 6 4 ,5 0 0 ). A c tiv itie s w ill in c lu d e c o n stru c tio n o f d a ta b a se s,
d e v e lo p m e n t o f e c o lo g ic a l m o n ito rin g m o d e ls, d e v e lo p m e n t o f a n e a rly w a rn in g
s y s te m in c o o rd in a tio n w ith th e tw o d e m o s , re c ru itm e n t a n d tra in in g o f s ta ff ,
p u rc h a s in g o f v e h ic le s, s o ftw a re , a n d c o m p u te rs fo r G IS im a g e p ro c e ss in g , a n d
g ro u n d v e rific a tio n .
9 4 . A c tiv ity 2 .2 . E s ta b lis h c a p a c itie s f o r M E W S a t th e B a o x in g a n d L a o ju n s h a n
d e m o n s tra tio n s ite s. (G E F $ 1 3 9 ,0 0 0 ; G O C $ 3 9 7 ,7 5 0 ; T N C $ 1 0 0 ,0 0 0 ). A c tiv itie s
in c lu d e th e p ro v is io n o f o ff ic e s, h irin g o f s ta ff, p u rc h a s e o f c o m p u te rs, tra in in g ,
e s ta b lis h m e n t o f e c o lo g ic a l m o n ito rin g m o d e l, a n d c o n stru c tio n o f d a ta b a se s,
d e v e lo p m e n t o f re m o te s e n s in g -b a s e d in d ic e s o n e c o s y s te m f u n c tio n s a n d o f
m a n a g e m e n t in d ic e s f o r in te g ra te d e c o lo g ic a l m a n a g e m e n t, a n d c o o rd in a tio n w ith th e
tw o d e m o s.
9 5 . A c tiv ity 2 .3 . R e p o rt o n E c o s y s te m f u n c tio n m o n ito rin g a t th e d e m o n s tra tio n site s f o r
y e a rs 4 a n d 5 , a n d in itia te re p lic a tio n o f th e d e m o -le v e l M E W S . (G E F $ 1 2 1 ,0 0 0 ;
G O C $ 6 8 3 ,0 0 0 , T N C $ 5 0 ,0 0 0 ). B y th e e n d o f y e a rs f o u r a n d f iv e , M E W S w ill
p ro d u c e in te g ra te d re p o rts f o r u s e in in te g ra te d re s o u rc e m a n a g e m e n t a t th e tw o
d e m o s.
9 6 . A t th e e n d o f th e p ro je c t, th e G O C w ill h a v e a f u lly d e v e lo p e d M E W S d e sig n f o r
u p p e r b a s in E F C A s . M E W S w ill a ls o b e f u lly f u n c tio n a l a n d p ro v id in g in te g ra te d
re p o rts u s e f u l f o r th e m a n a g e m e n t o f th e tw o d e m o s . M E W S w ill b e a n e v o lv in g
w o rk in g to o l f o r th e m a n a g e m e n t o f th e tw o d e m o s. A s n e w E F C A s a re e s ta b lis h e d ,
th e y w ill b e a b le to jo in th e M E W S .
9 7 . O u tc o m e 3 . D e m o n s tr a te d e ffic ie n c y a n d e ffe c tiv e n e ss in a c h ie v in g g lo b a l
e n v ir o n m e n ta l b e n e fits a n d lo c a l e n v ir o n m e n ta l a n d s o c io -e c o n o m ic b e n e fits b y
ta k in g a n in te g r a te d e c o s y s te m m a n a g e m e n t a p p r o a c h in th e B a o x in g
d e m o n s tr a tio n s ite . T o ta l C o s t $ 1 0 ,3 6 5 ,8 0 0 (G E F $ 1 ,2 4 7 ,4 0 0 ; G O C $ 9 ,1 1 8 ,4 0 0 ).
T h e c o n trib u tio n o f th e G O C w ill o rig in a te a s n e w in v e s tm e n ts a n d a s m o d if ie d
b a s e lin e in v e s tm e n ts to e n s u re g lo b a l b e n e f its. T h e p ro je c t w ill im p le m e n t IE M ,
p ro d u c e lo c a l b e n e f its, e n s u re p ro te c tio n o f g lo b a lly s ig n ific a n t b io d iv e rs ity u s in g
g ia n t p a n d a a s a n u m b re lla s p e c ie s, a n d in c re a s e c a rb o n g a in s /re d u c e e m is s io n s o f
2 2 ,9 5 0 to n s C c o m p a re d w ith th e b a se lin e . B io d iv e rs ity b e n e f its w ill a rise f ro m
stre n g th e n in g o f th e c u rre n t p ro te c te d a re a s, c re a tin g b u ffe r z o n e s a n d c o rrid o rs
a m o n g tw o o f th e m a n d m e a s u re s to p ro te c t th e o v e ra ll b io d iv e rs ity in th e a re a (s e e
A n n e x G ). U n d e r th is o u tc o m e , th e p ro je c t w ill s p e n d $ 3 ,1 0 9 ,6 0 0 p ro v id in g
a d d itio n a l s o u rc e s o f in c o m e f o r lo c a l fa rm e rs, a llo w in g c o n v e rs io n f ro m a la n d -
d e g ra d in g life s ty le to o n e o f e c o s y s te m c o n s e rv a tio n a n d s u sta in a b le re s o u rc e u s e . T o
se c u re th is o u tc o m e , th e p ro je c t w ill c o n d u c t th e fo llo w in g a c tiv itie s:
9 8 . A c tiv ity 3 .1 . E s ta b lis h a n in s titu tio n a l f ra m e w o rk f o r IE M a t th e B a o x in g
d e m o n s tra tio n s ite . (G E F $ 3 4 7 ,1 0 0 ; G O C $ 1 0 0 ,2 0 0 ). T h e p ro je c t w ill e sta b lis h a
L o c a l S te e rin g C o m m itte e ( L S C ) w ith re s p o n sib ilitie s in p ro je c t e x e c u tio n a t th e s ite
a n d in in te g ra te d e c o s y s te m m a n a g e m e n t a n d c o n se rv a tio n . G o v e rn o rs o f S ic h u a n
P ro v in c ia l G o v e rn m e n t w ill le a d th e L S C a n d w ill h a v e h ig h -le v e l p a rtic ip a tio n o f
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c ritic a l p ro v in c ia l-le v e l a u th o ritie s. R a th e r th a n h a v in g a c o m p le te ly n e w c o m m itte e
fo rm e d , th e e x is tin g p ro v in c ia l-le v e l E F C A E v a lu a tio n G ro u p o f S ic h u a n w ill a c t a s
th e c o re g r o u p f o r th e L S C . T h is G ro u p is c o m p o s e d o f re p re se n ta tiv e s a t th e D e p u ty
D ire c to r le v e l f ro m th e v a rio u s p ro v in c ia l b u re a u s c o n c e rn e d , in c lu d in g p la n n in g
b u re a u , f in a n c e b u re a u , e n v iro n m e n ta l p ro te c tio n b u re a u , b u re a u o f la n d a n d
re s o u rc e s, b u re a u o f c o n stru c tio n , b u re a u o f w a te r re s o u rc e s , b u re a u s o f f o re s try a n d
a g ric u ltu re . B e sid e s th e s e c o re m e m b e rs, th e L S C w ill a ls o in c lu d e re p re s e n ta tiv e s
fro m N G O s a n d th e lo c a l c o m m u n itie s. T h e L o c a l S te e rin g C o m m itte e 's ro le is to
m o b iliz e a n d c o o rd in a te in p u t a n d c o n trib u tio n s f ro m th e v a rio u s d e p a rtm e n ts a t th e
lo c a l le v e l, a n d s u p e r v is e th e e x e c u tio n o f th e d e m o n s tra tio n c o m p o n e n t o f th e
p ro je c t.
9 9 .
A fte r p ro je c t e x e c u tio n , th e L S C w ill b e c o m e th e p e rm a n e n t In te g ra te d E c o s y s te m
M a n a g e m e n t a n d C o n se rv a tio n C o m m itte e (IE M C C ) w ith th e re s p o n s ib ility to g u id e
a n d c o o rd in a te a ll p ro g ra m s th a t d ire c tly o r in d ire c tly a ff e c t th e e c o s y s te m f u n c tio n s in
th e E F C A . D u rin g th e p r o je c t e x e c u tio n , th e P ro v in c ia l G o v e rn o r, S E P A a n d th e L S C
w ill a p p ro v e th e f u n c tio n s o f th e C o m m itte e . T h e C o m m itte e w ill p e rio d ic a lly re c e iv e
in fo rm a tio n fro m th e M E W S a n d a c t a c c o rd in g ly .
1 0 0 . A s m a ll p ro je c t o ffic e sta ff e d w ith a p ro je c t m a n a g e r (re s p o n s ib le f o r th e tim e ly
d e liv e ry o f a ll E F C A d e m o o u tp u ts ), a te c h n ic a l a s sis ta n t (re s p o n sib le f o r p ro v id in g
te c h n ic a l s u p p o rt to th e m a n a g e r a n d f a c ilita te e d u c a tio n a l p ro g ra m s ) a n d a n
a d m in is tra tiv e a s s is ta n t, w ill b e e s ta b lis h e d a n d e q u ip p e d . T h e p ro je c t o ff ic e w ill b e in
c h a rg e o f d a ily b u sin e ss o f e x e c u tin g th e p ro je c t a n d w ill b e in d ire c t c o m m u n ic a tio n
w ith th e p ro v in c ia l p ro je c t c o o rd in a to r.
1 0 1 . A c tiv ity 3 .2 . D e v e lo p a p a rtic ip a to r y IE M p la n f o r p u b lic a c c e p ta n c e , a n d s tre n g th e n
ru le s a n d re g u la to r y f ra m e w o rk . (G E F $ 1 0 0 ,0 0 0 ; G O C $ 1 6 1 ,6 0 0 ). A n p a rtic ip a to r y
IE M p la n f o r th e E F C A w ill b e d ra f te d a n d a p p ro v e d b y L S C b y th e e n d o f y e a r o n e ,
a n d w ill b e a m e n d e d b a s e d o n th e re s u lts o f M E W S a n d f u lly a p p ro v e d b y L S C b y th e
e n d o f y e a r f o u r. (G O C $ 4 1 ,6 0 0 ). T h is p la n w ill e s ta b lis h th e z o n in g a n d a d a p tiv e
m a n a g e m e n t p la n s f o r a ll z o n e s in th e E F C A ta k in g in to c o n s id e ra tio n th e v a rio u s
n e e d s a n d th e c o n s e rv a tio n o f e c o s y s te m f u n c tio n s. T h e p ro je c t o ffic e w ill k e e p
M E W S in fo rm e d o f its d e v e lo p m e n t o n a m o n th ly b a sis.
1 0 2 . In C h in a , re s o u rc e m a n a g e m e n t h a s tra d itio n a lly b e e n s e c to r b a se d . T h e p ro je c t w ill
a n a ly z e e x istin g ru le s a n d re g u la tio n s a t th e S ic h u a n P ro v in c e le v e l to d e te rm in e w h a t
c h a n g e s a re n e e d e d . It w ill a ls o m a k e re c o m m e n d a tio n s f o r m o d if ic a tio n to th e s e ru le s
a n d re g u la tio n s.
1 0 3 . A c tiv ity 3 .3 . M a in s tre a m e x is tin g s e c to r p ro g ra m s , in c lu d in g f o re s t m a n a g e m e n t a n d
q u a rry o p e ra tio n s. (G E F $ 1 3 5 ,0 0 0 ; G O C $ 5 ,2 8 4 ,0 0 0 ). D u rin g p ro je c t e x e c u tio n th e re
w ill b e 1 5 0 k m 2 m a n a g e d a s ru n -o ff a re a s. T h e p ro je c t w ill re v is e th e e x is tin g p la n s to
m a k e th e m f rie n d lie r to w a rd s g lo b a l e n v iro n m e n ta l v a lu e s. A m o n g a c tio n s e n v is io n e d
a t th is p o in t a re c h a n g e o f a f ra c tio n o f th e p la n ta tio n s to n a tiv e tre e s to im p ro v e h a b ita t
fo r w ild lif e , p la n tin g o f fru it tre e s n e a r p ro te c te d a re a s a s a liv e lih o o d o p tio n f o r
fa rm e rs a n d e s ta b lis h in g fire w o o d p la n ta tio n s a ro u n d v illa g e s . T h e f o re st p ro te c tio n
p ro g ra m in v o lv e s 8 2 0 h a a n d th e re -c o n v e rs io n o f slo p e f a rm la n d s to f o re s ts in v o lv e s
1 6 4 h a .
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1 0 4 . T h e re a re s e v e ra l q u a rrie s in th e E F C A . T h e G O C w ill d e te rm in e w h ic h o n e w ill b e
c lo s e d a n d w h ic h n e e d s te c h n o lo g ic a l im p ro v e m e n t. It w ill th e n in tro d u c e n e w
te c h n o lo g ie s to re d u c e th e e n v iro n m e n ta l im p a c ts o f th e se m in e s.
1 0 5 . A c tiv ity 3 .4 . S tre n g th e n P A s a n d e sta b lis h m e n t o f b u ff e r z o n e s a n d c o rrid o rs. (G E F
$ 4 3 3 ,7 0 0 ; G O C $ 2 ,0 0 0 ,0 0 0 ). T h e p ro je c t w ill stre n g th e n th e F e n g to n g z h a i, a n d
B a o x in g h e p ro te c te d a re a s. A t th e e n d o f th e p ro je c t, p ro te c te d a re a s w ill h a v e
in te g ra te d a n d p a rtic ip a to ry m a n a g e m e n t p la n s, tra in e d s ta ff, a n d b a s ic in f ra stru c tu re .
B a m b o o c o rrid o rs b e tw e e n F e n g to n g z h a i a n d L a b a h e p ro te c te d a re a s w ill b e
e s ta b lis h e d a n d m a n a g e d a s g ia n t p a n d a 's h a b ita t. B u ff e r z o n e s a ro u n d th e p ro te c te d
a re a s w ill b e e s ta b lis h e d a n d m a n a g e d a c c o rd in g ly . P ro v is io n o f a lte rn a tiv e liv e lih o o d
w ill h e lp su p p o rt v illa g e rs liv in g in th e b u ffe r zo n e s.
1 0 6 . A c tiv ity 3 .5 . D e sig n a n d p ro v id e A lte rn a tiv e L iv e lih o o d s (A L ) a ro u n d P A s a n d o th e r
k e y a re a s. (G E F $ 2 0 ,0 0 0 ; G O C $ 1 ,4 0 0 ,0 0 0 ). T h e p ro je c t w ill d e v e lo p a n a lte rn a tiv e
liv e lih o o d p a c k a g e w ith th e f u ll p a rtic ip a tio n o f a ll lo c a l s ta k e h o ld e rs. It w ill a ls o
c o n d u c t th e p ilo t d e m o n stra tio n o f e c o -to u ris m a n d a g ro -to u ris m p ro je c ts a ro u n d
F e n g to n g z h a i a n d J ia jin M o u n ta in , a n d p la n t b a m b o o . T h e p ro je c t w ill a ls o c a p a c ita te
lo c a l s ta k e h o ld e rs f o r th e d e v e lo p m e n t a n d m a n a g e m e n t o f a lte rn a tiv e liv e lih o o d s.
A n y e x istin g S a c re d N a tu ra l S ite s w ill b e g iv e n a tte n tio n .
1 0 7 . T h e to ta l G O C s u p p o rt f o r a lte rn a tiv e s o u rc e s o f in c o m e a t th e B a o x in g d e m o s ite is
c o m p o s e d o f c o n trib u tio n s u n d e r A c tiv ity 3 .5 a n d u n d e r A c tiv ity 3 .3 , to ta lin g
$ 3 ,1 0 9 ,6 0 0 . A c tiv ity 3 .3 in c lu d e s $ 7 2 5 ,6 0 0 f o r s u s ta in a b le f o re s try d e v e lo p m e n t,
$ 3 8 8 ,0 0 0 f ro m th e n a tu ra l f o re s ts p ro te c tio n p ro g r a m , a n d $ 5 9 6 ,0 0 0 to p la n t b a m b o o
a n d f ru it tre e s. A ll th e s e p ro g ra m s w ill p ro v id e a d d itio n a l b io d iv e rs ity -f rie n d ly in c o m e
to lo c a l fa rm e rs, h e lp re d u c e la n d d e g ra d a tio n , a n d c o n se rv e e c o sy ste m fu n c tio n s.
1 0 8 . A c tiv ity 3 .6 . R a ise p u b lic a w a re n e s s, a n d d iss e m in a te th e d e m o n s tra tio n v a lu e s. (G E F
$ 2 1 1 ,6 0 0 ; G O C $ 1 7 2 ,6 0 0 ). U n d e r th is c o m p o n e n t, lo c a l c o m m u n itie s w ill b e in f o rm e d
a b o u t a p p ro a c h e s fo r th e m a n a g e m e n t o f th e E F C A , its e c o s y s te m f u n c tio n s a n d th e ir
v a lu e s. T h e p ro je c t w ill p re p a re a n d d e liv e r a tra in in g s y lla b u s a n d m a te ria ls fo r 1 ,0 0 0
sc h o o l c h ild re n , f a rm e rs, g o v e rn m e n t a u th o ritie s , a n d v a rio u s m a n a g e rs, in c lu d in g a ll
a g e n c ie s re p re s e n te d in th e IE M C C . A t th e e n d o f th e p ro je c t, a se rie s o f w o rk s h o p s
a n d se le c te d v isits to B a o x in g w ill p ro m o te its re p lic a tio n .
1 0 9 . A t th e e n d o f th e p ro je c t, th e B a o x in g E F C A w ill b e f u lly f u n c tio n a l a n d h a v e a
m a n a g e m e n t p la n a n d a m a n a g e m e n t stru c tu re e n s u rin g f u tu re s u s ta in a b ility a n d th e
p ro te c tio n o f lo c a l a s w e ll a s g lo b a l e n v iro n m e n ta l b e n e fits.
1 1 0 . O u tc o m e 4 . D e m o n s tr a te d e ffic ie n c y a n d e ffe c tiv e n e ss in a c h ie v in g g lo b a l
e n v ir o n m e n ta l b e n e fits a n d lo c a l e n v ir o n m e n ta l a n d s o c io -e c o n o m ic b e n e fits b y
ta k in g a n in te g r a te d e c o s y s te m m a n a g e m e n t a p p r o a c h in th e L a o ju n s h a n
d e m o n s tr a tio n site . T o ta l C o s t $ 9 ,0 3 3 ,6 7 6 (G E F $ 9 1 8 ,2 6 0 ; G O C $ 5 ,7 7 3 ,0 0 6 ; T N C
$ 2 ,3 4 2 ,4 1 0 ). T h e c o n trib u tio n o f th e G O C w ill o rig in a te a s n e w in v e s tm e n ts a n d a s
m o d if ie d b a s e lin e in v e s tm e n ts to e n s u re g lo b a l e n v iro n m e n ta l b e n e fits. T h e p ro je c t
w ill im p le m e n t IE M , p ro d u c e lo c a l b e n e fits, e n s u re p ro te c tio n o f g lo b a lly s ig n if ic a n t
b io d iv e rs ity , a n d in c re a s e c a rb o n g a in s /re d u c e e m is sio n s e q u iv a le n t to 1 0 9 ,3 3 7 to n s C
c o m p a re d w ith th e b a s e lin e . B io d iv e rs ity b e n e f its w ill a ris e f ro m c re a tin g h a b ita t f o r
Y u n n a n G o ld e n M o n k e y a s a n u m b re lla s p e c ie s. T h e p ro je c t w ill c re a te a n e w n a tu re
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re s e rv e a n d s u p p o rt m e a s u re s to c o n s e rv e th e o v e ra ll b io d iv e rs ity a t th is s ite (se e a n n e x
G ). U n d e r th is o u tc o m e , th e p ro je c t w ill s p e n d $ 3,405,291 p ro v id in g a d d itio n a l s o u rc e s
o f in c o m e f o r lo c a l fa rm e r s, a llo w in g c o n v e rs io n f ro m a la n d -d e g ra d in g lif e s ty le to o n e
o f e c o s y s te m c o n s e rv a tio n a n d s u sta in a b le re s o u rc e u se . T o s e c u re th is o u tc o m e , th e
p ro je c t w ill c o n d u c t th e fo llo w in g a c tiv itie s:
1 1 1 . A c tiv ity 4 .1 . E s ta b lis h a n in s titu tio n a l f ra m e w o rk f o r IE M a t th e L a o ju n s h a n
d e m o n s tra tio n s ite . (G E F $ 3 2 7 ,1 0 0 ; G O C $ 1 ,6 5 7 ,0 9 8 ; T N C $ 5 ,0 0 0 ). T h e p r o je c t w ill
e s ta b lis h a L o c a l S te e rin g C o m m itte e (L S C ) w ith re s p o n s ib ilitie s o f p ro je c t e x e c u tio n
in th e s ite a n d in te g ra te d e c o s y s te m m a n a g e m e n t a n d c o n se rv a tio n . G o v e rn o r o f
Y u n n a n P ro v in c ia l G o v e r n m e n t w ill le a d th e L S C . It w ill h a v e h ig h -le v e l p a rtic ip a tio n
o f p ro v in c ia l-le v e l a u th o ritie s. In L a o ju n s h a n , ra th e r th a n f o rm in g a fu lly n e w
c o m m itte e , th e e x is tin g p ro v in c ia l-le v e l E F C A s E v a lu a tio n G ro u p o f Y u n n a n P ro v in c e
w ill a c t a s th e c o re g ro u p o f th e L S C . T h is g r o u p is c o m p o s e d o f re p re se n ta tiv e s a t th e
D e p u ty D ire c to r le v e l f ro m th e v a rio u s p ro v in c ia l b u re a u s , in c lu d in g p la n n in g b u re a u ,
fin a n c e b u re a u , e n v iro n m e n ta l p ro te c tio n b u re a u , b u re a u o f la n d a n d re s o u rc e s, b u re a u
o f c o n s tru c tio n , b u re a u o f w a te r re s o u rc e s, b u re a u s o f f o re s try a n d a g ric u ltu re . B e s id e s
th e s e c o re m e m b e rs , th e L S C w ill a ls o in c lu d e re p re s e n ta tiv e s f ro m N G O s a n d th e
lo c a l c o m m u n itie s. T h e L o c a l S te e rin g C o m m itte e ' s ro le is to m o b iliz e a n d c o o rd in a te
in p u ts a n d c o n trib u tio n s f ro m th e v a rio u s d e p a rtm e n ts a t th e lo c a l le v e l, a n d s u p e r v is e
th e e x e c u tio n o f th e d e m o n stra tio n c o m p o n e n t o f th e p ro je c t.
1 1 2 . A fte r p ro je c t e x e c u tio n , th e L S C w ill b e c o m e th e p e rm a n e n t IE M C C w ith
re s p o n s ib ility to g u id e a n d c o o rd in a te a ll p ro g ra m s th a t d ire c tly o r in d ire c tly a ff e c t th e
e c o lo g ic a l f u n c tio n s o f th e E F C A s. D u rin g p ro je c t e x e c u tio n , th e P ro v in c ia l G o v e rn o r,
S E P A , a n d th e L S C w ill a p p ro v e th e f u n c tio n s o f th e C o m m itte e . T h e c o m m itte e w ill
p e rio d ic a lly re c e iv e in fo rm a tio n fro m th e M E W S a n d a c t a c c o rd in g ly .
1 1 3 . A s in B a o x in g , a s m a ll P ro je c t M a n a g e m e n t U n it (P M U ) s ta ffe d w ith a p ro je c t
m a n a g e r a n d te c h n ic a l a n d a d m in istra tiv e a s s is ta n ts w ill b e e s ta b lis h e d a n d e q u ip p e d .
T h e p ro je c t o ff ic e w ill b e in c h a r g e o f d a ily b u s in e ss o f e x e c u tin g th e p ro je c t a n d w ill
b e in d ire c t c o m m u n ic a tio n w ith th e p ro v in c ia l p ro je c t c o o rd in a to r.
1 1 4 . A c tiv ity 4 .2 . D e v e lo p a p a rtic ip a to r y IE M p la n f o r p u b lic a c c e p ta n c e a n d stre n g th e n
ru le s a n d re g u la to r y f ra m e w o rk s . (G E F $ 1 0 0 ,0 0 0 ; G O C $ 1 0 5 ,9 1 7 ; T N C $ 4 ,8 0 0 ). A
p a rtic ip a to ry IE M p la n f o r th e E F C A w ill b e d ra f te d a n d a p p ro v e d b y L S C b y th e e n d
o f y e a r o n e , a n d w ill b e a m e n d e d b a s e d o n th e re s u lts o f M E W S a n d f u lly a p p ro v e d b y
L S C b y th e e n d o f y e a r f o u r. T h is p la n w ill e sta b lis h th e z o n in g a n d a d a p tiv e
m a n a g e m e n t p la n s f o r a ll z o n e s in th e E F C A ta k in g in to c o n s id e ra tio n th e v a rio u s
n e e d s a n d th e c o n s e rv a tio n o f e c o s y s te m f u n c tio n s. T h e p ro je c t o ff ic e w ill in f o rm th e
M E W S o n d e v e lo p m e n ts o n a m o n th ly b a sis.
1 1 5 . In C h in a , re s o u rc e m a n a g e m e n t h a s tra d itio n a lly b e e n s e c to r b a se d . T h e p ro je c t w ill
a n a ly z e e x is tin g ru le s a n d re g u la tio n s a t th e Y u n n a n P ro v in c e le v e l to d e te rm in e w h a t
c h a n g e s a re n e e d e d . It w ill a ls o m a k e re c o m m e n d a tio n s f o r m o d if ic a tio n to th e s e ru le s
a n d re g u la tio n s.
1 1 6 . A c tiv ity 4 .3 . M a in s tre a m e x is tin g s e c to r p ro g ra m s, in c lu d in g f o re s try a n d e n e rg y
p ro g ra m s . (G E F $ 1 2 0 ,2 6 0 ; G O C $ 1 ,4 2 3 ,9 6 7 ; T N C $ 1 ,0 3 0 ,6 1 0 ). T h e p ro je c t w ill s e le c t
a p p ro p ria te n a tiv e s p e c ie s f o r f o re s ta tio n , e n s u re th e p la n tin g o f 3 ,5 0 0 h a o f tre e s to
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in c re a se h a b ita t a v a ila b ility f o r th e Y u n n a n G o ld e n M o n k e y a n d o th e r e n d a n g e re d
s p e c ie s, a n d re -c o n v e rt 5 8 9 h a o f a g ric u ltu ra l la n d s o n s te e p s lo p e s to f o r e s t la n d s
c o v e re d w ith n a tiv e sp e c ie s.
1 1 7 . E x tra c tio n o f fire w o o d is o n e o f th e th re a ts to g lo b a l e n v iro n m e n ta l a n d lo c a l v a lu e s
in th e E F C A . In c re a s e in e ff ic ie n c y in th e u s e o f s to v e s a n d p ro v id in g a lte rn a tiv e
s o u rc e s o f e n e rg y h a s, th e re f o re , im p o rta n t c o n s e q u e n c e s f o r th e o v e ra ll E F C A . T h e
p ro je c t w ill f u n d c o s t-e ff e c tiv e d e m o n s tra tio n s o f b io g a s p ro d u c tio n in 5 ,1 1 6
h o u s e h o ld s, a n d w ill p ro v id e , o n a d e m o b a sis , e n e rg y -s a v in g s to v e s f o r 8 ,7 2 5
h o u s e h o ld s. T h e s e tw o m e a s u re s w ill re d u c e f ire w o o d c a rb o n e m is s io n s fro m 1 0 2 ,3 2 0
to n s to 7 2 ,6 4 7 to n s in th e first 1 0 y e a rs.
1 1 8 . A c tiv ity 4 .4 . E s ta b lis h N e w P ro te c te d A re a s (P A s ). (G E F $ 2 1 1 ,3 5 0 ; G O C
$ 1 ,3 8 3 ,5 3 7 , T N C 3 0 0 ,0 0 0 ). T h e p ro je c t w ill e sta b lis h a n e w n a tu re re s e rv e f o r
s u s ta in a b le c o n s e rv a tio n o f th e Y u n n a n G o ld e n M o n k e y a n d a s s o c ia te d b io d iv e rs ity .
T h e m a n a g e m e n t o f th e c u rre n t w e tla n d n a tu re re se rv e w ill b e s tre n g th e n e d b y
m o d if y in g a n d im p ro v in g th e m a n a g e m e n t p la n , tra in in g s ta ff, a n d c o n stru c tin g
c o n s e rv a tio n -re la te d in f ra stru c tu re . T h e b la c k -n e c k e d c ra n e a n d a ss o c ia te d w e tla n d
b io d iv e rs ity w ill b e e ffe c tiv e ly p ro te c te d b y re -c o n v e rs io n o f 1 6 7 h a f a rm la n d s in to
w e tla n d s w ith in th e n a tu re re se rv e .
1 1 9 . A c tiv ity 4 .5 . D e s ig n a n d p ro v id e liv e lih o o d s (A L ) a ro u n d P A s a n d k e y a re a s. (G E F
$ 2 0 ,0 0 0 ; G O C $ 1 ,0 4 0 ,6 3 5 ; T N C $ 1 ,0 0 0 ,0 0 0 ). T h e p ro je c t w ill id e n tif y c ritic a l th re a ts
a n d s tra te g ie s to a b a te th e s e th re a ts th ro u g h a p ro c e s s o f s y s te m a tic c o n s e rv a tio n a re a
p la n n in g in v o lv in g a ll s ta k e h o ld e rs. T h e p ro je c t w ill im p le m e n t th re a t a b a te m e n t
a c tiv itie s to a d d re s s d ire c t th re a ts, s u c h a s ille g a l h u n tin g , h a b ita t d e stru c tio n , a n d
o v e r g ra z in g . T h e a lte rn a tiv e liv e lih o o d p a c k a g e w ill b e d e v e lo p e d a n d a m e n d e d b a s e d
o n th e re s u lts o f M E W S . P ilo t d e m o n s tra tio n o f e c o -to u ris m p ro je c t in a n d a ro u n d
L a o ju n s h a n E F C A , c a s h c ro p (a p p le tre e s, p e a r tre e s, p lu m tre e s , w a ln u ts , C h in e se
p e p p e rs , a n d m e d ic a l h e rb s ) p la n tin g , d e e r b re e d in g , a n d o rg a n ic k id n e y b e a n p la n tin g
w ill a ls o b e c o n d u c te d . T h e tra in in g p ro g ra m s w ill a ls o in c re a se th e c a p a c ity o f n a tu ra l
re s o u rc e p ro f e s sio n a ls a n d lo c a l s ta k e h o ld e rs. A n y e x is tin g S a c re d N a tu ra l S ite s w ill b e
g iv e n a tte n tio n .
120. T h e to ta l a m o u n t d e v o te d to im p ro v e m e n t o f th e liv e lih o o d o f lo c a l fa rm e rs is m o re
th a n th e a llo c a tio n u n d e r th e A c tiv ity o n A L . A t L a o ju n s h a n th e re w ill b e $1,040,635
from GOC and $1,000,000 from TNC under Activity 4.5; plus $1,364,656 from the GOC
under Activity 4.3 ($642,774 for the planting of multi-use trees, $96,646 under the slope
land re-conversion program, and $625,236 for energy programs). Thus, the total amount
devoted to improvement of livelihoods at this site will be $3,405,291.

1 2 1 . Activity 4.6. Improve public awareness and disseminate EFCA demonstration values.
(GEF $139,550; GOC $161,852; TNC $2,000). Under this most important component, local
c o m m u n itie s w ill b e in f o rm e d a b o u t a p p ro a c h e s f o r th e m a n a g e m e n t o f th e E F C A ,
w ild life in th e a re a , a n d e c o s y s te m f u n c tio n s a n d th e ir v a lu e s. T h e p ro je c t w ill p re p a re
a n d d e liv e r tra in in g s y lla b u s a n d m a te ria ls f o r 1 ,0 0 0 s c h o o l c h ild re n , fa rm e rs,
a u th o ritie s a n d v a rio u s m a n a g e rs, in c lu d in g a ll a g e n c ie s re p re s e n te d in th e IE M C C . A t
th e e n d o f th e p ro je c t, th e p ro je c t w ill o rg a n iz e a s e rie s o f w o rk s h o p s p ro m o tin g
re p lic a tio n a n d se le c te d v isits to se e th e E F C A .
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1 2 2 . A t th e e n d o f th e p ro je c t, th e L a o ju n s h a n E F C A w ill b e f u lly f u n c tio n a l a n d h a v e a
m a n a g e m e n t p la n a n d s tru c tu re e n s u rin g f u tu re s u sta in a b ility a n d th e p ro te c tio n o f
lo c a l a s w e ll a s g lo b a l e n v iro n m e n ta l b e n e fits.
S E C T IO N III. R IS K S A N D S U S T A IN A B IL IT Y
3 .1 R isk s.
1 2 3 . T h e k e y to th e s u c c e ss o f th is m u lti-d isc ip lin a ry in itia tiv e w ill b e th e a c tu a l le v e l o f
c ro s s -s e c to ra l c o o p e ra tio n , sta k e h o ld e r in v o lv e m e n t, a n d te c h n ic a l s u p p o rt re c e iv e d .
T h e a c tu a l le v e l o f c o o p e ra tio n o f v a rio u s m in is trie s w ith th is S E P A -le d in itia tiv e
c o u ld b e a m a jo r is s u e , b e c a u s e IE M re q u ire s in te r-s e c to ra l c o o p e ra tio n . T h e re is ,
h o w e v e r, a n in s tru c tio n f ro m th e S ta te C o u n c il a u th o riz in g S E P A to c o o rd in a te s u c h
in itia tiv e s. A s th e ris k m itig a tio n m e a s u re , d u rin g p ro je c t e x e c u tio n , th e In te r-
m in is te ria l C o o rd in a tin g O ffic e (IC O ) w ill c lo s e ly f o llo w u p s u c h c o o p e ra tio n , a n d in
th e lo g -f ra m e m a trix th e re a re s p e c ific in d ic a to rs to th is e ffe c t. F re q u e n t m e e tin g s o f
th e P ro je c t S te e rin g C o m m itte e a t th e b e g in n in g o f th e p ro je c t w ill a ls o h e lp s o lv e
p o ssib le issu e s.
1 2 4 . T h e p ro je c t a re a p o s s e s se s e n v iro n m e n ta lly a n d c u ltu ra lly d iv e rs e fe a tu re s. W ith o u t
fu ll u n d e rsta n d in g o f s u c h d iv e rs e e n v iro n m e n ta l a n d s o c ia l se ttin g , sta k e h o ld e r
c o n s u lta tio n a n d in v o lv e m e n t w ill n o t b e f u lly a c h ie v e d . W ith in f o rm a tio n c o lla te d
a n d s ta k e h o ld e r c o n s u lta tio n d u rin g th e P D F - B , th e ris k is a ss e ss e d to b e lo w .
H o w e v e r, th e p ro je c t f ro m th e in c e p tio n w ill p ro m o te s ta k e h o ld e r c o o rd in a tio n a n d
o b ta in lo c a lly a v a ila b le k n o w le d g e .
1 2 5 . O th e r risk s a re re la te d to fu n d in g :
1 2 6 . C h a n g e s in f u n d in g f o r b a se lin e a c tiv itie s . F u n d in g fo r b a s e lin e a c tiv itie s d e s c rib e d in
b a c k g ro u n d s e c tio n m a y c h a n g e w ith c h a n g e s in n a tio n a l p rio ritie s. T h is ris k is lo w
g iv e n th e e m p h a s is o f th e G O C o n e n v iro n m e n ta l p ro te c tio n , a n d th e IC O w ill p la y a n
im p o rta n t ro le in c o u n te rin g th is ris k . T o m itig a te th is ris k , a s s ta te d in th e
im p le m e n ta tio n a rra n g e m e n ts s e c tio n , th e IC O w ill h e lp s o lv e a n y c o n flic tin g iss u e s
re g a rd in g B a se lin e a c tiv itie s.
1 2 7 . D e la y s in th e a p p ro p ria tio n o f c o -f in a n c in g c o m m itm e n ts. C o -f in a n c in g m a y f a il o r
b e p o s tp o n e d d u e to s tra te g ic c h a n g e s o f n o n -G E F d o n o rs. T h is ris k is c u rr e n tly lo w .
A s a ris k m itig a tio n m e a s u re , d u rin g p ro je c t im p le m e n ta tio n , th e p ro je c t d ire c to r w ill
fu rth e r c o n su lt a n d c o o rd in a te w ith th e m a n d in fo rm U N E P .
3 .2 S u sta in a b ility
1 2 8 . A n u m b e r o f fa c to rs w ill c o n trib u te to s u s ta in a b ility . T h e G o v e rn m e n t o f C h in a is
stro n g ly c o m m itte d a t a ll le v e ls to E F C A s m a n a g e m e n t. T h is c o m m itm e n t is e v id e n t in
th e o n -g o in g a n d p la n n e d b a se lin e a c tiv itie s, a n d b y s tro n g p o lic y s u p p o rt o f G O C , a s
in d ic a te d in th e S e c tio n I a n d th e p re se n c e o f th e E F C A s E v a lu a tio n G ro u p s a t n a tio n a l
a n d p ro v in c ia l le v e ls. T h e se p ro v in c ia l E F C A s E v a lu a tio n G ro u p s w ill f o rm th e c o re o f
th e L S C s , a n d a f te r th e p ro je c t c o n c lu d e s, w ill c o n tin u e h a v in g a c ritic a l s u p e rv is io n
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ro le in E F C A s d e v e lo p m e n t. T h is is a n e ss e n tia l e le m e n t o f c o n tin u ity in IE M ,
m a in ta in in g th e v a lu e s d e v e lo p e d d u rin g th e life o f th e p ro je c t.
1 2 9 . S ta k e h o ld e rs p a rtic ip a te d e x te n s iv e ly d u rin g th e d e s ig n o f th e p ro je c t. T h e s e
sta k e h o ld e rs w ill a ls o p a rtic ip a te in im p le m e n ta tio n o f th e p ro je c t a n d w ill b e in v o lv e d
in e x te n sio n a n d p ro m o tio n o f th e p ro je c t re su lts a fte r its c o m p le tio n (A n n e x F ).
1 3 0 . A c tiv itie s in d e m o s a re c o n c e iv e d a s s u sta in a b le (a lte rn a tiv e liv e lih o o d , to u ris m
p ro g ra m s ), a n d w ill b e o v e rs e e n b y th e p ro v in c ia l g o v e rn m e n ts (IE M C C s ) o r th e
n a tio n a l g o v e rn m e n t (M E W S , P M O ).
1 3 1 . A ls o a t th e d e m o le v e l, th e L o c a l S te e rin g C o m m itte e , c o m p o s e d o f re p re s e n ta tiv e s
fro m re le v a n t p ro v in c ia l/lo c a l g o v e rn m e n t s e c to rs , lo c a l c o m m u n itie s, N G O s , a n d
p riv a te se c to rs, w ill f u n c tio n a s c o o rd in a tio n m e c h a n is m , d e p lo y in g c o n f lic t re s o lu tio n
m e th o d o lo g ie s, s u c h a s a lte rn a tiv e liv e lih o o d s, c o n sid e ra tio n o f c u ltu ra l d iv e rsity a n d
n a tu ra l s a c re d s ite s, e tc . E x p e rie n c e s in c o n f lic t re s o lu tio n w ill b e d o c u m e n te d to b e
le a rn e d b y o th e r E F C A s.
1 3 2 . In th e tw o d e m o site s , n e w P A s w ill b e c re a te d o r th e e x is tin g P A s w ill b e re in f o rc e d .
A fte r th e p ro je c t, th e P A m a n a g e m e n t w ill b e m a in ta in e d b y th e lo c a l g o v e rn m e n ts.
T h e p ro je c t w ill in v o lv e lo c a l c o m m u n itie s in P A m a n a g e m e n t th ro u g h p ro v is io n o f
a lte rn a tiv e liv e lih o o d s , e s ta b lis h m e n t o f c o rrid o rs, a n d in itia tio n o f e c o -to u ris m .
S u c c e s sf u l c o m m u n ity in v o lv e m e n t, p a rtic u la rly e c o n o m ic a c tiv itie s re la te d to th e P A s ,
w o u ld c o n trib u te to th e su sta in e d m a n a g e m e n t o f th e P A s e v e n a fte r th e p ro je c t.
1 3 3 . A fte r c o m p le tio n o f th e p ro p o s e d p ro je c t, th e P M O a n d P M U s w ill b e c o m e p a rt o f
th e fu tu re E F C A s m a n a g e m e n t stru c tu re .
1 3 4 . T h e M o n ito rin g a n d E a rly W a rn in g S y s te m e s ta b lis h e d b y th e p ro je c t w ill b e c o m e a
p e rm a n e n t e n tity a ff ilia te d to S E P A . A f te r p ro je c t c o m p le tio n , M E W S w ill b e
re s p o n s ib le f o r re le a s in g a b u lle tin " M o n ito rin g E c o s y s te m F u n c tio n s " , a n d f o r
e x te n d in g th e re su lts to th e w h o le E F C A s sy ste m .
1 3 5 . T h e G E F in te rv e n tio n w ill b e re p lic a b le w ith in th e p la n n e d E F C A s s y s te m in th e
u p p e r b a sin o f th e Y a n g tz e R iv e r a n d in C h in a a s a w h o le . S E P A lis te d E F C A s
e s ta b lis h m e n t a s o n e o f its k e y ta s k s. T h e p ro je c t w ill d iss e m in a te its m e th o d o lo g ie s o n
in te g ra te d e c o s y s te m m a n a g e m e n t a llo w in g f o r th e ir e x p a n s io n to m o re th a n 1 0 0 f u tu re
E F C A s. T h e p ro je c t m a k e s sp e c ia l p ro v isio n s to th is e ffe c t.
1 3 6 . U N E P h a s a lo n g -te r m c o o p e ra tio n p ro g ra m w ith th e G O C . If n e e d e d , U N E P c o u ld
p ro v id e a d d itio n a l su p p o rt to e n su re th e su sta in a b ility o f th e p ro je c t a c h ie v e m e n ts.
3 .3 R e p lic a b ility
1 3 7 . The project, by conducting science-based ecosystem function assessment, will develop
methodologies for such assessment. The project will disseminate not only the assessment
results, but also the assessment methodologies, so that methodologies used can be
replicated in other parts of China, as well as in other countries, particularly in Asia where
the socio-economic and environmental features are similar to those of the upper Yangtze
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basin. The project further will adopt a strategy that the developed assessment
methodologies will be submitted to the existing national-level EFCA Evaluation
Committee, so that the project methodologies can be applied to evaluation and selection of
EFCA for all over China. SEPA is planning to conduct a nation-wide ecosystem function
assessment, and will use for its assessment the methodologies developed through this
project. Further, through the EFCA Evaluation Committee, the methodologies for
integrated ecosystem function assessment can also be replicated by other sectors, such as
agriculture, water resources, fisheries, and land use planning.
1 3 8 . The MEWS, once established for the two demo sites, can trigger creation of other local
MEWS for the existing and planned EFCAs. In order to prompt this, towards the end of the
project, managers of other EFCAs or leaders of other local/provincial governments will be
invited to visit the two demo sites, for replication within the upper Yangtze basin, as well as
outside the basin. On a national-scale, the project will create a core ecosystem-function
based MEWS capability affiliated to SEPA, by creating the MEWS model on the upper
Yangtze basin scale. Such core national capacity, to be maintained by the Government,
will allow easy application of the model to other river basins in China. Toward the end of
the project and after the project, the central MEWS will issue newsletters to report on the
change in the major ecosystem functions in the upper Yangtze basin, so that other river
basin managers can see the efficiency and effectiveness of the MEWS for their
consideration for adoption of the MEWS model in their ecological monitoring system.
1 3 9 . The two demonstration sites were selected taking into consideration high replicability.
Based on the wider framework of the EFCAs management at the national level, the results
of the two demonstrations will clearly indicate the way the EFCA can actually function,
while producing global and local environmental benefits and ensuring improved
livelihoods. Towards the end of the project, managers of other EFCAs or PAs, or leaders of
provincial/local governments as well as from outside China are invited to visit the two
demonstration sites for replication of the IEM mode in EFCA/PA management.
1 4 0 . Disseminating of project results is a key part of the project strategy to replicate the results
of the project for building a system of EFCAs in the Yangtze River basin, in other part of
China and outside China. The project aims at disseminating the results to more than 100
EFCAs all over the country. The project will, at its early stage of implementation, develop
a replication strategy, so that any project results can be disseminated in a most effective
manner.
S E C T IO N IV . IM P L E M E N T A T IO N A R R A N G E M E N T S A N D
S T A K E H O L D E R P A R T IC IP A T IO N
4 .1 Im p le m e n ta tio n a r r a n g e m e n ts
1 4 1 . T h e U n ite d N a tio n s E n v ir o n m e n t P ro g ra m m e (U N E P ) w ill b e th e G E F I m p le m e n tin g
A g e n c y f o r th e p ro je c t, a n d th e S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n
(S E P A ) o f th e G O C w ill b e re s p o n s ib le f o r o v e ra ll p ro je c t e x e c u tio n . D a y to d a y
m a n a g e m e n t o f th e p ro je c t w ill b e th e re s p o n s ib ility o f a P ro je c t M a n a g e m e n t O ff ic e
u n d e r th e o v e rs ig h t o f S E P A . U N E P C h in a C o u n try O ff ic e w ill b e c h a rg e d w ith
c o o rd in a tio n b e tw e e n th e IA a n d th e E x e c u tin g A g e n c y fo r sm o o th p ro je c t e x e c u tio n .
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1 4 2 . T h e p ro je c t w ill e s ta b lis h a P ro je c t S te e rin g C o m m itte e (P S C ) c h a ire d b y th e V ic e
M in is te r o f S E P A . T h e P S C w ill h a v e D ire c to r-G e n e ra l le v e l re p re s e n ta tiv e s o f th e
N a tio n a l D e v e lo p m e n t a n d R e f o rm C o m m is sio n (N D R C ); M in is try o f F in a n c e
(M O F ); M in is try o f L a n d a n d R e s o u rc e s (M L R ); M in is try o f C o n s tru c tio n (M O C );
M in is try o f W a te r R e s o u rc e s (M W R ); M in is try o f A g ric u ltu re (M O A ); S ta te F o re s try
A d m in istra tio n (S F A ); C h in e s e A c a d e m y o f S c ie n c e s (C A S ); a n d S ta te
E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n (S E P A ). H ig h le v e l re p re s e n ta tiv e s f ro m
th e G o v e rn m e n t o f S ic h u a n P ro v in c e , th e G o v e rn m e n t o f Y u n n a n P ro v in c e ; U N E P ;
U N D P ; A D B ; W B ; T N C ; o th e r b ila te ra l a g e n c ie s a n d in te re s te d o rg a n iz a tio n s w ill b e
in v ite d to th e re g u la r P S C m e e tin g s.
1 4 3 . T h e ro le s a n d re s p o n s ib ilitie s o f th e P S C w ill b e to : (i) f u n c tio n a s th e h ig h e s t
a u th o rity g u id in g a n d s u p e rv is in g p ro je c t im p le m e n ta tio n ; a n d (ii) m a k e d e c is io n s o n
th e m a jo r iss u e s re la te d to th e p ro je c t. T h e P S C w ill m e e t a t le a s t tw ic e a y e a r d u rin g
th e first tw o y e a rs o f th e p ro je c t a n d th e re a fte r o n c e a y e a r.
1 4 4 . T h e G O C a lre a d y e s ta b lis h e d a n E F C A E v a lu a tio n C o m m itte e a s p a rt o f th e E F C A s
p ro g ra m . In o rd e r to m a in stre a m p ro je c t a c tiv itie s in to th e E F C A s p ro g ra m a t th e
n a tio n a l le v e l a n d re c e iv e th e ir s c ie n tif ic g u id a n c e , th is E F C A e v a lu a tio n c o m m itte e
w ill a ls o f u n c tio n a s th e S c ie n tif ic A d v is o r y G ro u p (S A G ) f o r th e p ro je c t. T h e
m e m b e rs o f th e S A G w ill, th e re f o re , b e te c h n ic a l e x p e rts f ro m S E P A , N a tio n a l
D e v e lo p m e n t a n d R e f o rm C o m m is s io n , M in is try o f F in a n c e , M in is try o f L a n d a n d
R e s o u rc e s, M in is try o f W a te r R e s o u rc e s, M in is try o f A g ric u ltu re , S ta te F o re s try
A d m in istra tio n , C h in e se A c a d e m y o f S c ie n c e s, C h in e s e A c a d e m y o f S o c ia l S c ie n c e s,
a n d C h in e se R e s e a rc h A c a d e m y o f E n v iro n m e n ta l S c ie n c e s. T h e re s p o n s ib ilitie s o f
S c ie n tif ic A d v is o r y G ro u p w ill b e to : (i) p ro v id e s c ie n tif ic g u id a n c e to p ro je c t
a c tiv itie s; a n d (ii) p ro v id e g u id a n c e o n th e in te g ra tio n o f p ro je c t w ith C h in a E F C A s
p ro g ra m . T h e S c ie n tif ic A d v is o ry G ro u p w ill m e e t a t le a st e v e r y s ix m o n th s d u rin g
th e first tw o y e a rs o f th e p ro je c t a n d th e re a fte r o n c e a y e a r.
1 4 5 . C o n s id e rin g th e c ro ss -s e c to ra l n a tu re o f th e p ro je c t, it is a ls o n e c e ss a ry to e s ta b lis h a n
In te r-m in is te ria l C o o rd in a tio n O ff ic e (IC O ). T h e le a d e r o f In te rn a tio n a l C o o p e ra tio n
D e p a rtm e n t, M O F w ill c h a ir th e IC O . T h e IC O w ill h a v e d iv is io n c h ie f le v e l
re p re s e n ta tiv e s o f th e c e n tra l g o v e rn m e n t b o d ie s, in c lu d in g N a tio n a l D e v e lo p m e n t
a n d R e f o rm C o m m is sio n (N D R C ); M in is try o f L a n d a n d R e s o u rc e s (M L R ); M in is try
o f W a te r R e s o u rc e s (M W R ); M in istr y o f A g ric u ltu re (M O A ); M in is try o f
C o n s tru c tio n (M O C ); S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n (S E P A ); S ta te
F o re s try A d m in is tra tio n (S F A ); a n d C h in e se A c a d e m y o f S c ie n c e s. R e s p o n sib ility o f
th e IC O w ill b e to : (i) c o o rd in a te c e n tra l g o v e rn m e n t b o d ie s, lo c a l g o v e rn m e n ts a n d
re le v a n t in te rn a tio n a l o rg a n iz a tio n s in te rm s o f c o -f in a n c in g , d a ta s h a rin g , f u n d
m o b iliz a tio n ; (ii) re v ie w im p le m e n ta tio n p la n o f th e p ro je c t; (iii) p ro v id e p o lic y
g u id a n c e o n d a ily w o r k o f th e P M O ; a n d (iv ) re p o rt to th e P S C a b o u t p ro je c t
p ro g re ss e s a s n e c e s sa r y . T h e IC O c h a ir w ill c o n v e n e m e e tin g s a s fre q u e n tly a s
n e e d e d to so lv e c o o rd in a tio n issu e s a m o n g n a tio n a l in stitu tio n s.
1 4 6 . D a ily m a n a g e m e n t o f th e p ro je c t w ill b e th e re s p o n sib ility o f a P ro je c t M a n a g e m e n t
O ffic e (P M O ). A s e n io r S E P A s ta ff m e m b e r w ill b e th e N a tio n a l P ro je c t D ire c to r
(N P D ) a n d le a d th e P M O o n b e h a lf o f S E P A . T h e N P D w ill b e p rim a rily re s p o n s ib le
to S E P A a n d th e P S C f o r th e tim e ly a c h ie v e m e n t o f a ll f o u r O u tc o m e s a n d a ll p ro je c t
a c tiv itie s lis te d in th e lo g -f ra m e m a trix . In a d d itio n , s h e /h e w ill c o n v e n e a n d lia is e
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w ith th e P S C a n d th e S A G , k e e p th e m p o ste d o f p ro je c t e x e c u tio n , a n d c o o rd in a te
w ith in te rn a tio n a l a n d n a tio n a l a g e n c ie s a s n e e d e d to e n s u re s u c c e ssf u l c o m p le tio n o f
a ll p ro je c t o u tp u ts.
1 4 7 . T h e P M O w ill c o n s ist o f th re e f u ll-tim e s ta ff : a p ro je c t m a n a g e r (re s p o n s ib le f o r th e
tim e ly d e liv e r y o f a ll o u tp u ts d e sig n e d in th e p ro je c t), a te c h n ic a l a d v is o r (re s p o n s ib le
fo r te c h n ic a l s u p p o rt to th e p ro je c t m a n a g e r d u rin g p ro je c t im p le m e n ta tio n ) , a n d a n
a d m in is tra tiv e a s s is ta n t. R e s p o n s ib ility o f th e P M O w ill b e to : (i) a ss ist th e N P D to
p re p a re p ro je c t e x e c u tio n s c h e m e ; (ii) ta k e c h a rg e o f o v e ra ll e x e c u tio n a n d d a ily
m a n a g e m e n t o f th e p ro je c t to a c h ie v e a ll p ro je c t o b je c tiv e s a n d o u tp u ts in tim e a n d
d ire c tly re s p o n s ib le f o r th e tim e ly e x e c u tio n o f a ll A ss e ss m e n t a n d M E W S re la te d
o u tp u ts; (iii) c o o rd in a te f in a n c ia l a u d itin g o f f u n d s a c c o rd in g to th e s ta n d a rd s a n d
ru le s e sta b lis h e d b y U N E P a n d p re p a re w o rk p la n s, re p o rts , b u d g e ts, a n d te rm s o f
re f e re n c e f o r s u b -c o n tra c to rs a n d c o n s u lta n ts ; a n d (iv ) w ith th e g u id a n c e f ro m IC O ,
lia ise o n a d a y -to -d a y b a s is w ith v a rio u s m in istrie s, lo c a l g o v e rn m e n ts , d o n o rs
in v o lv e d in th e p ro je c t a n d th e Im p le m e n tin g A g e n c y to fa c ilita te th e im p le m e n ta tio n
o f th e p ro je c t a n d p ro m o te e x c h a n g e s o f in fo rm a tio n a m o n g p ro je c t p a rtic ip a n ts.
1 4 8 . A t th e p ro v in c ia l le v e l, th e e x is tin g E F C A E v a lu a tio n G ro u p s o f th e Y u n n a n /S ic h u a n
P ro v in c e , c o n s is tin g o f re le v a n t d e p a rtm e n ts, w ill a c t a s c o re o f th e L o c a l S te e rin g
C o m m itte e s ( L S C ). L o c a l c o m m u n itie s a n d N G O s w ill a ls o p a rtic ip a te a s f u ll
m e m b e rs. T h e L o c a l S te e rin g C o m m itte e 's ro le is to c o o rd in a te re le v a n t p la n s a n d
a c tio n s in th e p ro v in c e s, m o b iliz e in p u ts a n d c o n trib u tio n s f ro m th e v a rio u s
d e p a rtm e n ts a t th e lo c a l le v e l, a n d s u p e rv is e th e im p le m e n ta tio n o f d e m o n stra tio n
c o m p o n e n t o f th e p ro je c t. T h ro u g h th e L S C , th e p ro je c t w ill e n s u re th e c o o rd in a tio n
a m o n g re le v a n t s e c to rs w ith in th e p ro v in c ia l a n d lo c a l g o v e rn m e n ts. F o r P A s
m a n a g e d b y b u re a u s o th e r th a n th e e n v iro n m e n ta l p ro te c tio n b u re a u s, th e L S C c a n
a lso fu n c tio n fo r c o o rd in a tio n m e c h a n ism .
1 4 9 . D a ily m a n a g e m e n t o f th e d e m o n s tra tio n p ro je c t w ill b e th e re s p o n s ib ility o f lo c a l
P ro je c t M a n a g e m e n t U n it (P M U ), lo c a te d in th e E n v iro n m e n ta l P ro te c tio n B u re a u
(E P B ) n e a re s t to th e d e m o site . F o r e a c h o f th e tw o p ro v in c e s (S ic h u a n a n d Y u n n a n ),
a se n io r s ta ff m e m b e r o f th e p ro v in c ia l E P B w ill b e th e P ro v in c ia l C o o rd in a to r a n d
le a d th e P M U o n b e h a lf o f th e p ro v in c ia l E P B . T h e P ro v in c ia l C o o rd in a to r w ill b e
p rim a rily re s p o n s ib le to th e C e n tra l P M O f o r th e tim e ly a c h ie v e m e n t o f a ll d e m o
le v e l o u tp u ts liste d in th e lo g -f ra m e m a trix . In a d d itio n , h e /s h e w ill c o n v e n e a n d lia is e
w ith th e L S C to k e e p it p o s te d o f p ro je c t e x e c u tio n , a n d c o o rd in a te w ith p ro v in c ia l
d e p a rtm e n ts, in te rn a tio n a l d o n o rs a n d o th e r s ta k e h o ld e rs, a s n e e d e d to e n s u re
su c c e ssfu l c o m p le tio n o f a ll d e m o le v e l o u tp u ts.
1 5 0 . P M U w ill c o n s is t o f th re e f u ll-tim e s ta f f: a p ro je c t m a n a g e r (re s p o n sib le f o r
c o o rd in a tio n n e e d e d f o r th e tim e ly d e liv e r y o f a ll d e m o le v e l o u tp u ts ), a te c h n ic a l
a s sis ta n t (re s p o n s ib le f o r te c h n ic a l s u p p o rt to th e p ro je c t m a n a g e r d u rin g p ro je c t
im p le m e n ta tio n ) a n d a n a d m in is tra tiv e a ss is ta n t. T h e P M U w ill b e re s p o n sib le f o r
tim e ly e x e c u tio n o f a ll o u tp u ts p e rta in in g to th e d e m o s, a n d w ill: (i) lia is e w ith th e
c e n tra l P M O o n a ll p ro je c t a c c o u n tin g , a u d itin g a n d m o n ito rin g is s u e s ; (ii) o rg a n iz e
a n d s u p e rv is e th e d e m o le v e l a c tiv itie s; a n d (iii) p ro m o te e x c h a n g e o f in f o rm a tio n
a m o n g p ro je c t p a rtic ip a n ts.

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4 .2 S ta k e h o ld e r p a r tic ip a tio n
1 5 1 . S ta k e h o ld e rs in c lu d e in te rn a tio n a l a g e n c ie s, a n d n a tio n a l, p ro v in c ia l a n d lo c a l
g o v e rn m e n t a u th o ritie s, re le v a n t s c ie n tif ic a n d re s e a rc h in s titu te s a n d lo c a l
c o m m u n itie s . T h e f o llo w in g s e c to rs /g ro u p s a re im p o rta n t sta k e h o ld e rs in th is p ro je c t:
p la n n in g , f in a n c e , la n d a n d re s o u rc e s, c o n s tru c tio n , w a te r re s o u rc e s, fo re stry ,
a g ric u ltu re a n d e n v iro n m e n t, a s w e ll a s lo c a l c o m m u n itie s a n d N G O s . D u rin g p ro je c t
p re p a ra tio n , a ll th e s e s ta k e h o ld e rs a c tiv e ly p a rtic ip a te d in p ro je c t d e s ig n (s e e A n n e x F
fo r d e ta ils ). T h e S te e rin g C o m m itte e , in c lu d in g m in is trie s a n d re le v a n t p ro v in c ia l
g o v e rn m e n ts a n d re le v a n t in te rn a tio n a l o rg a n iz a tio n s f u lly e n d o rs e d th e f in a l P ro je c t
B rie f a t th e T h ird M e e tin g o f th e S te e rin g C o m m itte e o f G E F P D F - B o n N a tu re
C o n s e rv a tio n a n d F lo o d C o n tro l in th e Y a n g tz e R iv e r B a sin h e ld o n 5 -6 A u g u st 2 0 0 3
in B e ijin g .
1 5 2 . In a d d itio n , d u rin g p ro je c t p re p a ra tio n lo c a l s ta k e h o ld e rs p a rtic ip a te d a c tiv e ly in
d e fin in g th e p ro je c t (se e A n n e x F fo r d e ta ils) a n d fu lly e n d o rse d its g o a ls.
1 5 3 . D u rin g p ro je c t e x e c u tio n th e fo llo w in g sta k e h o ld e rs w ill b e in v o lv e d :
L ist o f sta k e h o ld e rs
L e v e l S ta k e h o ld e rs
N a tio n a l D e v e lo p m e n t a n d R e f o rm C o m m is s io n (N D R C ),
M in is try o f F in a n c e (M O F ), M in is try o f L a n d a n d R e s o u rc e s
C e n tra l
(M L R ), M in is try o f C o n stru c tio n (M O C ), M in is try o f W a te r
g o v e rn m e n t
R e s o u rc e s (M W R ), Y a n g tz e R iv e r W a te r R e s o u rc e C o m m is s io n
b o d ie s
(Y R W R C ), M in is try o f A g ric u ltu re (M O A ), S ta te F o re s try
A d m in istra tio n (S F A ), C h in e s e A c a d e m y o f S c ie n c e s (C A S ),
a n d S ta te E n v iro n m e n ta l P ro te c tio n A d m in istra tio n (S E P A )
Y u n n a n P ro v in c ia l G o v e rn m e n t: d e p a rtm e n ts o f p la n n in g ,
fin a n c e , la n d a n d re s o u rc e s, c o n stru c tio n , w a te r re s o u rc e s,
L o c a l
a g ric u ltu re , fo re stry , a n d e n v iro n m e n ta l p ro te c tio n ;
g o v e rn m e n t

b o d ie s
S ic h u a n P ro v in c ia l G o v e rn m e n t: d e p a rtm e n ts o f p la n n in g ,
fin a n c e , la n d a n d re s o u rc e s, c o n stru c tio n , w a te r re s o u rc e s,
a g ric u ltu re , fo re stry , a n d e n v iro n m e n ta l p ro te c tio n ;
L o c a l
F a rm e rs, fish e rm e n , h e rd e rs, a n d o th e r lo c a l re sid e n ts.
c o m m u n itie s
P riv a te se c to rs
In te re s te d p riv a te s e c to rs, s u c h a s re s o rt c o m p a n ie s , b o th in s id e
a n d o u tsid e th e d e m o site s
In te rn a tio n a l
U n ite d N a tio n s E n v iro n m e n t P ro g ra m m e (U N E P ); U n ite d
o rg a n iza tio n s
N a tio n s D e v e lo p m e n t P ro g ra m m e (U N D P ); A s ia n D e v e lo p m e n t
B a n k (A D B ); W o rld B a n k (W B )
B ila te ra l
Ita lia n g o v e rn m e n t, N o rw e g ia n g o v e rn m e n t, e tc .
g o v e rn m e n ts
In te rn a tio n a l
T h e N a tu re C o n s e rv a n c y (T N C ), W o rld W id e F u n d f o r N a tu re
N G O s
(W W F )-C h in a , C o n se rv a tio n In te rn a tio n a l (C I)
27

---

S c ie n tific a n d
C h in e s e R e se a rc h A c a d e m y o f E n v iro n m e n ta l S c ie n c e s,
re se a rc h
In stitu te o f G e o g ra p h ic a l S c ie n c e s a n d N a tu ra l R e s o u rc e s
in stitu te s
R e s e a rc h o f C A S , In s titu te o f Z o o lo g y , C A S ; In s titu te o f
M o u n ta in H a za rd s a n d E n v iro n m e n t, C A S & M W R

1 5 4 . K e y s ta k e h o ld e rs w ill p a rtic ip a te in P S C a n d /o r L S C s m e e tin g s, a n d a ll o f th e m w ill
b e d ire c tly in v o lv e d in th e im p le m e n ta tio n o f re le v a n t p ro je c t c o m p o n e n ts. T h e re f o re ,
a ll w ill b e a c tiv e p a rtic ip a n ts in th e p ro je c t a n d w ill h e lp ste e r it in d e sire d d ire c tio n .
1 5 5 . R e le v a n t d e p a rtm e n ts a t n a tio n a l a n d p ro v in c ia l le v e ls w e re in v o lv e d in p ro je c t
d e s ig n , a n d w ill b e in v o lv e d in c o o rd in a tio n a n d im p le m e n ta tio n ; lo c a l c o m m u n itie s
w ill p a rtic ip a te d ire c tly in th e d e m o n s tra tio n a c tiv itie s , e s p e c ia lly a lte rn a tiv e
liv e lih o o d s. (F o r m o re in f o rm a tio n o n s ta k e h o ld e r p a rtic ip a tio n d u rin g p ro je c t
e x e c u tio n , se e A n n e x F ).
S E C T IO N V . IN C R E M E N T A L C O S T S A N D P R O J E C T F IN A N C IN G
1 5 6 . T h e p ro je c t u s e s a n in c re m e n ta l c o s t a p p ro a c h to d e te rm in e f u n d in g a llo c a tio n s. In
th e b a s e lin e a re a ll p ro je c ts u n d e r im p le m e n ta tio n a n d a c tiv itie s e x e c u te d d u rin g th e
p ro je c t, re la te d to f lo o d a n d s e d im e n t c o n tro l. T h a t is, th e f u n d s C h in a b rin g s to its o w n
b e n e f it a n d f o r its o w n s u s ta in a b le d e v e lo p m e n t. H o w e v e r, if th is b a se lin e w e re to
c o n tin u e u n a lte re d , s ig n if ic a n t g lo b a l e n v iro n m e n ta l v a lu e s w o u ld b e n e g le c te d .
T h e re f o re , th e p ro je c t w ill a d d to th e s e b a se lin e e ff o rts w ith a se rie s o f m e a s u re s a im e d
a t In te g ra te d E c o s y s te m M a n a g e m e n t, p ro te c tin g g lo b a lly s ig n if ic a n t b io d iv e rs ity , a n d
in c re a sin g c a rb o n se q u e s tra tio n a n d re d u c in g c a rb o n e m iss io n s. T h e G E F w ill h e lp
fu n d th e s e la tte r m e a s u re s a im e d a t a c h ie v in g g lo b a l e n v iro n m e n ta l b e n e f its. In
a d d itio n , a n d a s p a rt o f its e ff o rts to g iv e s u sta in a b ility to p ro je c t o u tc o m e s, th e G O C
w ill b e im p le m e n tin g a lte rn a tiv e su sta in a b le liv e lih o o d p ro g ra m s in c ritic a l a re a s.
1 5 7 . T h e A lte rn a tiv e c o sts to ta l $ 4 1 ,6 4 7 ,6 6 4 a n d th e b a s e lin e is v a lu e d a s $ 1 4 ,7 0 3 ,4 3 8 .
T h e to ta l in c re m e n t is $ 2 6 ,9 4 4 ,2 2 6 . T h e G E F c o n trib u tio n w ill b e $ 3 ,9 9 9 ,6 6 0
(in c lu d in g P D F -B ). T h e ra tio o f n o n -G E F to G E F f u n d in g is a b o u t 6 :1 (in c lu d in g P D F -
B ) a n d th e G E F w ill f u n d o n ly 9 .6 % o f th e c o st o f th e A lte rn a tiv e . S e e A n n e x A f o r
m o re d e ta ils re g a rd in g in c re m e n ta l c o sts.






28

---

1 5 8 . P r o je c t fin a n c in g b y D o n o r s a n d O u tc o m e s, in c lu d in g P D F -B , is a s fo llo w s (in
U S $ ):
U N -
G O C
U N E P
T N C G E F T O T A L
H A B IT A T
O u tco m e 1 .
1 ,9 0 3 ,5 0 0
--
--
--
4 7 5 ,0 0 0
2 ,3 7 8 ,5 0 0
A ssessm en t a n d P la n n in g
O u tco m e 2 .
2 ,8 4 5 ,2 5 0
--
--
1 5 0 ,0 0 0
4 7 1 ,0 0 0
3 ,4 6 6 ,2 5 0
M E W S
O u tco m e 3 .
9 ,1 1 8 ,4 0 0
-- -- --
1 ,2 4 7 ,4 0 0
1 0 ,3 6 5 ,8 0 0
IE M in B a o x in g
O u tco m e 4 .
5 ,7 7 3 ,0 0 6
-- --
2 ,3 4 2 ,4 1 0
9 1 8 ,2 6 0
9 ,0 3 3 ,6 7 6
IE M in L a o ju n sh a n
N a tio n a l S u p p o rt S tru ctu re
3 6 8 ,0 0 0
2 5 0 ,0 0 0
--
--
5 3 8 ,0 0 0
1 ,1 5 6 ,0 0 0
(d eta ils in S ectio n IV )
S u b -to ta l
2 0 ,0 0 8 ,1 5 6
2 5 0 ,0 0 0
-- 2 ,4 9 2 ,4 1 0
3 ,6 4 9 ,6 6 0
2 6 ,4 0 0 ,2 2 6
P D F -B
6 4 ,0 0 0
1 1 5 ,0 0 0
1 5 ,0 0 0
--
3 5 0 ,0 0 0
5 4 4 ,0 0 0
T o ta l
2 0 ,0 7 2 ,1 5 6
3 6 5 ,0 0 0
1 5 ,0 0 0
2 ,4 9 2 ,4 1 0
3 ,9 9 9 ,6 6 0
2 6 ,9 4 4 ,2 2 6
N o t: T h e sy m b o l " -- " in d ic a te s " n o fin a n c ia l in p u t" .
29

---

P r o je c t fin a n c in g b y d o n o r s a n d o u tc o m e s is a s fo llo w s (in U S $ ):
T o ta l
C o st
G E F
C o n trib u tio n
G O C
T N C
U N E P
U N -H A B IT A T
O u tco m e 1






A c tiv ity 1 .1
968,500 115000
853,500
-- --
--
A c tiv ity 1 .2
315,500 82,000
233,500
-- --
--
A c tiv ity 1 .3
9 2 ,0 0 0
2 3 ,0 0 0
6 9 ,0 0 0 -- --
--
A c tiv ity 1 .4
6 1 2 ,5 0 0
1 5 5 ,0 0 0
4 5 7 ,5 0 0 -- --
--
A c tiv ity 1 .5
3 9 0 ,0 0 0
1 0 0 ,0 0 0
2 9 0 ,0 0 0 -- --
--
S u b to ta l
2 ,3 7 8 ,5 0 0
4 7 5 ,0 0 0
1 ,9 0 3 ,5 0 0 -- --
--
O u tco m e 2






A c tiv ity 2 .1
1 ,9 7 5 ,5 0 0 2 1 1 ,0 0 0
1 ,7 6 4 ,5 0 0
-- --
--
A c tiv ity 2 .2
6 3 6 ,7 5 0 1 3 9 ,0 0 0
3 9 7 ,7 5 0
1 0 0 ,0 0 0 --
--
A c tiv ity 2 .3
8 5 4 ,0 0 0 1 2 1 ,0 0 0
6 8 3 ,0 0 0
5 0 ,0 0 0 --
--
S u b to ta l
3 ,4 6 6 ,2 5 0 4 7 1 ,0 0 0
2 ,8 4 5 ,2 5 0
1 5 0 ,0 0 0 --
--
O u tco m e 3






A c tiv ity 3 .1
447,300 347,100
100,200
-- --
--
A c tiv ity 3 .2
261,600 100,000
161,600
-- --
--
A c tiv ity 3 .3
5,419,000 135,000
5,284,000
-- --
--
A c tiv ity 3 .4
2,433,700 433,700
2,000,000
-- --
--
A c tiv ity 3 .5
1,420,000 20,000
1,400,000
-- --
--
A c tiv ity 3 .6
384,200 211,600
172,600
-- --
--
S u b to ta l
1 0 ,3 6 5 ,8 0 0 1 ,2 4 7 ,4 0 0
9 ,1 1 8 ,4 0 0 -- --
--
O u tco m e 4






A c tiv ity 4 .1
1,989,198 327,100
1,657,098
5,000
-- --
A c tiv ity 4 .2
210,717 100,000
105,917
4,800
-- --
A c tiv ity 4 .3
2,574,837 120,260
1,423,967
1,030,610
-- --
A c tiv ity 4 .4
1,894,887 211,350
1,383,537
300,000
-- --
A c tiv ity 4 .5
2,060,635 20,000
1,040,635
1,000,000
-- --
A c tiv ity 4 .6
303,402 139,550
161,852
2,000
-- --
S u b to ta l
9 ,0 3 3 ,6 7 6 9 1 8 ,2 6 0
5 ,7 7 3 ,0 0 6
2 ,3 4 2 ,4 1 0 --
--
N a tio n a l su p p o rt
stru ctu re (d eta ils in
1 ,1 5 6 ,0 0 0 5 3 8 ,0 0 0
3 6 8 ,0 0 0
-- 2 5 0 ,0 0 0
--
S ectio n IV )
T o ta l o f th e a b o v e
2 6 ,4 0 0 ,2 2 6 3 ,6 4 9 ,6 6 0
2 0 ,0 0 8 ,1 5 6
2 ,4 9 2 ,4 1 0 2 5 0 ,0 0 0
--
P D F -B
5 4 4 ,0 0 0
3 5 0 ,0 0 0
6 4 ,0 0 0
--
1 1 5 ,0 0 0
1 5 ,0 0 0
T o ta l
2 6 ,9 4 4 ,2 2 6 3 ,9 9 9 ,6 6 0
2 0 ,0 7 2 ,1 5 6
2 ,4 9 2 ,4 1 0 3 6 5 ,0 0 0
1 5 ,0 0 0
N o te : T h e sym b o l " -- " in d ic a te s "n o fin a n c ia l in p u t" .
30

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S E C T IO N V I. M O N IT O R IN G , E V A L U A T IO N , A N D D IS S E M IN A T IO N
1 5 9 . T h e N P D w ill b e re s p o n s ib le f o r c o n tin u o u s ly m o n ito rin g th e p ro je c t a n d o f tim e ly
c o m p le tio n o f a ll g o a ls a c c o rd in g to th e a g re e d tim e ta b le a n d lo g fra m e m a trix .
1 6 0 . U N E P a n d S E P A w ill f o rm a lly m o n ito r a n d e v a lu a te th e p ro je c t f o llo w in g U N E P -
G E F ru le s a n d p ro c e d u re s. T h e N P D w ill p re p a re a n d s u b m it to U N E P h a lf -y e a rly
p ro g re ss re p o rts in lin e w ith th e U N E P f o rm a t. H a lf -y e a rly p ro g re s s re p o rts w ill
a d d re s s p ro je c t im p le m e n ta tio n is s u e s. F u rth e r, U N E P 's c o u n try re p re s e n ta tiv e w ill b e
e n g a g e d in p ro je c t p ro g re ss m o n ito rin g .
1 6 1 . P ro je c t im p le m e n ta tio n w ill a ls o b e s u b je c t to jo in t re v ie w b y th e N P D , S E P A , a n d
U N E P e v e r y 1 2 m o n th s , a n d w h e re v e r n e c e s s a ry , a n e x tra o rd in a ry re v ie w m e e tin g m a y
b e o rg a n ize d . T h is a n n u a l p ro je c t trip a rtite re v ie w w ill c o in c id e w ith a P S C m e e tin g .
1 6 2 . T h e N P D w ill p re p a re a n d s u b m it to e a c h a n n u a l trip a rtite re v ie w m e e tin g a n A n n u a l
P ro g re s s R e p o rt (A P R ). A n n u a l re p o rts w ill s p e c if ic a lly a d d re s s th e tim e ly c o m p le tio n
o f a c tiv itie s liste d in th e lo g -f ra m e m a trix o f th is p ro je c t, a s w e ll a s p ro je c t
im p le m e n ta tio n iss u e s. P a rtic u la rly , m o n ito rin g o f p ro je c t im p a c ts , u sin g th e
p e rf o rm a n c e in d ic a to rs in th e lo g f ra m e , w ill b e c o n d u c te d a s p a rt o f th e A P R . D u rin g
th e f irs t y e a r o f p ro je c t im p le m e n ta tio n , th e f irs t ta s k o f th e M E W S a t tw o d e m o site s
w ill b e to id e n tif y th e b a s e lin e e c o s y s te m c o n d itio n s. T h e b a s e lin e s w ill b e e sta b lis h e d
in re la tio n to th e se t in d ic a to rs in th e lo g f ra m e , b u t p a rtic u la rly th e f o llo w in g c a te g o rie s
a re c o n s id e re d : IE M -re la te d in s titu tio n a l a rra n g e m e n ts, c a tc h m e n t w a te r re te n tio n , s o il
e ro s io n , w ild lif e h a b ita t c o n d itio n s , s e q u e s tra tio n o f c a rb o n , a n d re d u c tio n o f e m iss io n
o f g re e n h o u s e g a s e s, a n d s o c io -e c o n o m ic c o n d itio n s. T h e b a s e lin e c o n d itio n s a s o f
p ro je c t y e a r 1 w ill b e a g re e d u p o n a t th e L S C s a n d P S C .
1 6 3 . A t th e d e m o le v e l, th e P M U s , p a rtic u la rly th e P ro v in c ia l C o o rd in a to rs, a re ta s k e d
w ith d e m o -le v e l p ro je c t M o n ito rin g a n d E v a lu a tio n . T h e d e m o M E W S c a n c re a te
in f o rm a tio n o n th e c h a n g e s in e c o s y s te m f u n c tio n s fo r th e Y e a rs 4 a n d 5 , to b e re p o rte d
to th e L S C s . T h e P ro v in c ia l C o o rd in a to rs w ill re p o rt to th e p ro je c t p ro g re s s to th e P S C ,
a s w e ll a s P M O . L o c a l c o m m u n itie s w ill p a rtic ip a te in th e d e m o M E W S a c tiv itie s,
u sin g th e M E W S lo c a l in d ic a to rs, a n d th e y w ill m o n ito r th e d e m o p ro g re ss.
1 6 4 . T h e N P D w ill p re p a re a te rm in a l c o m p le tio n re p o rt u p o n c o n c lu s io n o f th e p ro je c t. A
te rm in a l re p o rt w ill s p e c if ic a lly a d d re ss th e tim e ly c o m p le tio n o f a c tiv itie s a n d th e
im p a c ts liste d in th e lo g fra m e m a trix .
1 6 5 . If d e e m e d n e c e ss a ry , th e Im p le m e n tin g A g e n c y w ill re q u e s t f o r a d d itio n a l re p o rts
d u rin g p ro je c t e x e c u tio n .
1 6 6 . T h e p ro je c t w ill h a v e tw o in d e p e n d e n t e v a lu a tio n s. T h e f irs t e v a lu a tio n w ill b e a m id -
te rm re v ie w , 3 0 m o n th s a fte r in c e p tio n . T h e s e c o n d a n d f in a l in d e p e n d e n t e v a lu a tio n
w ill b e u p o n p ro je c t te rm in a tio n . E v a lu a tio n re p o rts w ill a ls o b e c o m e p u b lic to
fa c ilita te m u tu a l le a rn in g , a n d s tra te g ic p la n n in g . U N E P , a t its d is c re tio n , m a y s c h e d u le
a d d itio n a l in d e p e n d e n t e v a lu a tio n s if d e e m e d n e c e ss a ry . (F o r m o re d e ta ile d
e x p la n a tio n s o f th e m o n ito rin g a n d e v a lu a tio n p la n s, se e A n n e x H ).
31

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1 6 7 . D iss e m in a tin g p ro je c t re s u lts is a k e y p a rt o f th e s tra te g y to b u ild a s y s te m o f E F C A s
in th e Y a n g tz e R iv e r b a sin . T h e p ro je c t is , th e re fo re , m a k in g s p e c ia l p ro v is io n s to
e n s u re d iss e m in a tio n o f a ll its re s u lts w ith in th e Y a n g tz e R iv e r b a s in a n d w ith in C h in a ,
a n d a s a p p ro p ria te o u tsid e C h in a . A ll th e f o u r o u tc o m e s h a v e s p e c ia l re s o u rc e
a llo c a tio n s f o r d iss e m in a tio n : A s se ss m e n t ($ 2 7 5 ,0 0 0 ), M E W S ($ 2 4 ,0 0 0 ), a n d d e m o s
($ 1 ,0 4 3 ,3 5 4 ). T h e to ta l a m o u n t d e d ic a te d to d iss e m in a tio n is $ 1 ,3 4 2 ,3 5 4 (s e e lo g f ra m e
m a trix a n d th e d e sc rip tio n o f re su lts in th e m a in te x t).
32

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L IS T O F A N N E X E S

A
In c r e m e n ta l C o sts A n a ly sis
B L o g fr a m e
M a tr ix
C
S T A P R o ste r T e c h n ic a l R e v ie w
C 1
R e sp o n se to S T A P
D
L e tte r o f E n d o r se m e n t
E
T h r e a ts a n d R o o t C a u se s o f E c o sy ste m D e g r a d a tio n a t T w o D e m o s
F
P u b lic In v o lv e m e n t P la n
G
R e fe r e n c e D o c u m e n ts o f T w o D e m o S ite s (in c lu d in g m a p s)
G 1 A ttr ib u te s o f T w o D e m o S ite s
G 2 G e o g r a p h ic a l L o c a tio n o f T w o D e m o S ite s
H
M o n ito r in g a n d E v a lu a tio n P la n
I
W o r k p la n a n d T im e ta b le
J
S tr u c tu r e o f P r o je c t Im p le m e n ta tio n
K
L e tte r s o f C o -fin a n c in g C o m m itm e n ts
1

---

A n n ex A . In crem en tal C osts A n alysis
1 . B R O A D D E V E L O P M E N T G O A L S
T h e Y a n g tz e R iv e r is th e la rg e s t riv e r in C h in a , w ith th e to ta l le n g th o f 6 ,3 0 0 k ilo m e te rs a n d a
d ra in a g e a re a o f 1 .8 m illio n k m 2. O v e r 4 0 0 m illio n p e o p le liv e in th e Y a n g tz e R iv e r b a sin . T h e
w a te r d is c h a rg e d b y th e Y a n g tz e R iv e r a m o u n ts to a b o u t 9 6 0 b illio n c u b ic m e te rs p e r a n n u m , a n d
h a s s ig n ific a n t im p a c ts o n th e e n v iro n m e n t o f E a s t C h in a S e a a n d th e litto ra l p ro v in c e s in c e n tra l
C h in a .

T h e c a ta stro p h ic 1 9 9 8 Y a n g tz e R iv e r flo o d s c a u s e d s e v e re d a m a g e to h u m a n life , p ro p e rty a n d th e
n a tu ra l e n v iro n m e n t. 1 ,0 7 5 d y k e s b u rs t, s u b m e r g e d a n a re a o f 3 ,2 1 0 k m 2 a n d a ffe c te d 2 .2 9
m illio n p e o p le , a n d p ro d u c e d d ire c t e c o n o m ic lo s s o f a b o u t $ 2 0 b illio n . T h e d e a th s o f 1 ,5 6 2 p e o p le
in th e m id d le a n d lo w e r re a c h e s o f th e b a s in w e re re c o rd e d . T h e 1 9 9 8 flo o d s w e re n o t is o la te d
e v e n ts, a n d it is a p p a re n t th a t th e s c a le a n d fre q u e n c y o f Y a n g tz e R iv e r flo o d s h a v e re a c h e d th e
le v e l w h e re su sta in a b le d e v e lo p m e n t o f th e b a sin is th re a te n e d .

In m a n a g in g Y an g tze R iv e r flo o d s, th e G O C is in tere sted in p io n ee rin g a n ap p ro ac h th at g o e s b e y o n d
th e tra d itio n al se cto r-b ased ap p ro ac h . S u c h an a p p ro a c h in te g ra te s ec o s y ste m m a n a g e m e n t fo r flo o d
co n tro l w ith p o v erty a lle v iatio n , an d ad d resse s th e n e ed s o f th e glo b a l en v iro n m e n t. T h e G O C b elie v e s
it ca n a v o id fu rth er la n d d e g rad atio n b y in te g ratin g ec o s yste m m a n a g e m e n t w ith th e elim in atio n o f
th rea ts to ec o s y ste m in te g rity a n d th eir ro o t c au se s. T h is d e sire o f th e G O C to g o b e yo n d a tra d itio n a l
secto r-b ased ap p ro ach is th e en try p o in t fo r th e G E F p ro ject.

T h e 1 9 9 8 flo o d s c a n also b e see n as a g g ra v ate d b y a d e c lin e o f k e y "e c o s y ste m fu n c tio n s" in th e b a sin .
T h e d e fin itio n o f th e te rm "ec o s yste m fu n ctio n s" en co m p asses h y d ro lo g ic al, g eo -c h e m ical an d
b io lo g ic al attrib u te s o f a sp ecific e co s yste m u se d b y p e o p le fo r p ro d u c tiv e ac tiv itie s. T h e se fu n ctio n s
in clu d e w a te r rete n tio n , w a te r p u rific atio n , c arb o n se q u e stratio n , n u trien t c y clin g , tran sfer an d
a c c u m u latio n o f p o llu tan ts, b io d iv e rsity m ain ten an c e , e tc .

T h e p ro je ct w ill targ e t "E c o s yste m F u n ctio n C o n serv a tio n A re a s (E F C A s)", as d e fin e d b y th e G O C .
E F C A s c o n se rv e/re sto re k e y ec o s y ste m fu n ctio n s h elp in g p re v e n t n atu ral d isa sters, su c h as flo o d s. T h e
p u rp o se s o f b u ild in g E F C A s are to m a in tain /re sto re a so u n d e c o lo g ic al b ala n ce a n d e n su re
en v iro n m e n ta l sa fe ty. T h e G O C w ill e stab lish E F C A s in im p o rtan t h ea d w a te r a rea s, n a tu ra l area s
esse n tial fo r flo o d co n tro l, im p o rta n t w a te r c o n serv atio n a n d so il co n se rv atio n a re as, c ritic al a re as to
p re v e n t d am ag e c a u sed b y h u rric a n e s, a n d v u ln e ra b le c o a stal e c o lo g ic a l reg io n s.

T h e u ltim a te d e v e lo p m e n t g o a l o f th e p ro je c t is to b u ild c a p a c ity a n d la u n c h a p ro c e s s o f E F C A s
e sta b lis h m e n t th a t w ill h e lp p ro te c t th e a b o v e -m e n tio n e d g lo b a l e n v iro n m e n ta l v a lu e s in th e w h o le
u p p e r Y a n g tz e R iv e r b a s in . T h e p ro je c t, w ill w o rk o n tw o d e m o n s tra tio n a re a s, se t u p a
c o m p re h e n s iv e E F C A s id e n tific a tio n p ro c e ss a n d e sta b lis h a m a n a g e m e n t-o rie n te d m o n ito rin g a n d
e a rly w a rn in g syste m fo r E F C A s.

T h e p ro je c t w ill m o d if y s o m e b a s e lin e p ro g ra m s a n d a d d n e w c ritic a l in itia tiv e s in s h o w in g h o w to
re m o v e th re a ts a n d ro o t c a u se s m e n a c in g g lo b a lly s ig n ific a n t e n v iro n m e n ta l v a lu e s in th e tw o
d e m o s . T h e s e g o a ls o f p ro v id in g c a p a c ity a n d s h o w in g , in p ra c tic e , h o w to in te g ra te e c o s y s te m
m a n a g e m e n t w h ile p ro v id in g b e n e fits in b io d iv e rs ity a n d c a rb o n s e q u e stra tio n a n d a v o id in g la n d
d e g ra d a tio n , a re fu lly c o n siste n t w ith O P 1 2 .

T h e p ro je c t h a s m a jo r o b je c tiv e s , fo c u se d o n th e u p p e r Y a n g tz e R iv e r b a s in : (i) p ro v id e a n
in te g ra te d e c o s y s te m fu n c tio n a ss e s s m e n t fo r th e e s ta b lis h m e n t o f E F C A s w ith m u ltip le g lo b a l
b e n e fits ; (ii) d e sig n a n d e s ta b lis h a g e n e ra l E c o lo g ic a l M o n ito rin g a n d E a rly W a rn in g S y s te m fo r
E F C A s a n d p ro te c te d a re a s ; a n d (iii) e sta b lis h tw o c ritic a l E F C A d e m o n s tra tio n s. O b je c tiv e o n e is
th e p la n n in g o f th e fu tu re e x p a n s io n o f E F C A s . O b je c tiv e 2 is a m a n a g e m e n t-o rie n te d m o n ito rin g
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s y s te m a d d re ss in g e c o lo g ic a l fu n c tio n s a n d th re a ts in E F C A s , a n d O b je c tiv e 3 is th e a c tu a l
im p le m e n ta tio n o f th e n e w c o n s e rv a tio n a p p ro a c h . U n d e r th is la s t c o m p o n e n t, th e p ro je c t w ill
e sta b lish d e ta ile d m e th o d s fo r th e n e w c o n se rv a tio n p ra c tic e s.

2 . G L O B A L E N V IR O N M E N T O B J E C T IV E
T h e Y a n g tz e R iv e r b a s in h a s g re a t p o te n tia l to s e q u e ste r g re e n h o u s e g a s e s. R e fo re sta tio n a n d
c o n s e rv a tio n o f e c o s y s te m s in th e b a s in w ill c o n trib u te to a n e t re d u c tio n o f g re e n h o u se g a s
e m is s io n s fro m C h in a . U n d e r th e a ss u m p tio n th a t 1 m 3 o f sta n d in g w o o d c a n se q u e ste r a b o u t
3 5 0 k g /y e a r o f c a rb o n , to ta l c a rb o n s e q u e stra tio n in th e 4 7 .7 m illio n h e c ta re o f fo re s ts in th e u p p e r
b a sin m a y re a c h u p to 7 .8 2 b illio n to n s /y e a r. T h e p la n n e d re fo re sta tio n a n d re s to ra tio n p ro g ra m s in
th e u p p e r b a s in (7 .1 m illio n h a ) c a n b e e x p e c te d to se q u e s te r a n o th e r 1 9 2 .3 m illio n to n s o f c a rb o n
in th e n e x t 1 0 y e a rs. U n d e r th is p ro je c t, a d d itio n a l fo re s ta tio n a n d a c tiv itie s re d u c in g c a rb o n
e m issio n s w ill ta k e p la c e in th e d e m o tw o site s.

T h e Y a n g tz e R iv e r b a sin e c o s y s te m s a re a m o n g th e m o s t b io d iv e rsity ric h a re a s in C h in a , a n d
C h in a is o n e o f th e fe w " M e g a -d iv e rsity " c o u n trie s in th e w o rld . M a in v e g e ta tio n ty p e s in th e u p p e r
b a sin o f th e Y a n g tz e R iv e r in c lu d e s u b tro p ic a l e v e rg re e n b ro a d -le a fe d fo re sts, s u b tro p ic a l
e v e rg re e n b ro a d le a fe d a n d d e c id u o u s b ro a d -le a fe d fo re s ts, s u b tro p ic a l c o n ife ro u s fo re sts,
g ra s sla n d s, a n d w e tla n d s. T h e m id d le a n d u p p e r re a c h re g io n is o n e o f th e G lo b a l 2 0 0 S ite s (W W F )
a n d o n e o f th e H o t S p o ts o f g lo b a l b io d iv e rs ity (C o n s e rv a tio n In te rn a tio n a l). O f th e e le v e n m o s t
c ritic a l te rre stria l re g io n s fo r b io d iv e rs ity , c o n s e rv a tio n in C h in a id e n tifie d b y th e C h in a 's
B io d iv e rs ity C o u n tr y S tu d y (F e b ru a r y 1 9 9 8 ), fo u r a re a t le a st p a rtia lly lo c a te d in th e u p p e r a n d
m id d le b a sin s o f th e Y a n g tz e R iv e r. T h e s e fo u r re g io n s w e re in c lu d e d in th e C h in a B io d iv e rsity
A c tio n P la n a s c ritic a l a re a s fo r c o n se rv a tio n .

A c c o rd in g to p re s e n tly in c o m p le te s ta tis tic s, th e re a re m o re th a n 1 0 ,0 0 0 s p e c ie s (2 4 0 fa m ilie s a n d
1 6 0 0 g e n e ra ) o f h ig h e r p la n ts a n d 1 ,3 0 0 s p e c ie s o f m o s se s a n d lic h e n s liv in g in th is re g io n . T h e re
a re 8 4 e n d a n g e re d s p e c ie s u n d e r n a tio n a l le v e l p ro te c tio n . S c ie n tis ts h a v e re c o rd e d m o re th a n 5 ,0 0 0
s p e c ie s o f m e d ic in a l p la n ts, o th e r e c o n o m ic a lly v a lu a b le p la n ts, a n d m o re th a n a th o u sa n d
v e rte b ra te sp e c ie s. T e n p e rc e n t o f th e m a re e n d a n g e re d sp e c ie s u n d e r n a tio n a l p rio rity p ro te c tio n .

T h e u p p e r b a s in o f th e Y a n g tz e R iv e r h a s ric h la n d re s o u rc e s d u e to its d iv e rs e e c o s y s te m s .
T h e p ro je c t a re a h a s s u f f e re d f ro m la n d d e g ra d a tio n in re c e n t y e a rs f ro m th e p e rs p e c tiv e s o f
b o th s u s ta in a b le e c o lo g ic a l p ro d u c tiv ity a n d n a tiv e b io lo g ic a l ric h n e s s b e c a u se o f c u ltiv a tio n
o n ste e p slo p e s, o v e rg ra zin g a n d irra tio n a l fo re stry a c tiv itie s.

T h e ric h a rra y o f e c o s y s te m s in th e 1 .0 m illio n k m 2 o f th e u p p e r b a sin is in d a n g e r o f d e g ra d a tio n
a n d d e s e rtific a tio n a s s o c ia te d w ith m is m a n a g e m e n t a n d u n s u sta in a b le la n d u s e p ra c tic e s.
E c o s y s te m s e rv ic e s, s u c h a s p ro v is io n o f w a te r, s o ils, c a rb o n s e q u e s tra tio n , b io d iv e rs ity
c o n s e rv a tio n , n u trie n t c y c lin g , a n d p o llu tio n c o n tro l a re a t ris k w ith o u t in te g ra te d e c o s y s te m
m a n a g e m e n t.

T h e p ro je c t w ill s h o w h o w in te g ra te d e c o s y s te m m a n a g e m e n t c a n h e lp C h in a re d u c e flo o d s a n d
p ro te c t th e g lo b a l e n v iro n m e n t.

3 . S C O P E O F A N A L Y S E S
T h e A s se s s m e n t a n d P la n n in g w ill b e c o n d u c te d fo r th e w h o le u p p e r b a s in (s e e m a p o n A n n e x G ).
T h e p ro je c t w ill p ro d u c e a w e ll-ju stifie d list o f p rio rity site s fo r fu tu re E F C A s.
T h e M o n ito rin g a n d E a rly W a rn in g S y s te m (M E W S ) w ill b e d e s ig n e d a t th e u p p e r b a s in o f th e
Y a n g tz e R iv e r a n d d e m o s ite le v e ls (B a o x in g , L a o ju n s h a n ), a n d w ill h a v e th e c a p a c ity to
in c o rp o ra te n e w E F C A s a s th e y a re e s ta b lis h e d . M E W S w ill b e a n a d a p tiv e m a n a g e m e n t to o l,
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e ss e n tia lly b a s e d o n re m o te s e n s in g , fa c ilita tin g in te g ra te d e c o s y s te m m a n a g e m e n t fo r
m a in te n a n c e /re sto ra tio n o f m u ltip le e n v iro n m e n ta l b e n e fits.
T h e tw o d e m o s , B a o x in g (3 1 4 ,4 2 5 h a , p o p u la tio n o f 5 5 ,1 0 5 ) a n d L a o ju n s h a n (2 0 5 ,4 6 0 h a ,
p o p u la tio n o f 8 1 ,8 5 6 ), a re tw o site s in itia lly c h o s e n fo r th e ir v a lu e in flo o d a n d se d im e n t c o n tro l.
T h e s e tw o site s, h o w e v e r, c a n a ls o p ro v id e im p o rta n t g lo b a l e n v iro n m e n ta l b e n e fits. B a o x in g h a s
n a tio n a l le v e l E F C A re c o g n itio n a n d L a o ju n s h a n h a s p ro v in c ia l le v e l E F C A re c o g n itio n . T h e
p ro je c t w ill s h o w in te g ra te d e c o s y s te m m a n a g e m e n t (IE M ) in th e s e c o n tra s tin g s itu a tio n s. IE M w ill
a im a t p ro te c tin g n a tio n a l e n v iro n m e n ta l v a lu e s (flo o d a n d s e d im e n t c o n tro l) a s w e ll a s g lo b a l
e n v iro n m e n ta l v a lu e s (in te g ra te d e c o s y s te m m a n a g e m e n t, b io d iv e rsity , a n d c a rb o n
se q u e stra tio n /re d u c tio n in e m issio n s).

4 . T H E P R O J E C T B A S E L IN E
T h e A s s e s s m e n t a n d p la n n in g fo r th e e sta b lis h m e n t o f E F C A s w ith m u ltip le g lo b a l e n v iro n m e n ta l
b e n e fits, w ill c o m p le m e n t u n c o o rd in a te d b a s e lin e e ffo rts b y v a rio u s a g e n c ie s. W ith in th e life o f th e
p ro je c t, th e S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n is p la n n in g to c a rr y o u t d e m a rc a tio n o f
e c o s y s te m fu n c tio n s in th e 1 2 w e s te rn p ro v in c e s ($ 1 ,4 9 7 ,5 6 0 ). T h e Y a n g tz e P ro je c t w ill re fe r to th e
d a ta to b e p ro d u c e d . T h e M in istr y o f W a te r R e s o u rc e s w ill c o n d u c t a s u rv e y o n s o il e ro s io n th a t
w ill p ro v id e b a s ic in fo r m a tio n o n w a te r a n d s o il re te n tio n fu n c tio n s to th e A s se s s m e n t c o m p o n e n t.
($ 1 ,4 9 7 ,5 6 0 ). T h e C h in e s e A c a d e m y o f S c ie n c e s is c u rre n tly c o n d u c tin g th e N a tio n a l K e y B a s ic
R e s e a rc h P ro je c t (N o . 9 7 3 ) o n th e b io d iv e rs ity o f th e Y a n g tz e R iv e r. D a ta a n d in fo r m a tio n fro m th e
p ro je c t w ill p ro v id e v a lu a b le in fo r m a tio n to th is p ro je c t. ($ 2 ,4 3 9 ,0 4 2 ). T h e S ta te F o re s tr y
A d m in istra tio n c a rrie s o u t s u rv e y s o n fo re st re s o u rc e s e v e r y 5 y e a rs. In d ic a to rs in c lu d e fo re s t
c o v e ra g e , b io m a s s, a n d a re a s o f d iffe re n t fo re st ty p e s . R e s u lts o f th is s u rv e y w ill b e o n e o f th e d a ta
s o u rc e s o n c a rb o n se q u e stra tio n p o te n tia l in th e in te g r a te d a s se s s m e n t in th e p ro p o s e d G E F p ro je c t.
($ 2 ,4 3 9 ,0 4 2 ). T h e M in istry o f L a n d a n d R e s o u rc e s c a rrie s o u t la n d a n d re s o u rc e s su rv e y s e v e r y
y e a r. T h e d a ta o n d istrib u tio n o f c ro p la n d s w ill b e p a rt o f th is p ro je c t. ($ 2 ,7 1 9 ,5 1 2 ). S u rv e y s b y
S ta te E n v iro n m e n ta l P ro te c tio n A d m in is tra tio n o n e c o -e n v iro n m e n ts in th e w e ste rn re g io n w ill
p ro v id e p a rt o f th e d a ta a n d in fo r m a tio n n e e d e d fo r th e e c o lo g ic a l th re a ts a n d ro o t c a u s e a n a ly s e s.
($ 2 ,1 0 0 ,0 0 0 ). E F C A s p la n n in g in N o rth w e s t Y u n n a n a n d J ia jin M o u n ta in s w ill p ro v id e d a ta a n d
in fo r m a tio n u s e fu l w h e n re c o m m e n d in g E F C A e s ta b lis h m e n t. ($ 3 9 0 ,2 4 3 ). S E P A w ill o rg a n iz e
tra in in g a n d w o r k s h o p s fo r g o v e rn m e n t o ffic ia ls a n d te c h n ic ia n s to d is s e m in a te E F C A s k n o w le d g e .
T h is e ffo rt w ill b e p a rt o f th e b a s e lin e to th e p u b lic a w a re n e s s c a m p a ig n . ($ 1 2 1 ,9 5 1 ). T h is
in fo r m a tio n p ro v id e s s o m e b a se lin e in fo r m a tio n , b u t is c le a rly in s u ffic ie n t to b u ild th e d e s ire d
in te g ra te d a s se s s m e n t o f e c o s y s te m fu n c tio n s. U n d e r th e p ro je c t, th e G O C w ill g e n e ra te a ll
a d d itio n a l in fo rm a tio n n e e d e d to a s s e ss th e flo o d a n d s e d im e n t c o n tro l fu n c tio n s o f E F C A s. T h e
G E F w ill c o v e r th e c o lle c tio n o f in fo r m a tio n n e e d e d to a ss e s s b io d iv e rs ity a n d c a rb o n s e q u e stra tio n
b e n e fits.

T h e E c o lo g ic a l M o n ito rin g a n d E a rly W a rn in g S y ste m (M E W S ) fo r E F C A s w ill a ls o b e
c o n s tru c te d u s in g b a s e lin e e ffo rts: In th e u p p e r re a c h o f th e Y a n g tz e R iv e r, th e re a re 2 2 5
H y d ro lo g y S ta tio n s, 7 6 9 P re c ip ita tio n S ta tio n s, 1 0 9 W a te r Q u a lity S ta tio n s, 3 R e s e a rc h S ta tio n s b y
C A S ; L o c a l sta tis tic s; 3 0 ,0 0 0 s a m p le site s b y S F A , w h ic h p ro v id e u p d a te d d a ta e v e r y 5 y e a rs.
($ 1 ,2 3 9 ,0 0 0 ). A t th e d e m o le v e l, th e re is o n e ra in fa ll s ta tio n , o n e h y d ro -m o n ito rin g sta tio n a n d o n e
w a te r q u a lity s ta tio n in th e L a o ju n sh a n d e m o site , a n d o n e ra in fa ll sta tio n a n d o n e h y d ro -
m o n ito rin g s ta tio n in th e B a o x in g d e m o s ite . T h e se s ta tio n s w ill p ro v id e b a s e lin e in fo r m a tio n to th e
p ro je c t, w h ic h a re v a lu e d a t $ 9 5 ,0 0 0 . T h e s e e ffo rts to m o n ito r th e e n v iro n m e n t a re in s u ffic ie n t a n d
d o n o t s p e c ific a lly a d d re ss in te g ra te d a p p ro a c h fo r e c o s y s te m c o n s e rv a tio n a n d m a n a g e m e n t. U n d e r
th is p ro je c t, th e G O C w ill c o v e r th e c o sts fo r m e a s u re s th a t w ill le a d to th e e sta b lis h m e n t o f a
c o m p le m e n ta r y m o n ito rin g s y s te m a llo w in g m o n ito rin g v a ria b le s re la te d to flo o d a n d s e d im e n t
c o n tro l b e n e fits. T h e G E F w ill s u p p o rt th e in te g ra tio n o f in fo r m a tio n a n d th e e sta b lis h m e n t o f a ll
m o n ito rin g n e e d e d fo r g lo b a l e n v iro n m e n ta l b e n e fits.

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T h e tw o c ritic a l E F C A d e m o n s tra tio n s, a t B a o x in g a n d L a o ju n s h a n , s h o w in g h o w E F C A s c a n
s u c c e e d , w ill a d d to p ro je c t-re le v a n t b a se lin e in v e s tm e n ts in th e s e d e m o a re a s . T h e p ro je c t w ill
le v e ra g e fro m th e sig n ific a n t G O C a n d T N C in v e s tm e n ts th a t w ill le a d to s u sta in a b le a n d in te g ra te d
m a n a g e m e n t a t th e site s.

B a o x in g D e m o . T h e re a re th re e p ro te c te d a re a s a t th is site : F e n g to n g z h a i, L a b a h e a n d B a o x in g h e .
E x c e p t sa la rie s fo r th e P A sta ff (G O C $ 1 4 ,5 2 8 ), th e re a re n o fu rth e r p la n s fo r b io d iv e rs ity
c o n s e rv a tio n , o r fo r c o rrid o rs a n d b u ffe r z o n e s. W ith o u t th e in te g ra te d a p p ro a c h o f th e G E F p ro je c t,
th e re w o u ld b e n o IE M , n o m a in stre a m in g o f se c to r p ro g ra m s to m e e t g lo b a l e n v iro n m e n ta l v a lu e s,
in s u ffic ie n t c a rb o n g a in s a n d re d u c tio n in e m is s io n s, a n d in s u ffic ie n t p ro te c tio n to b io d iv e rs it y
b e c a u se o f c o n flic t b e tw e e n lo c a l re sid e n ts a n d so u n d n a tu ra l re so u rc e u se .
L a o ju n sh a n D e m o . W ith o u t G E F s u p p o rt, th e fo llo w in g in itia tiv e s b y th e G O C w o u ld ta k e p la c e :
D ra ftin g o f s e c to r-b a s e d la w s a n d re g u la tio n s fo r n a tu ra l re s o u rc e s m a n a g e m e n t ($ 5 0 ,0 0 0 ); d ra ftin g
o f s e c to r-b a s e d m a n a g e m e n t p la n s (G O C $ 5 0 ,0 0 0 ) a n d s m a ll in v e s tm e n ts in b io d iv e rsity p ro te c tio n
($ 5 0 ,0 0 0 ). W ith o u t in te g ra te d a p p ro a c h e s o f G E F p ro je c t, th e re w o u ld b e n o IE M , n o
m a in s tre a m in g o f s e c to r p ro g ra m s to m e e t g lo b a l e n v iro n m e n ta l v a lu e s, in s u ffic ie n t c a rb o n g a in s
a n d re d u c tio n in e m issio n s, a n d in su ffic ie n t p ro te c tio n o f g lo b a lly sig n ific a n t b io d iv e rsity.

5 . T H E G E F A L T E R N A T IV E

W ith o u t G E F s u p p o rt, G O C w o u ld c o n tin u e d e v e lo p in g E F C A s a ro u n d flo o d a n d s e d im e n t c o n tro l,
b u t a n o p p o rtu n ity to c a p tu re g lo b a l e n v iro n m e n ta l b e n e fits a n d s u s ta in a b ility w o u ld b e lo s t.
E F C A s w ill b e m o re s im p listic th ro u g h p la n tin g fa st-g ro w in g e x o tic s p e c ie s w ith o u t b io d iv e rs ity
c o n s e rv a tio n m e a s u re s. In te g ra te d m a n a g e m e n t, s e c u rin g s u sta in a b le liv e lih o o d s fo r th e p e o p le a n d
g lo b a l b e n e fits w o u ld n e ith e r b e d e m o n s tra te d n o r b e a v a ila b le fo r re p lic a tio n in fu tu re E F C A s .
W ith o u t s u c c e ss fu l d e m o n stra tio n s o f in te g ra te d e c o s y s te m m a n a g e m e n t, c o n tin u e d s e c to r-b a s e d
in itia tiv e s w o u ld p re v a il a n d la n d d e g ra d a tio n w o u ld c o n tin u e .


O u tc o m e 1 : F u lly d e v elo p e d in stitu tio n a l m e c h a n ism fo r a sse ss m e n t o f ec o sy ste m fu n c tio n s
a n d p la n n in g fo r E c o sy ste m F u n c tio n C o n se r v a tio n A r e a s in th e u p p e r Y a n g tz e b a sin . T h e
p ro je c t w ill a d d to e ffo rts o f th e G O C to a s s e s s a n d p la n fo r th e e sta b lis h m e n t o f E F C A s in th e
u p p e r b a s in o f th e Y a n g tz e R iv e r. T h e G O C w ill u s e th e s e a ss e s s m e n ts to e sta b lis h p ro v in c ia l a n d
n a tio n a l le v e l E F C A s in th e w h o le b a s in . T h e o v e ra ll a ss e s s m e n t w ill b e a t a sc a le 1 : 1 ,0 0 0 ,0 0 0 a n d
w ill p ro d u c e m a p s fo r th e v a rio u s e c o s y s te m fu n c tio n s, a n d a n in te g ra tiv e re c o m m e n d a tio n o n
E F C A s m e e tin g m u ltip le o b je c tiv e s . C o stin g re fle c ts th e n a tio n a l o r g lo b a l e n v iro n m e n ta l b e n e fits
o f th e E F C A s. T h e b a s e lin e e c o s y s te m fu n c tio n s a re w a te r re te n tio n c a p a c ity , ru n -o ff, s e d im e n t
re te n tio n c a p a c ity , a n d s o il lo s s. In a d d itio n , th e re w ill b e a n in v e n to r y o f la n d u s e in c lu d in g
a g ric u ltu re , fo re str y , fish in g , e n e rg y u s e s, a n d c u ltiv a tio n o n s lo p e s. T h e p ro je c t w ill e v a lu a te
p o p u la tio n d e n s ity a n d d is trib u tio n . T h e G O C w ill c o v e r th e in fra s tru c tu re a n d tra in in g to c a rr y o u t
th e b a s e lin e a s s e s s m e n t, in c lu d in g sta ff s a la r y , c o m p u te rs, s a te llite im a g e s , im a g e p ro c e s sin g
h a rd w a re a n d s o ftw a re , G IS , b a s ic d a ta b a s e s a n d m a p s, c a rs, fie ld e q u ip m e n t, e tc . T h e G E F w ill
c o n trib u te to th e c o s ts o f a ss e s sin g g lo b a lly s ig n ific a n t b io d iv e rsity b e n e fits a n d p o te n tia l c a rb o n
s e q u e s tra tio n b e n e fits. B o th , p o te n tia l c a rb o n g a in s a n d b io d iv e rs ity w ill b e a s s e s se d u sin g s a te llite
im a g e s a n d s o ftw a re . S e le c te d g ro u n d s u rv e y s w ill h e lp c h e c k re m o te s e n s in g a s se s s m e n ts . T h e re
w ill a ls o b e lim ite d tra in in g c o n d u c te d . E x is tin g s u rv e y s b y W W F a n d o th e r a g e n c ie s w ill h e lp
c a lib ra te th e s e a s s e s s m e n ts . T h e G E F w ill a ls o c o n trib u te to th e c o s ts o f in te g ra tin g a ll in fo r m a tio n
in to a c o m p re h e n s iv e re p o rt a p p ro p ria te fo r in te g ra te d d e c is io n -m a k in g , a n d c o n trib u te to
d is s e m in a tin g th is in fo r m a tio n a m o n g n a tio n a l a n d p ro v in c ia l g o v e rn m e n ts . A t th e e n d o f th e
p ro je c t, th e G O C w ill h a v e a n in te g ra te d d o c u m e n t, w ith m a p s a t a s c a le o f 1 :1 ,0 0 0 ,0 0 0 , o n th e
d is trib u tio n o f re le v a n t e c o s y s te m fu n c tio n s, th re a ts a n d ro o t c a u se s in th e u p p e r b a s in , a n d a s e t o f
re c o m m e n d a tio n s o n th e lo c a tio n o f fu tu re E F C A s. T h e n a tio n a l a n d p ro v in c ia l g o v e rn m e n ts in
fu rth e r d e v e lo p in g E F C A s in th e u p p e r b a s in o f th e Y a n g tz e R iv e r a n d e ls e w h e re w ill u s e th is
A-4

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p ro p o sa l a n d its m e th o d o lo g ie s.

O u tc o m e 2 : E sta b lish e d e c o sy ste m fu n c tio n -b a se d M o n ito rin g a n d E a r ly W a r n in g S y ste m in
th e u p p e r Y a n g tz e b a sin . T h e p ro je c t w ill s u p p o rt e ffo rts b y th e G O C to e sta b lis h a M o n ito rin g
a n d E a rly W a rn in g S y s te m (M E W S ) fo c u s e d o n e c o s y s te m fu n c tio n s in E F C A s a n d e x is tin g
p ro te c te d a re a s in th e u p p e r b a s in . T h e g o a l is n o t to d u p lic a te th e e x is tin g e a rly w a rn in g s y s te m fo r
flo o d s, b u t to c re a te a s y s te m th a t w ill a le rt d e c is io n -m a k e rs o f g a in s a n d lo s se s , a n d b a la n c e s o f
k e y e c o s y s te m fu n c tio n s in th e s y s te m o f E F C A s in th e u p p e r b a s in o f th e Y a n g tz e R iv e r. D u rin g
y e a r tw o , M E W S w ill d e v e lo p h a b ita t q u a lity , n a tiv e v e g e ta tio n c o v e r a n d o th e r in d ic e s th a t w ill
fa c ilita te in te g ra te d m a n a g e m e n t o f E F C A s. M E W S w ill n o t b e a b le to p ro v id e a ll th e in fo r m a tio n
n e e d e d b y d e c is io n -m a k e rs , b u t w ill b e a b le to w a rn th e m o f tre n d s th a t la te r ta rg e te d re s e a rc h c a n
c o m p le m e n t a n d v e rif y . M E W S w ill b e a n a d a p tiv e m a n a g e m e n t to o l th a t e v o lv e s w ith th e n e e d s o f
m a n a g e rs. T h e p ro je c t w ill m a k e s p e c ia l e ffo rts to d e v e lo p M E W S in c lo s e c o n n e c tio n w ith th e
p a rtic ip a to r y IE M a n d c o n s e rv a tio n p la n s d e v e lo p e d a n d a p p ro v e d fo r e a c h o n e o f th e tw o E F C A s .
M E W S w ill b e a d a p te d to th e n e e d s o f d e c isio n -m a k e rs a n d w ill g ro w in p a ra lle l w ith th e E F C A s
s y s te m . D u rin g th e life o f th e p ro je c t, it w ill b e e s ta b lis h e d a n d u s e d in d e c isio n -m a k in g o n ly in th e
tw o d e m o n s tra tio n site s. M E W S w ill in c lu d e b a s ic in fo r m a tio n re la te d to fu n c tio n s o f p rim a rily
n a tio n a l in te re st, s u c h a s p o p u la tio n in th e ta rg e t a re a a n d in th e su rro u n d in g 1 0 k m b e lts, ra in fa ll
a n d te m p e ra tu re (in c lu d in g d a ily m a x im u m ), ru n -o ff, la n d u s e a n d G D P . It w ill a ls o in c lu d e c o v e r
b y n a tu ra l a n d a g ric u ltu ra l v e g e ta tio n , fo re s t c o v e r, g ra s s la n d c o v e r a n d p ro d u c tiv ity , s u rfa c e a re a
o f d e g ra d e d g ra s s la n d s, q u a n tity a n d ty p e s o f liv e s to c k , fire w o o d c o n s u m p tio n , c u ltiv a tio n o f
slo p e s, s o il e ro s io n a n d s e d im e n ts lo a d s, re fo re s ta tio n s u rfa c e a re a s, lo g g in g a re a s, c o m m e rc ia l
lo g g in g a re a s, e n e rg y u s e s tru c tu re , a n d in d u s tria l stru c tu re , e x te n t a n d q u a lity o f h a b ita t fo r
w ild life . T h is b a s ic in fo rm a tio n w ill a llo w c a lc u la tio n o f th e fo llo w in g e c o s y s te m fu n c tio n s:
c a p a c ity to re g u la te w a te r re te n tio n , c a p a c ity to re ta in s e d im e n ts, c a p a c ity to p ro te c t g lo b a lly
sig n ific a n t w ild life , c a rb o n s e q u e s te rin g c a p a c ity , a n d a n e stim a te o f th e te n d e n c y o f th re a ts to th e
d e liv e r y o f th e se e c o s y s te m fu n c tio n s . M E W S w ill u se s a te llite im a g e r y a n d se le c te d g ro u n d
v e rific a tio n . T h e G O C w ill c o v e r th e c a p ita l, tra in in g a n d ru n n in g e x p e n s e s re la te d to b a s e lin e
c o sts, in c lu d in g c o m p u te rs , s a te llite im a g e s, im a g e p ro c e s sin g h a rd w a re a n d s o ftw a re , G IS , b a s ic
d a ta b a se s a n d m a p s, c a rs, fie ld e q u ip m e n t, e tc . D u rin g p ro je c t e x e c u tio n , th e G E F w ill c o n trib u te to
c o v e r e x p e n s e s re la te d to b io d iv e rs ity c o n s e rv a tio n (w ild life h a b ita t q u a n tity a n d q u a lity ), c a rb o n
s e q u e s tra tio n , a n d in te g ra tio n o f in fo r m a tio n fo r d e c is io n -m a k e rs . A fte r p ro je c t c o m p le tio n , th e
G O C w ill c o v e r a ll c o sts fo r c o n tin u in g M E W S . A t th e e n d o f th e p ro je c t, th e G O C w ill h a v e a
fu lly d e v e lo p e d M E W S d e sig n fo r u p p e r b a s in E F C A s. M E W S w ill a ls o b e fu lly fu n c tio n a l a n d
p ro v id in g in te g ra te d re p o rts u se fu l to th e m a n a g e m e n t o f th e tw o d e m o s.

O u tc o m e s 3 a n d 4 : D e m o n str a te d e ffic ie n c y a n d e ffec tiv e n e ss in a c h ie v in g g lo b a l
e n v ir o n m e n ta l b e n efits a n d lo c a l e n v ir o n m e n ta l a n d so cio -ec o n o m ic b e n e fits b y ta k in g a n
in te g r a te d e c o sy ste m m a n a g e m e n t a p p r o a c h in th e B a o x in g a n d L a o ju n sh a n d e m o sites. T h e
p ro je c t w ill s h o w h o w to s u p p o rt a n d c o o rd in a te th e d e v e lo p m e n t a n d im p le m e n ta tio n o f
s u sta in a b le a lte rn a tiv e liv e lih o o d p ro g ra m s , re d u c e w a te r re te n tio n , re d u c e s e d im e n t lo a d s a n d
e lim in a te th re a ts to , a n d th e p ro m o tio n o f, g lo b a l e n v iro n m e n ta l v a lu e s. T h e p ro je c t w ill p ro v id e $
6 ,5 1 4 ,8 9 1 o f n o n -G E F fu n d s to s u p p o rt e c o lo g ic a lly - frie n d ly liv e lih o o d s a m o n g in h a b ita n ts o f th e
tw o d e m o s ite s. A t b o th d e m o n s tra tio n s ite s, th e p ro je c t w ill a ls o s e c u re p ro te c tio n o f g lo b a lly
sig n ific a n t b io d iv e rs ity , w ill re d u c e C O 2 e m is s io n s a n d w ill e n h a n c e c a rb o n s e q u e s tra tio n
m e c h a n is m s. T h e k e y is s u e w ill b e th e in tro d u c tio n o f in te g ra te d e c o s y s te m m a n a g e m e n t c o u p le d
w ith th e M o n ito rin g a n d E a rly W a rn in g S y s te m . A t e a c h site , th e p ro je c t w ill s u p p o rt th e
e sta b lis h m e n t o f a p a rtic ip a to r y d e c isio n -m a k in g c o m m itte e le a d b y th e p ro v in c ia l g o v e rn o r. T h is
c o m m itte e w ill m a k e m a n a g e m e n t d e c is io n s c o n s id e rin g e n v iro n m e n ta l a n d s o c ia l v a ria b le s. A ll
c u rre n t a n d fu tu re p ro g ra m s o n n a tu ra l fo re s t p ro te c tio n , re fo re s ta tio n , w a te r m a n a g e m e n t a n d
irrig a tio n , c o n v e rs io n o f s lo p e c u ltiv a tio n b a c k to fo re s ts, stre n g th e n in g o f p ro te c te d a re a s, a n d
m a n a g e m e n t o f s o il a n d w a te r c o n s e rv a tio n in th e tw o d e m o s w ill b e a u th o riz e d b y th is c o m m itte e ,
th u s e n s u rin g th a t lo c a l a n d g lo b a l v a lu e s w ill b e p ro te c te d . T h e c o m m itte e w ill m a k e d e c is io n s
A-5

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c o n s iste n t w ith th e g o a ls o f IE M , c o n s e rv a tio n a n d th e M E W S re p o rts. T h is c o m m itte e w ill a ls o
c o o rd in a te th e c re a tio n o f a ll a lte rn a tiv e liv e lih o o d s u n d e r th is p ro je c t. T h e s e d e m o s w ill b e c o m e
m o d e ls fo r la te r re p lic a tio n in o th e r E F C A s.

O u tc o m e 3 : E F C A s d e m o a t B a o x in g . T h e c o n trib u tio n o f th e G O C w ill o rig in a te a s n e w
in v e s tm e n ts a n d a s m o d ifie d b a s e lin e in v e s tm e n ts to e n s u re g lo b a l b e n e fits. T h e p ro je c t w ill
e sta b lis h IE M , p ro d u c e lo c a l b e n e fits, e n s u re p ro te c tio n o f g lo b a lly s ig n ific a n t b io d iv e rs ity u s in g
g ia n t p a n d a a s a n u m b re lla s p e c ie s, a n d in c re a s e c a rb o n g a in s/re d u c e e m is s io n s o f 2 2 ,9 5 0 to n s C
c o m p a re d w ith th e b a s e lin e . B io d iv e rs ity b e n e fits w ill a ris e fro m s tre n g th e n in g tw o o f th e th re e
p ro te c te d a re a s, c re a tin g b u ffe r z o n e s a n d c o rrid o rs a m o n g tw o o f th e m a n d m e a s u re s to p ro te c t th e
o v e ra ll b io d iv e rsity in th e a re a .

O u tc o m e 4 : E F C A s d e m o a t L a o ju n sh a n . T h e c o n trib u tio n o f th e G O C w ill o rig in a te a s n e w
in v e s tm e n ts a n d a s m o d ifie d b a s e lin e in v e s tm e n ts to e n s u re g lo b a l b e n e fits. T h e p ro je c t w ill
e sta b lis h IE M , p ro d u c e lo c a l b e n e fits, e n s u re p ro te c tio n o f g lo b a lly s ig n ific a n t b io d iv e rs ity , a n d
in c re a s e c a rb o n g a in s/re d u c e e m is s io n s e q u iv a le n t to 1 0 9 ,3 3 7 to n s C c o m p a re d w ith th e b a s e lin e .
B io d iv e rs ity b e n e fits w ill a ris e fro m c re a tin g h a b ita t fo r Y u n n a n G o ld e n M o n k e y a s a n u m b re lla
s p e c ie s. T h e p ro je c t w ill c re a te n e w b u ffe r z o n e s a ro u n d th e p ro te c te d a re a s a n d m e a s u re s to
c o n se rv e th e o v e ra ll b io d iv e rsity in th is site .

A t th e e n d o f th e p ro je c t, th e B a o x in g a n d L a o ju n s h a n E F C A s w ill b e fu lly fu n c tio n a l a n d h a v e
m a n a g e m e n t p la n s a n d s tru c tu re s e n s u rin g fu tu re s u s ta in a b ility a n d th e p ro te c tio n o f lo c a l a s w e ll
a s g lo b a l e n v iro n m e n ta l b e n e fits.

N a tio n a l S u p p o r t S tr u ctu r e. F o r e ffe c tiv e m a n a g e m e n t o f th e p ro je c t, th e p ro je c t w ill e sta b lis h
th e P ro je c t M a n a g e m e n t O ffic e , w h ic h is s ta ffe d a n d fu lly e q u ip p e d . T h e S te e rin g C o m m itte e a n d
S c ie n tific A d v is o r y G ro u p w ill b e e sta b lis h e d a n d b e c o m e o p e ra tio n a l. T h e a lte rn a tiv e fo r th is is
U S $ 1 ,1 5 6 ,0 0 0 , a n d G E F w ill c o v e r U S $ 5 3 8 ,0 0 0 .

6 . C O S T S A N D T H E IN C R E M E N T A L C O S T S M A T R IX
T h e A lte rn a tiv e c o sts $ 4 1 ,6 4 7 ,6 6 4 a n d th e B a s e lin e (b u sin e s s a s u s u a l) c o sts $ 1 4 ,7 0 3 ,4 3 8 . T h e to ta l
In c re m e n t is $ 2 6 ,9 4 4 ,2 2 6 . T h e G E F c o n trib u tio n w ill b e $ 3 ,9 9 9 ,6 6 0 (in c lu d in g P D F -B ). T h e G E F
w ill fu n d a ro u n d 9 .6 % o f th e c o s t o f th e A lte rn a tiv e (in c lu d in g P D F -B ). T h e p ro je c t is le v e ra g in g a
su b sta n tia l a m o u n t o f re so u rc e s ($ 2 2 ,9 4 4 ,5 6 6 ) o r a b o u t 6 d o lla rs fo r e a c h G E F d o lla r c o n trib u te d .

A-6

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IN C R E M E N T A L C O S T S M A T R IX

D o m estic
B en efits G lo b a l
B en efits
O u tco m e 1 . F u lly


d ev elo p ed in stitu tio n a l


m ech a n ism fo r


a ssessm en t o f


eco sy stem fu n ctio n s,


a n d p la n n in g fo r


E co sy stem F u n ctio n


C o n serv a tio n A rea s in


th e u p p er Y a n g tze


b a sin
U n d e r th e b u sin e ss a s u su a l
T h e re w ill b e so m e g lo b a l b e n e fits a risin g
B a se lin e
sc e n a rio , th e G O C w ill c o n tin u e
fro m m o re k n o w le d g e a b o u t th e
$ 1 3 ,2 0 4 ,9 1 0
w ith se c to r-b a se d a sse ssm e n ts
b io d iv e rsity in th e a re a , a n d fro m fo re st

a n d tra in in g w ith lim ite d sc o p e :
su rv e ys. S E P A 's a sse ssm e n t w ill p ro v id e

m o stly in w a te r re te n tio n ,
in fo rm a tio n o n th re a ts a n d ro o t c a u se s.

se d im e n t lo ss, a n d la n d
T h e re a re n o p la n s to c o o rd in a te a m o n g

re so u rc e s. G O C w ill d e sig n a te
su rv e ys, o r to in te g ra te a sse ssm e n ts to

E F C A s b a se d m o stly o n w a te r
g e n e ra te m a p s o f p o te n tia l E F C A lo c a tio n

re te n tio n a n d se d im e n t lo ss.
m a x im iz in g lo c a l a n d g lo b a l

T h e re w o u ld b e lim ite d
e n v iro n m e n ta l v a lu e s. $ 6 ,9 7 8 ,0 8 4 .

d isse m in a tio n o f E F C A v a lu e s.


$ 6 ,2 2 6 ,8 2 6 .







A lte rn a tiv e
C o m p le m e n ta ry a c tiv itie s to
T h e p ro je c t w ill c o m p le m e n t B a se lin e
$ 1 5 ,5 8 3 ,4 1 0 .
a sse ss w a te r re te n tio n , so il
su rv e ys a n d p ro d u c e a n in te g ra te d

re te n tio n , a n d la n d u se $ 4 9 4 ,5 0 0
a sse ssm e n t o f e c o syste m fu n c tio n s,

(P a id b y G O C ) o n to p o f th e
in c lu d in g th e o n e s o f p rim a rily n a tio n a l

b a se lin e a sse ssm e n t.
in te re st a n d th e o n e s w ith g lo b a l


e n v iro n m e n t v a lu e s: B D , C C , S L M a n d


IE M . T h e p ro je c t w ill g e n e ra te a n d


d isse m in a te a w e ll-ju stifie d list o f p rio rity


site s fo r fu tu re E F C A s w ith m u ltip le


e n v iro n m e n ta l v a lu e s. T h e p ro je c t w ill


d isse m in a te th e re su lts o f th e a sse ssm e n t


w id e ly. $ 1 5 ,0 8 8 ,9 1 0 .






In c re m e n t
T h e In c re m e n t in c lu d e s
T h e In c re m e n t in c lu d e s a d d itio n a l su rv e ys
T o ta l In c re m e n t is
a c tiv itie s n e e d e d to a sse ss w a te r
in B D , c a rb o n se q u e stra tio n , in te g ra tio n o f
$ 2 ,3 7 8 ,5 0 0 . O f th is
re te n tio n , so il re te n tio n a n d la n d
a sse ssm e n ts, p re p a ra tio n a n d
su m , th e G E F w ill
u se su rv e ys. (T h e G O C w ill
d isse m in a tio n o f in te g ra te d re p o rts (T h e
c o v e r o n ly $ 4 7 5 ,0 0 0 .
c o v e r a ll th e se c o sts ­
G O C a n d G E F w ill sh a re th e c o sts). (G E F :

U S $ 4 9 4 ,5 0 0 ).
U S $ 4 7 5 ,0 0 0 , G O C : U S $ 1 ,4 0 9 ,0 0 0 )





















A-7

---

O u tco m e 2 .


E sta b lish ed eco sy stem -


fu n ctio n -b a sed


M o n ito rin g a n d E a rly


W a rn in g S y stem


(M E W S ) in th e u p p er


Y a n g tze b a sin


B a se lin e
T h e re w ill b e sc a tte re d
T h e se a c tiv itie s w ill g e n e ra te n o re a l
$ 1 ,3 3 4 ,0 0 0 .
h yd ro lo g ic a l, ra in fa ll, w a te r
g lo b a l b e n e fits in IE M , B D o r C C .

q u a lity, a n d lo c a l sta tistic s a n d
$ 0

m e a su re m e n ts o f lim ite d u se in


c o n stru c tin g M E W S .


$ 1 ,3 3 4 ,0 0 0 .







A lte rn a tiv e
F ro m a d o m e stic b e n e fit
T h e p ro je c t w ill p ro d u c e a M o n ito rin g a n d
$ 4 ,8 0 0 ,2 5 0 .
p e rsp e c tiv e , M E W S w ill p ro v id e E a rly W a rn in g S yste m p ro v id in g

th e sa m e in fo rm a tio n a s th e
in te g ra te d in fo rm a tio n o n e c o syste m

B a se lin e . $ 1 ,3 3 4 ,0 0 0
fu n c tio n s o n a ye a rly b a sis, e sse n tia l fo r


IE M a n d in se c u rin g g lo b a l e n v iro n m e n ta l


b e n e fits in E F C A s a n d P A s. $ 3 ,4 6 6 ,2 5 0 .






In c re m e n t
T h e In c re m e n t d o e s n o t in c lu d e
T h e In c re m e n t in c lu d e s in fra stru c tu re ,
T o ta l In c re m e n t
a c tiv itie s w ith a d d itio n a l
m o n ito rin g a n d in fo rm a tio n in te g ra tio n
$ 3 ,4 6 6 ,2 5 0 . O f th is, th e
d o m e stic b e n e fits.
syste m s th a t w ill a llo w e sta b lish m e n t o f
G E F w ill c o n trib u te $

IE M w ith m u ltip le e n v iro n m e n t b e n e fits.
4 7 1 ,0 0 0 .

U S $ 3 ,4 6 6 ,2 5 0 (G E F : U S $ 4 7 1 ,0 0 0 , G O C :


U S $ 2 ,8 4 5 ,2 5 0 . T N C : U S $ 1 5 0 ,0 0 0 )



O u tco m e 3 .


D em o n stra ted


efficien cy a n d


effectiv en ess in


a ch iev in g g lo b a l


en v iro n m en ta l b en efits

a n d lo ca l


en v iro n m en ta l a n d


so cio -eco n o m ic


b en efits b y ta kin g a n


IE M a p p ro a ch in th e


B a o xin g d em o site


B a se lin e
N o m e a su re s w ill b e ta k e n to
T h e se a c tiv itie s w ill p ro v id e v e ry lim ite d
$ 1 4 ,5 2 8
a c h ie v e d o m e stic b e n e fits,
a n d in su ffic ie n t in v e stm e n ts in

U S $ 0 .
b io d iv e rsity p ro te c tio n , $ 1 4 ,5 2 8 . T h e re


w o u ld b e n o IE M , a n d u n sa tisfa c to ry


c a rb o n se q u e stra tio n o r a v o id a n c e o f


c a rb o n e m issio n .






A lte rn a tiv e
T h e p ro je c t w ill im p ro v e
T h e p ro je c t w ill sh o w h o w to su p p o rt a n d
$ 1 0 ,3 8 0 ,3 2 8
liv e lih o o d o f lo c a l sta k e h o ld e rs,
c o o rd in a te th e d e v e lo p m e n t a n d

a n d re d u c e w a te r p o llu tio n
im p le m e n ta tio n o f su sta in a b le a lte rn a tiv e
A-8

---

$ 3 ,3 7 9 ,0 0 0 .
liv e lih o o d p ro g ra m s, m a in stre a m se c to r


p ro g ra m s, re d u c e w a te r d isc h a rg e s, re d u c e


se d im e n t lo a d s, a n d e lim in a te th re a ts a n d


p ro m o te g lo b a l e n v iro n m e n ta l v a lu e s


th ro u g h IE M . A t b o th d e m o n stra tio n site s,


th e p ro je c t w ill se c u re p ro te c tio n o f


g lo b a lly sig n ific a n t b io d iv e rsity, w ill


re d u c e C O 2 e m issio n s a n d w ill e n h a n c e


c a rb o n se q u e stra tio n m e c h a n ism s. T h e k e y


w ill b e IE M c o u p le d w ith M E W S .


$ 7 ,0 0 1 ,3 2 8 .









In c re m e n t.
D o m e stic b e n e fits o f th e
G lo b a l b e n e fits in c lu d e e sta b lish m e n t o f
$ 1 0 ,3 6 5 ,8 0 0 .
in c re m e n t w ill in c lu d e re d u c tio n
IE M , p ro te c tio n o f g lo b a lly sig n ific a n t
O f th is th e G E F w ill
o f w a te r p o llu tio n a n d p ro v isio n
b io d iv e rsity a n d a v o id a n c e o f c a rb o n
c o v e r
o f a lte rn a tiv e liv e lih o o d
e m issio n s. U S $ 6 ,9 8 6 ,8 0 0 (G E F :
$ 1 ,2 4 7 ,4 0 0
c o n siste n t w ith p ro je c t o b je c tiv e . U S $ 1 ,2 4 7 ,4 0 0 : G O C : 5 ,7 3 9 ,4 0 0 )

T h e G O C w ill c o v e r th is c o st.


U S $ 3 ,3 7 9 ,0 0 0 .







O u tco m e 4 .


D em o n stra ted


efficien cy a n d


effectiv en ess in


a ch iev in g g lo b a l


en v iro n m en ta l b en efits

a n d lo ca l


en v iro n m en ta l a n d


so cio -eco n o m ic


b en efits b y ta kin g a n


IE M a p p ro a ch in th e


L a o ju n sh a n d em o site




B a se lin e
T h e G O C w ill d ra ft se c to r-b a se d
T h e se a c tiv itie s w ill p ro v id e v e ry lim ite d
$ 1 5 0 ,0 0 0
la w s a n d re g u la tio n s, a n d n a tu ra l a n d in su ffic ie n t in v e stm e n ts in

re so u rc e s m a n a g e m e n t p la n s.
b io d iv e rsity p ro te c tio n , $ 5 0 ,0 0 0 . T h e re

$ 1 0 0 ,0 0 0 .
w o u ld b e n o IE M , a n d u n sa tisfa c to ry


re d u c tio n o f c a rb o n e m issio n o r c a rb o n


se q u e stra tio n .






A lte rn a tiv e
T h e p ro je c t w ill im p ro v e
T h e p ro je c t w ill sh o w h o w to su p p o rt a n d
$ 9 ,1 8 3 ,6 7 6
liv e lih o o d o f lo c a l sta k e h o ld e rs,
c o o rd in a te th e d e v e lo p m e n t a n d

im p ro v e e n e rg y u se a n d re d u c e
im p le m e n ta tio n o f su sta in a b le a lte rn a tiv e

w a te r p o llu tio n . $ 3 ,7 9 1 ,8 9 1 .
liv e lih o o d p ro g ra m s, m a in stre a m se c to r


p ro g ra m s, re d u c e w a te r d isc h a rg e s, re d u c e


se d im e n t lo a d s, a n d e lim in a te th re a ts a n d


p ro m o te g lo b a l e n v iro n m e n ta l v a lu e s


th ro u g h IE M . A t b o th d e m o n stra tio n site s,


th e p ro je c t w ill se c u re p ro te c tio n o f
A-9

---

g lo b a lly sig n ific a n t b io d iv e rsity, w ill


re d u c e C O 2 e m issio n s a n d w ill e n h a n c e


c a rb o n se q u e stra tio n m e c h a n ism s. T h e k e y


w ill b e IE M c o u p le d w ith M E W S .


$ 5 ,3 9 1 ,7 8 5 .






In c re m e n t.
D o m e stic b e n e fits o f th e
G lo b a l b e n e fits o f th e A lte rn a tiv e in c lu d e
$ 9 ,0 3 3 ,6 7 6 .
in c re m e n t w ill in c lu d e re d u c tio n
e sta b lish m e n t o f IE M , p ro te c tio n o f
O f th is th e G E F w ill
o f w a te r p o llu tio n a n d p ro v isio n
g lo b a lly sig n ific a n t b io d iv e rsity a n d
c o v e r
o f a lte rn a tiv e liv e lih o o d
re d u c tio n o f c a rb o n e m issio n s.
$ 9 1 8 ,2 6 0
c o n siste n t w ith p ro je c t
U S $ 5 ,3 4 1 ,7 8 5 (G E F : U S $ 9 1 8 ,2 6 0 , G O C :
g o a ls.U S $ 3 ,6 9 1 ,8 9 1
2 ,0 8 1 ,1 1 5 , T N C : U S $ 2 ,3 4 2 ,4 1 0 ))


S u m m a r y o f p r o je c t c o sts

T o ta l B a selin e:
$ 1 4 ,7 0 3 ,4 3 8
T o ta l A ltern a tiv e (in clu d in g P D F , n a tio n a l su p p o rt co sts):
$ 4 1 ,6 4 7 ,6 6 4
T o ta l In crem en t (in clu d in g P D F , n a tio n a l su p p o rt co sts):
$ 2 6 ,9 4 4 ,2 2 6
T o ta l G E F co n trib u tio n to w a rd s th e in crem en t:
$ 3 ,9 9 9 ,6 6 0





A-10

---

D eta iled co stin g b y a ctiv ities o f th e B a selin e, A ltern a tiv e, T o ta l In crem en t, a n d
th e G E F co n trib u tio n (in U S $ ):

B a selin e (B )
A ltern a tiv e (A )
T o ta l In crem en t
G E F C o n trib u tio n
O u tco m e 1




A c tiv ity 1 .1
10,592,716 11,561,216
968,500
115000
A c tiv ity 1 .2
2,100,000 2,415,500 315,500
82,000
A c tiv ity 1 .3
-- 92,000 92,000
23,000
A c tiv ity 1 .4
390,243 1,002,743 612,500
155,000
A c tiv ity 1 .5
121,951 511,951 390,000
100,000
S u b to ta l
1 3 ,2 0 4 ,9 1 0 1 5 ,5 8 3 ,4 1 0 2 ,3 7 8 ,5 0 0
4 7 5 ,0 0 0
O u tco m e
2


A c tiv ity
2 .1
1 ,2 3 9 ,0 0 0 3 ,2 1 4 ,5 0 0 1 ,9 7 5 ,5 0 0
2 1 1 ,0 0 0
A c tiv ity
2 .2
9 5 ,0 0 0 7 3 1 ,7 5 0 6 3 6 ,7 5 0
1 3 9 ,0 0 0
A c tiv ity
2 .3
-- 8 5 4 ,0 0 0 8 5 4 ,0 0 0
1 2 1 ,0 0 0
S u b to ta l
1 ,3 3 4 ,0 0 0 4 ,8 0 0 ,2 5 0 3 ,4 6 6 ,2 5 0
4 7 1 ,0 0 0
O u tco m e 3




A c tiv ity 3 .1
-- 447,300 447,300
347,100
A c tiv ity 3 .2
-- 261,600 261,600
100,000
A c tiv ity 3 .3
-- 5,419,000 5,419,000
135,000
A c tiv ity 3 .4
14,528 2,448,228 2,433,700
433,700
A c tiv ity 3 .5
-- 1,420,000 1,420,000
20,000
A c tiv ity 3 .6
-- 384,200 384,200
211,600
S u b to ta l
1 4 ,5 2 8 1 0 ,3 8 0 ,3 2 8 1 0 ,3 6 5 ,8 0 0
1 ,2 4 7 ,4 0 0
O u tco m e 4




A c tiv ity 4 .1
-- 1,989,198 1,989,198
327,100
A c tiv ity 4 .2
100,000 310,717 210,717
100,000
A c tiv ity 4 .3
-- 2,574,837 2,574,837
120,260
A c tiv ity 4 .4
50,000 1,944,887 1,894,887
211,350
A c tiv ity 4 .5
-- 2,060,635 2,060,635
20,000
A c tiv ity 4 .6
-- 303,402 303,402
139,550
S u b to ta l
1 5 0 ,0 0 0 9 ,1 8 3 ,6 7 6 9 ,0 3 3 ,6 7 6
9 1 8 ,2 6 0
N a tio n a l su p p o rt
-- 1 ,1 5 6 ,0 0 0 1 ,1 5 6 ,0 0 0
5 3 8 ,0 0 0
stru ctu re
T o ta l o f th e a b o v e
1 4 ,7 0 3 ,4 3 8
4 1 ,1 0 3 ,6 6 4
2 6 ,4 0 0 ,2 2 6
3 ,6 4 9 ,6 6 0
P D F -B
--
5 4 4 ,0 0 0
5 4 4 ,0 0 0
3 5 0 ,0 0 0
T o ta l
1 4 ,7 0 3 ,4 3 8 4 1 ,6 4 7 ,6 6 4 2 6 ,9 4 4 ,2 2 6
3 ,9 9 9 ,6 6 0
N o te : T h e sy m b o l " --" in d ic a te s " n o fin a n c ia l in p u t" .

A-11

---

o rs o f im p a ct (o b jectiv es) a n d su ccessfu l
M ea n s o f v erifica tio n
R isk s a n d a ssu m p tio n s
m p letio n (o u tp u ts, en d o f th e y ea r-
o m p letio n ) (B a selin e co n d itio n 1)


h e en d o f Y ear 5 , S E P A re-o rgan izes th e
1 .R ep o rt fro m th e C h air o f th e E F C A
S E P A an d /o r p ro v in cial go v ern m en ts m ay
A E v alu atio n C o m m ittee to tak e th e IE M
E v alu atio n G ro u p to th e P S C , w h ich is to
ch an ge th eir p rio rities, an d /o r m ay fin d
ro ach fo r ev alu atio n an d m an agem en t o f
b e reco rd ed in th e P S C m in u tes
o th er m o re attractiv e E F C A m o d els.
y stem fu n ctio n s, b ased o n th e scien ce-


d assessm en t an d p lan n in g m eth o d o lo gies

E n v iro n m en tally an d cu ltu rally d iv erse
b lish ed th ro u gh th e cu rren t p ro ject an d o n

n atu re o f th e p ro ject area p rev en ts sm o o th
resu lts o f th e tw o d em o n stratio n sites

co o rd in atio n o f stak eh o ld ers, an d clear
selin e: th e G o v ern m en t o f C h in a h as

in d icatio n o f ach iev em en t o f glo b al
b lish ed th e E F C A E v alu atio n G ro u p );

en v iro n m en tal b en efits.
h e en d o f Y ear 5 , an eco sy stem fu n ctio n -
2 . R ep o rt fro m th e M E W S o p eratio n to

d M o n ito rin g an d E arly W arn in g S y stem
th e P S C
M in istries m ain tain cu rren t in terest in
h e u p p er Y an gtze b asin is ab le to sen d

E F C A d ev elo p m en t.
u al rep o rt to S E P A o n th e situ atio n o f

y stem fu n ctio n s, in su p p o rt o f in tegrated

y stem m an agem en t o f th e u p p er Y an gtze

n (B aselin e: th ere are secto ral m o n ito rin g

v ities).

ed o n th e reco m m en d atio n s m ad e b y th e
3 . L etters fro m p ro v in cial go v ern o rs to
ect, b y th e en d o f Y r.5 , S E P A an d th e
S E P A , an d S E P A d ecisio n reco rd s.
in cial go vern m en ts p lan th e

b lish m en t o f 6 -8 n ew E F C A s in th e u p p er


indicative nature, and during Year 1, the baseline conditions will be assessed, so that the stakeholders at the LSC and PSC
B-1

---

gtze R iv er b asin (b aselin e: tw o n atio n al-

l E F C A s, b u t n o E F C A estab lish ed b ased

o m p reh en siv e scien tific assessm en t).

h e en d o f Y r. 5 , th e tw o d em o s are legally
4 .P M O rep o rts to S E P A b ased o n th e
b lish ed , an d w h en co m p ared to year 1 ,
m o n ito rin g an d m easu rem en t o f: (i) w ater
:
reten tio n cap acity (m o d el b ased o n rem o te
A t least 5 % average in creases in w ater
sen sin g o f v egetatio n co v er); (ii) red u ctio n
reten tio n (b aselin e: 1 ,2 1 2 m illio n ­ 1 ,5 7 2
in sed im en t lo ad s (so il lo ss estim ate
m illio n m 3)
m eth o d av ailab le in C h in a); (iii) w ild life
A t least 2 0 % average red u ctio n s in
h ab itat (rep o rts o f th e p ro v in cial
sed im en t lo ad s (b aselin e: 0 .8 -1 .2 k g o f
go v ern m en ts); (iv ) carb o n seq u estratio n
sed im en ts in 1 m 3 o f ru n o ff.),
(estim ated fro m ch an ged lan d u se
E ffectiv e p ro tectio n o f 1 3 6 ,8 6 9 h a o f
p attern s), an d carb o n em issio n av o id an ce
p rim e w ild life h ab itat (B aselin e:
(estim ated fro m p ro v isio n o f m o re en ergy
4 6 ,0 9 0 h a),
efficien t sto v es); an d (v ) lo cal in co m e
A d d itio n al carb o n seq u estratio n an d
level (lo cal in co m e su rv ey)
av o id an ce o f em issio n s eq u iv alen t to

1 3 2 ,2 8 7 to n s C (B aselin e: 1 ,5 9 8 ,9 7 5 to n s

C ).

Im p ro v ed lo cal in co m e lev el b y 5 -1 0 %

(B aselin e: 1 ,0 1 4 -2 ,2 5 9 C h in ese Y u an )

h e en d o f Y r.5 , Y u n n an an d S ich u an h av e
5 .
L etters fro m p ro v in cial go v ern o rs to
an en t p ro v in cial level m ech an ism s
S E P A in fo rm in g o f th e estab lish m en t
iv in g in fo rm atio n fro m th e 2 E F C A sites
o f th ese E F C A m ech an ism s.
m ak in g b ro ad m an agem en t d ecisio n s

sisten t w ith agreed n atio n al an d glo b al

efits. (B aselin e: n o p ro v in cial m ech an ism

b lish ed )

h e en d o f Y r.5 , th e S ich u an an d Y u n n an
6 . N ew regu latio n s are availab le at th e
in cial go v ern m en ts ad o p t E F C A
S E P A an d P M O o ffices.
agem en t go als in agricu ltu re, fo restry ,
reso u rces, w ater reso u rces, p lan n in g an d
iro n m en t, in th e tw o d em o n stratio n
A s. (B aselin e: n o E F C A m an agem en t
s estab lish ed )
. S itu atio n o n th e eco sy stem fu n ctio n s in
1 . P u b lish ed in tegrated rep o rt, w h ich is
E F C A p lan n in g p ro cess at b o th n atio n al
B-2

---

Y an gtze R iv er B asin in 2 0 0 8 is estim ated ap p ro v ed b y th e S C
an d p ro v in cial lev els w ill b e co o rd in ated
m in ated . (B aselin e: n o in tegrated

w ith th e p ro gress in th e eco sy stem
n t an d d issem in atio n o f eco sy stem

fu n ctio n assessm en t.
)




. T h e G o v ern m en t o f C h in a an d fiv e
2 . S E P A an d p ro v in cial rep o rts av ailab le

l go v ern m en ts estab lish a stream lin ed an d
at S E P A .

ased E F C A assessm en t an d d esign atio n


m , b ased o n th e ex istin g E F C A


n C o m m ittee an d G ro u p s (b aselin e: T h e


alu atio n C o m m ittee at th e n atio n al lev el


A E v alu atio n G ro u p s at th e p ro v in cial


t b u t its d ecisio n is n o t b ased o n th e


ased assessm en t)




. S E P A an d fiv e p ro v in cial go v ern m en ts
3 . S E P A an d m in istries reco rd s.

estab lish 6 -8 n ew E F C A s in lo catio n s


t w ith th e reco m m en d atio n s o f th e


n t. (B aselin e: T w o n atio n al-lev el E F C A s


p er Y an gtze b asin , b u t n o E F C A


ed b ase o n scien tific assessm en t)




. T h e S C ap p ro v es th e assessm en t rep o rts
M in u tes o f th e S C .
- D elay s cau sed b y u n ex p ected d eliv ery o r
l eco sy stem fu n ctio n s related to w ater

d ata m an agem en t issu es.
, an d so il reten tio n in th e u p p er Y an gtze


sin .




. T h e S C ap p ro v es th e assessm en t rep o rt
M in u tes o f th e S C .
- S am e as ab o v e. N o p ro b lem s w ith
l eco sy stem fu n ctio n s related to

su rv ey s.
ity , carb o n seq u estratio n /em issio n s

- D elays cau sed b ecau se o f d ifficu lties
e, an d cu rren t an d p lan n ed lan d u se an d

w ith agreeab le in d icato rs.
ity in th e u p p er Y an gtze B asin .






h e S C ap p ro v es th e assessm en t rep o rt o f
M in u tes o f th e S C .
-P ro b lem s m ay arise w ith tim ely d ata
d ro o t cau ses fo r d egrad atio n o f critical

acq u isitio n .
fu n ctio n s.




B-3

---

h e S C ap p ro v es th e assessm en t rep o rt o f
M in u tes o f th e S C .
- D elay s m ay b e cau sed b y settin g u p an
m ic valu es o f all critical eco sy stem

v alu atio n m eth o d o lo gy
.






h e S C ap p ro v es th e in tegrated assessm en t
M in u tes o f th e S C .
.- T h ere m ay b e n o n -an ticip ated d elay s
a ll critical eco system fu n ctio n s an d

an d p ro b lem s w ith in tegratio n .






h e S C ap p ro v es th e reco m m en d ed list o f
M in u tes o f th e S C .
- D elays m ay b e cau sed b y th e in tegrated
n clu d in g th e fin al rep o rt o f th e

assessm en t rep o rt n o t clearly in d icatin g
n t, all m ap s, an d th e G IS .

th e eco sy stem fu n ctio n s an d th eir valu es






esu lts are d issem in ated to relev an t
L etters o f all in stitu tio n s ack n o w led gin g
- D elay s m ay b e cau sed if all rep o rts are
l go v ern m en ts, relev an t m in istries an d
receip t o f th e d o cu m en ts.
n o t d eliv ered in tim e.
n al o rgan izatio n s.


E P A in itiates to u se th e assessm en t an d
R ep o rt o f S E P A to th e S teerin g
n m eth o d o lo gies in o v erall E F C A
C o m m ittee.
n m ech an ism

en d o f Y r.4 , an in d ep en d en t ev alu atio n
1 . R ep o rt o f th e in d ep en d en t ev alu atio n .
-M E W S co u ld b e to o slo w in d ev elo p in g
th e u sefu ln ess o f M E W S in m an agin g th e

an d its rep o rt m ay n o t b e in co rp o rated in to
o sites. (b aselin e: n o m an agem en t o rien ted

m an agem en t o n tim e.
E W S estab lish ed )



- O th er E F C A s an d P A s m ay fin d M E W S
en d o f Y r. 4 , th e L o cal S teerin g
2 . L S C m in u tes in d icatin g ap p ro v al o f th e
ex p en siv e an d /o r n o t v ery u sefu l.
ees in tw o d em o n stratio n sites ap p ro v e th e rev ised E F C A m an agem en t p lan s an d

an agem en t p lan s o f th e tw o d em o sites,
ack n o w led gin g in p u t fro m M E W S .

th e resu lts p ro v id ed b y M E W S .


: n o m an agem en t p lan s o n E F C A d em o






o n th e cap acity o f u p p er Y an gtze M E W S
3 . L etter b y S E P A /M E W S to th e S C

ed an d co n n ected w ith p ro v in cial an d


B-4

---

es (B y Y ear 2 ), b y th e en d o f Y r. 5 , S E P A

o co v er o th er riv er b asin s in th e M E W S


aselin e: eco lo gical m o n ito rin g cap acity at

se A cad em y o f E n viro n m en tal S cien ces)




en d o f Y r. 5 , at least 3 n o n -p ro ject
4 . L etters fro m m an agers o f at least 3 n o n -

n d P A s req u est M E W S su p p o rt fo r th eir
p ro ject E F C A s an d /o r P A s req u estin g

en t. (B aselin e: n o req u est fo r M E W S
M E W S tech n ical su p p o rt.





d o f Y r. 2 , all n eed ed eq u ip m en t is
A rep o rt fro m P M O to S C in d icatin g all
D elay s m ay b e cau sed b y lo n g p ro ced u re
d , all p erso n n el is train ed , an d all
n eed ed eq u ip m en t p u rch ased , all
o f p ro cu rem en t.
are in p lace.
p erso n n el train ed , all d atab ases in p lace.



3 , 4 , an d 5 , th ere are 1 :1 ,0 0 0 ,0 0 0 - scale
A v ailab le at th e P M O .

f w ater reten tio n , so il co n serv atio n


an d v egetatio n co v er.






d o f Y r. 3 , all n eed ed eq u ip m en t is
-R ep o rts fro m P M U to S C in d icatin g all
D elay s m ay b e cau sed b y lo n g p ro ced u re
d , all p erso n n el is train ed , an d all
n eed ed eq u ip m en t p u rch ased , all
o f p ro cu rem en t.
are in p lace.
p erso n n el train ed , an d all d atab ases in

p lace



d o f Y ear 3 th e list o f m an agem en t
-M in u tes o f L S C s an d P S C s, in d icatin g

s w ith in itial co n d itio n s are d ev elo p ed an d
th eir ap p ro v al o n d em o site m an agem en t

P M U s, an d ap p ro v ed b y th e L S C s an d
in d icato rs.





ears 4 an d 5 , fu ll m o n ito rin g rep o rts o f
- M in u tes o f th e L S C s, ack n o w led gin g th e
D elay s m ay b e cau sed b y u n ex p ected
s are su b m itted to th e L S C s.
m o n ito rin g rep o rts an d P M U resp o n ses.
d eliv ery o r d ata m an agem en t issu es.


d o f Y ear 5 , exp erien ces o f th e d em o -
- L etters b y o th er E F C A s an d /o r P A s
O th er E F C A s an d P A s m ay sh o w in terests
W S are d issem in ated to o th er E F C A s
ackn o w led gin g receip t o f th e M E W S
in o th er M E W S m o d els.
s.
rep o rts
B-5

---

en d o f Y ear 4 , th e L S C is o fficial
1 . Y ear 4 : L etters fro m go v ern o rs to
-T h e E F C A m o d els im p lem en ted p ro v id es
, b y lo cal an d p ro v in cial go vern m en ts, as
S E P A .
accep tab le b alan ces o f lo cal an d glo b al
n d in g IE M -E F C A co m m ittees w ith

b en efits.
an agem en t resp o n sib ility .



-S u ccess in im p lem en tatio n m ak es th e
en d o f Y r. 4 , at least 3 n o n -p ro ject
2 . T h ree letters sh o w n o n -p ro ject E F C A
in ter-secto r ap p ro ach d esirab le to all
se th e resu lts an d exp erien ces o f th e
lead ers v isit th e sites an d u se th eir resu lts.
p arties.
d em o n stratio n site.



-C lim atic co n d itio n s allo w eco lo gical
arin g in itial co n d itio n s (Y ear 1 B aselin e)
3 .P M O rep o rts to S E P A b ased o n th e
v ariab les to resp o n d fast en o u gh fo r early
p rev ailin g b y th e en d o f th e p ro ject; th e
M E W S resu lts : (a) w ater reten tio n
d em o n stratio n o f o n -th e-gro u n d im p acts
d em o n stratio n site sh o w s:
cap acity (m o d el b ased o n rem o te sen sin g
d u rin g th e life o f th e p ro ject.
o f v egetatio n co v er); (b ) red u ctio n in

0 % average in crease in w ater reten tio n
sed im en t lo ad s (so il lo ss estim ate m eth o d

city (b aselin e: 2 ,8 0 0 -3 ,3 0 0 m 3/h a);
av ailab le in C h in a); (c) w ild life h ab itat

0 % av erage red u ctio n s in sed im en t lo ad s
(rep o rts o f th e p ro v in cial go v ern m en ts);

elin e: 0 .8 k g o f sed im en ts in 1 m 3 o f ru n -
(d ) carb o n seq u estratio n (estim ated fro m


ch an ged lan d u se p attern s); an d (e)

tiv e p ro tectio n o f 1 5 ,0 0 0 h a o f w ild life
average in co m e (lo cal su rv ey).

tat (b aselin e: 3 9 ,5 6 7 h a);


itio n al carb o n seq u estratio n eq u iv alen t to


5 0 to n s C . (b aselin e: 1 ,0 4 5 ,4 0 7


C /y ear); an d


rage in co m e o f lo cal resid en ts in th e


o n stratio n site in creased b y 5 % (b aselin e:


9 C h in ese Y u an ).








e: i) L S C agrees o n th e IE M as E F C A
(i) L S C m in u tes (w ith a list o f
In ter-secto r co o p eratio n m ay n o t b e
en t p rin cip le, ii) B y law s an d regu latio n s
p articip an ts), sh o w in g agreem en ts o n IE M sm o o th ly ach iev ed .
re ad o p ted b y lo cal go v ern m en ts, iii)
ap p licab le to E F C A m an agem en t, ii)

taffed , train ed an d eq u ip p ed .
R ep o rts b y lo cal go v ern m en t to L S C o n

b y law s an d regu latio n s,

iii) R ep o rt fro m P M U to L S C o n staffin g,

train in g an d eq u ip m en t.





B-6

---

e: an IE M p lan fo r th e E F C A is fu lly
M in u tes o f L S C , w h ich are su b m itted to
D elay s m ay b e cau sed d u e to tim e-
b y L S C .
P S C .
co n su m in g n ego tiatio n s.


o : a list o f n ecessary ch an ges in ru les an d
-M in u tes o f L S C , ap p ro v in g n ecessary

n s is id en tified b y L S C .
ch an ges in law s an d regu latio n s;



r: a rev ised IE M p lan , b ased o n th e
M in u tes o f L S C , w h ich are su b m itted to

esu lts, is fu lly ap p ro v ed b y L S C .
P S C .



r: A cts in d icatin g ch an ges are en acted .
-R ep o rts b y lo cal go v ern m en ts to L S C o n

th e acts





: a list o f n eed ed ch an ges to th e ex istin g
M in u tes o f L S C , ap p ro v in g a list o f
D elays m ay b e exp erien ced b ecau se o f
gram s, is ap p ro v ed b y L S C . T arget
ch an ges n eed ed ;
in ap p ro p riate p o litical in cen tiv es fo r in ter-
gram s are: fo restry , re-co n v ersio n o f

secto ral IE M in each relevan t secto r.
icu ltu ral lan d in to fo rests, q u arry .
M in u tes o f L S C , rep o rtin g o n th e ch an ges

alread y in co rp o rated in to th e p ro gram s

e, all ch an ges are in co rp o rated in to th e


,
M in u tes o f th e L S C .



r, secto r p ro gram s are im p lem en ted in


f IE M .








o , P A p lan s are ap p ro v ed b y th e L S C
-M in u tes o f th e L S C , ap p ro v in g th e P A
T rain in g, n ego tiatio n an d ap p ro v al o f
p lan ;
p lan s m ay req u ire lo n ger tim e th an

exp ected .
ree: train in g o f staff an d trails are fin ish ed . -R ep o rts b y P M U o n th e staff train in g an d

trail d ev elo p m en t
D elay s in p lan tin g d u e to seed lin g

av ailab ility .




ee, an A L P lan is ap p ro v ed b y L S C .
M in u tes o f th e L S C , ap p ro v in g th e A L
P ro b lem s in n ego tiatin g an d agreein g o n
p lan ;
A L w ith all stak eh o ld ers.




B-7

---

u r an d fiv e: A L is im p lem en ted , resu ltin g
F ield v isits an d in terv iew s, to b e rep o rted

ed eco n o m ic co n d itio n s.
to L S C





o , sy llab u s an d m aterials are d ev elo p ed to
P u b licatio n b y P M U o f th e sy llab u s an d
-D elays m ay b e cau sed in p rep arin g th e
n train in g.
m aterials, to b e rep o rted to L S C
m aterials. M aterials m ay b e o f satisfacto ry

q u ality b u t d eliv ery m ay n o t b e d o n e
ee, fo u r an d fiv e: 1 0 0 0 stu d en ts, farm ers,
R ep o rt b y P M U o n th e train in g activ ities
effectiv ely.
m akers are train ed .
to L S C .



e, th ere are at least 3 0 visits to th e E F C A
R ep o rts o n an d v o u ch ers fo r th e v isits,
-K ey v isito rs w ill co m e to th e site an d w ill
cisio n -m ak ers at th e n atio n al an d
p rep ared b y P M U an d su b m itted to L S C .
b e in terested in E F C A s.
l level.



B-8

---

en d o f Y ear 4 , th e L S C is o fficial
1 . Y ear 4 : L etters fro m go v ern o rs to
-T h e E F C A m o d els im p lem en ted p ro v id es
, b y lo cal an d p ro v in cial go vern m en ts, as
S E P A .
accep tab le b alan ces o f lo cal an d glo b al
n d in g IE M -E F C A co m m ittees w ith

b en efits.
an agem en t resp o n sib ility .



-S u ccess in im p lem en tatio n m ak es th e
en d o f Y r. 4 , at least 3 n o n -p ro ject
2 . T h ree letters sh o w n o n -p ro ject E F C A
in ter-secto r ap p ro ach d esirab le to all
se th e resu lts an d exp erien ces o f th e
lead ers v isit th e sites an d u se th eir resu lts.
p arties.
an d em o n stratio n site.



-C lim atic co n d itio n s allo w eco lo gical
arin g in itial co n d itio n s (Y ear 1 B aselin e)
3 .P M O rep o rts to S E P A b ased o n th e
v ariab les to resp o n d fast en o u gh fo r early
p rev ailin g b y th e en d o f th e p ro ject; th e
M E W S resu lts : (a-1 ) terrestrial w ater
d em o n stratio n o f o n -th e-gro u n d im p acts
an d em o n stratio n site sh o w s:
reten tio n cap acity (m o d el b ased o n rem o te
d u rin g th e life o f th e p ro ject.
sen sin g o f v egetatio n co v er); (a-2 ) w etlan d

av erage in crease in w ater reten tio n
w ater sto rage cap acity (u sin g fo rm u la

city (b aselin e) 2 ,1 0 0 -2 ,6 0 0 m 3/h a),
estab lish ed b y Y u n n an p ro v in ce an d u sin g

t 2 0 % av erage red u ctio n s in sed im en t
th e satellite im ages th ro u gh M E W S ); (b )

s (b aselin e: 1 .2 k g o f sed im en ts in 1 m 3 o f
red u ctio n in sed im en t lo ad s (so il lo ss

ff),
estim ate m eth o d av ailab le in C h in a); (c)

tiv e p ro tectio n o f 1 2 1 ,8 6 9 h a o f w ild life
w ild life h ab itat (rep o rts o f th e p ro v in cial

tat (b aselin e: 6 ,5 2 3 h a),
go v ern m en ts); (d -1 ) carb o n seq u estratio n

o n seq u estratio n eq u iv alen t to 9 4 ,5 0 0 to n s
(estim ated fro m ch an ged lan d u se

o id an ce o f carb o n em issio n s am o u n tin g
p attern s); (d -2 ) red u ctio n in carb o n

,8 3 7 to n s. C (b aselin e: 5 5 3 ,5 6 8 to n C o f
em issio n (estim ated fro m p ro v isio n o f

o n seq u estratio n an d 1 0 ,2 3 2 to n C o f
m o re en ergy efficien t sto v es; (e) average

o n em issio n ), an d
in co m e (lo cal su rv ey).

rage in co m e o f th e lo cal resid en ts in th e


o n stratio n site in creased b y 1 0 %


elin e: 1 ,0 1 4 Y u an )








e: i) L S C agrees o n th e IE M as E F C A
(i) L S C m in u tes (w ith a list o f
In ter-secto r co o p eratio n m ay n o t b e
en t p rin cip le, ii) B y law s an d regu latio n s
p articip an ts), sh o w in g agreem en ts o n IE M sm o o th ly ach iev ed .
re ad o p ted b y lo cal go v ern m en ts, iii)
ap p licab le to E F C A m an agem en t, ii)

taffed , train ed an d eq u ip p ed .
R ep o rts b y lo cal go v ern m en t to L S C o n

b y law s an d regu latio n s,

iii) R ep o rt fro m P M U to L S C o n staffin g,

train in g an d eq u ip m en t.

B-9

---

e: an IE M p lan fo r th e E F C A , is fu lly
M in u tes o f L S C , w h ich are su b m itted to
D elay s m ay b e cau sed d u e to tim e-
b y L S C .
P S C .
co n su m in g n ego tiatio n s.


o : a list o f n ecessary ch an ges in ru les an d
-M in u tes o f L S C , ap p ro v in g n ecessary

n s, is id en tified b y L S C .
ch an ges in law s an d regu latio n s;



r: a rev ised IE M p lan , is b ased o n th e
M in u tes o f L S C , w h ich are su b m itted to

esu lts, fu lly ap p ro v ed b y L S C .
P S C .



r: A cts in d icatin g ch an ges are en acted .
-R ep o rts b y lo cal go v ern m en ts to L S C o n

th e acts





: a list o f n eed ed ch an ges to th e ex istin g
M in u tes o f L S C , ap p ro v in g a list o f
D elays m ay b e exp erien ced b ecau se o f
gram s, is ap p ro v ed b y L S C . T arget
ch an ges n eed ed ;
in ap p ro p riate p o litical in cen tiv es fo r in ter-
gram s are: fo restry , re-co n v ersio n o f

secto ral IE M in each relevan t secto r.
icu ltu ral lan d in to fo rests, w etlan d an d


m an agem en t, an d en ergy .




e, all ch an ges are in co rp o rated in to th e
M in u tes o f L S C , rep o rtin g o n th e ch an ges

,
alread y in co rp o rated in to th e p ro gram s



r, secto r p ro gram s are im p lem en ted in
M in u tes o f L S C .

f IE M .




r: B io gas en ergy is su p p lied fo r 5 ,1 1 6
T h ro u gh lo cal su rv ey co n d u cted b y P M U

d s, an d im p ro v ed sto v es are p ro v id ed fo r


u seh o ld s.






o : P ro tected A rea p lan s are ap p ro v ed b y
-M in u tes o f th e L S C , ap p ro v in g th e P A
T rain in g, n ego tiatio n an d ap p ro v al o f

p lan ;
p lan s m ay req u ire lo n ger tim e th an

exp ected .


ree: train in g o f staff an d trails are fin ish ed . -R ep o rts b y P M U o n th e staff train in g an d
D elay s in p lan tin g d u e to seed lin g
trail d ev elo p m en t
av ailab ility .
B-10

---

ee, an A L P lan is ap p ro v ed b y L S C .
M in u tes o f th e L S C , ap p ro v in g th e A L
P ro b lem s in n ego tiatin g an d agreein g o n
p lan ;
A L w ith all stak eh o ld ers.


u r an d fiv e: A L is im p lem en ted , resu ltin g
F ield v isits an d in terv iew s, to b e rep o rted

ed eco n o m ic co n d itio n s.
to L S C





o , sy llab u s an d m aterials are d ev elo p ed to
P u b licatio n b y P M U o f th e sy llab u s an d
-D elays m ay b e cau sed in p rep arin g th e
n train in g.
m aterials, to b e rep o rted to L S C
m aterials. M aterials m ay b e o f satisfacto ry

q u ality b u t d eliv ery m ay n o t b e d o n e
ee, fo u r an d fiv e: 1 0 0 0 stu d en ts, farm ers,
R ep o rt b y P M U o n th e train in g activ ities
effectiv ely.
m akers are train ed .
to L S C .



e, th ere are at least 5 0 visits to th e E F C A
R ep o rts o n an d v o u ch ers fo r th e v isits,
-K ey v isito rs w ill co m e to th e site an d w ill
cisio n -m ak ers at th e n atio n al an d
p rep ared b y P M U an d su b m itted to L S C .
b e in terested
l level.


F ield v isits an d in terv iew s, to b e rep o rted

to L S C .

R E A C H A C T IV IT Y :
eld su rv e ys to g et w a ter re te n tio n in d ic ato rs su ch as v e g eta tio n typ es a n d th e ir co v era ge . L itter an d w a ter reten tio n cap a city. A sse ssed an d
eco s yste m . D a tab a se o f k e y in d ica to rs o f so il ero sio n an d sed im e n t re ten tio n . R e m o te sen sin g a n d fie ld su rv e ys to p ro v id e in p u ts fo r
e n ta tio n . D atab ase o f ke y in d ica to rs in cluding habitat quality, species distribution, especially those of an endangered or threatened nature to
aps of especially critical biodiversity areas. A sse ssed an d m a p p ed are a s an d typ es o f n a tio n al ke y p ro gra m s, su ch as refo re sta tio n , farm lan d s
n d grasslan d s. E va lu a ted c arb o n seq u e stra tio n (sin k ) p o ten tia l. M ap p ed en erg y ad ju stm e n t p ro g ra m s, su ch a s fu e l w o o d -sa v in g k itch en s an d
tio n o n lan d u se an d lan d u se ch an ges to evalu ate cu rren t p ro d u ctivity o f agricu ltu ral lan d s, grasslan d s, w ater areas an d fo rest eco system s.
ca l th re a ts an d ro o t ca u ses to ec o s yste m fu n c tio n s in d ifferen t are a s. A sse ssed lin k a g es b e tw e e n th rea t fac to rs an d th e ir ro o t cau se s to so cia l
. A ssessed eco n o m ic valu e o f all eco system fu n ctio n s to p ro vid e d ecisio n -m akers w ith n ecessary in fo rm atio n fro m an eco n o m ic p ersp ective.
ep o rt o f th e eco system fu n ctio n s (u n d er A ctivities 1 .1 -1 .2 ) w ith in tegrated an d w eigh ted m ap s.
vario u s assessm en ts an d p ro p o sin g E F C A lo catio n s.
B-11

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d ely th ro u gh p u b licatio n o f rep o rts, w o rksh o p , w eb p age an d target train in g fo r d ecisio n -m akers.
l m o n ito rin g m o d els an d e arly w a rn in g s yste m in co o rd in a tio n w ith th e tw o d e m o s. R e cru ited a n d tra in ed staff. P u rch ased v eh ic les, so ftw a re,
d an d verified b y gro u n d verificatio n .
m p u ters. T ra in in g o f staffs. E co lo gic a l m o n ito rin g m o d e l an d d a ta b a se s. R e m o te sen sin g -b ased e co s yste m an d in te gra te eco lo g ica l
related d ata. In tegrated rep o rt fo r u se in in tegrated reso u rce m an agem en t at th e tw o d em o s.
b ers fro m vario u s p ro vin cial b u reau s, rep resen tatives fo rm N G O s an d lo cal co m m u n ity. L o cal p ro ject o ffice at B ao xin g d em o site.
lan in lin e w ith M E W S a n d ap p ro v ed b y L S C . A n a lyz ed e x istin g ru les an d re gu latio n s a t th e S ic h u a n P ro vin c e le v el to d e term in e ch an g es
rren t ru les an d regu latio n s.
. P la n t n ativ e tre es to im p ro v e h ab itat fo r w ild life , p lan ted fru it tre es n e ar p ro te cted are as an d estab lish ed fire w o o d p lan ta tio n aro u n d v illa g es.
n ew tech n o lo gies to red u ce th eir en viro n m en tal im p acts.
rtic ip a to ry m a n a g e m e n t p lan s. T rain in g o f staff. B a sic in frastru ctu re to stren g th en th e m an a g e m en t o f F en g to n g zh a i a n d B ao x in g h e p ro tec ted
n gto n gzh ai n atu re reserve an d b am b o o co rrid o rs b etw een F en gto n gzh ai an d L ab ah e n atu re reserves fo r gian t p an d a as an u m b rella sp ecies.
liv e lih o o d p a c k a g e w ith fu ll p artic ip a tio n o f a ll lo ca l sta k eh o ld ers. P ilo t d e m o n stra tio n o f e co -to u ris m an d a gro -to u ris m p ro je c ts aro u n d
lan ted b am b o o . C ap acitated lo cal stakeh o ld ers fo r th e d evelo p m en t an d m an agem en t o f altern ative livelih o o d s.
a terials fo r 1 0 0 0 sch o o l ch ild ren , farm e rs, au th o ritie s an d v ario u s m a n a g ers, in c lu d in g a ll a g en cies rep re sen ted in th e IE M C C . D isse m in a ted
ro u gh a series o f w o rksh o p s an d selected visits to B ao xin g d em o site.
b ers fro m vario u s p ro vin cial b u reau s, rep resen tatives fo rm N G O s an d lo cal co m m u n ity. L o cal p ro ject o ffice at B ao xin g d em o site.
lan in lin e w ith M E W S an d ap p ro v ed b y L S C . A n a lyz e d e x istin g ru le s an d re g u la tio n s a t th e Y u n n an P ro v in c e le v e l to d e term in e ch an g es
rren t ru les an d regu latio n s.
5 0 0 h a o f trees p lan ted . 5 8 9 h a o f agricu ltu ral lan d o n steep slo p es re-co n verted in to fo restlan d s w ith selected n ative sp ecies. C o st-effective
in 5 ,1 1 6 h o u seh o ld s. P ro visio n o f 8 ,7 2 5 h o u seh o ld s w ith en ergy-savin g sto ves.
reserve fo r su stain ab le co n servatio n o f th e Y u n n an G o ld en M o n key an d asso ciated b io d iversity. M o d ified an d im p ro ved m an agem en t p lan .
ed in frastru ctu re to stren gth en th e m an agem en t o f th e P A s. 1 6 7 h a o f farm lan d re-co n verted .
an d d evelo p ed su stain ab le livelih o o d p ackage w ith fu ll p articip atio n o f all lo cal stakeh o ld ers. P ilo t d em o n stratio n o f eco -to u rism p ro ject in
cro p p lan tin g, d eer b reed in g, o rgan ic kid n ey b ean p lan tin g an d p lan tin g o f b am b o o in lin e w ith M E W S . T rain in g p ro gram s to in crease th e
n als an d lo cal stakeh o ld ers.
aterials fo r 1 0 0 0 sch o o l ch ild ren , farm ers, au th o rities an d vario u s m an agers, in clu d in g all agen cies rep resen ted in th e IE M C C . D issem in ated
n izin g w o rksh o p s an d selected visits to L ao ju n sh an d em o site
B-12

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A n n ex C . S T A P R o ster T ech n ica l R ev iew

Project title: Nature Conservation and Flood Control in the Yangtze River Basin
Reviewer: Pei Sheng-ji,
Professor, Kunming Institute of Botany,
Chinese Academy of Sciences,
President, Center for Biodiversity and Indigenous
Knowledge, Kunming, China, and
Ex-President of International Society of Ethnobiology
Date: 3 September 2003

1. Scientific and Technical Soundness of the Project

The conceptual framework of the project follows current concepts and principle of the
Ecosystem Function Conservation Areas (EFCAs) to integrate water and soil erosion control,
biodiversity conservation, carbon sequestration and ecosystem management together, to
reduce floods in the Yangtze River basin, The proposed project will set up implementation of
protection of global environmental values; establishment of monitoring and early warning
system; and help to establish two demonstration sites in the upper reaches of the Yangtze
River. These are scientifically sound and essential components of the integrated conservation
and management of mountain ecosystem. There is a sufficient knowledge and indigenous
wisdom in the region to plan and implement the proposed action. UNEP and SEPA have had
an outstandingly competent staff and policies since its establishment, and can be expected to
engage this scientific, technical and social knowledge when managing this project.

The approaches proposed have very high probability of achieving the goal and objectives of
the project. The Logframe Matrix (Annex B.) will help guide the process. The risks are not
with the project design itself but with working in the environmentally and culturally sensitive
region to any changes or interventions, as noted in the risk assessment of the proposal. There
is a comment from the reviewer to stress a need to get on with project implementation as soon
as possible. The critical issue is to launch the social dimensions of the project together with
the project activities in the initial stage of the project to quickly gain community confidence,
trust and support for the project. Livelihood, food security, land and resource tenure etc. must
improve quickly for buy-in to nature conservation so that local actions become reality.

2. Identification of Global Environmental Benefits

The global benefits in the proposal are well presented and clear. This is no question that the
biodiversity of the upper Yangtze Region is one of the global `Hot Spots', and part of the
world bio-cultural heritages recognized by international conservation agencies (IUCN, WWF,
CN, TNC etc.) and UNESCO-World Heritage Programme.

The Yangtze River basin has great potential of sequestrating greenhouse gases. Reforestation
and conservation of ecosystem in the basin will contribute to the net reduction of green house
gas emission from China.

These are well presented in the GEF Programming of the proposal.

3. How Does the Project Fit within the Context of the Goal of the GEF?

The project focuses on mountain range of highest biodiversity value. The scale of the
proposal covers a geographic space of sufficient size to embrace of the key elements of the
mountain ranges of upper Yangtze (known as the Hengduan Mountains of Eastern
Himalayas). This will enable the conservation program to provide a better opportunity for
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conserving globally important species: Giant Panda, Golden-hair Monkey, endemic and
unique Eastern Himalayan floristic components and ecosystems.

4. Regional
Context

The geographic area of the proposal lies within China, which sustains more than 200 million
population in China. However these are no immediate international dimensions in the project.

5. Replicability

It is important to note that the implication of the project as a model have significance to other
mountain regions of China, as well as to other Himalayan countries: Bangladesh, Bhutan,
India, Myanmar, Nepal and Pakistan. The challenges faced throughout the Himalayas are
similar to those of the Yangtze River ecosystems. The Himalayan Region is biodiversity-rich
and critical to water supplies down-streams, known as one of the `Water Towers of the
World'. Indigenous people that can contribute to and benefit from cooperative management of
the area occupy this region as well.

The Eco-regional Conservation Programme proposed by WWF and funded by UNEP in the
Himalayas, the Eastern Himalayan Biodiversity Programme proposed and implemented by
ICIMOD (International Center for Integrated Mountain Development, based in Kathmandu,
Nepal), and the PARDYP (People And Resources Dynamics Project) funded by SDC/IDRC
and implemented in China, India, Nepal and Pakistan, as well as other entities, seek to
promote the extension of such projects throughout the Himalayan Mountain Ranges from
Nepal to India, Pakistan to Myanmar. In this regard, the project could include a more explicit
activity to link its efforts with other projects throughout the Himalayas. The Nature
Conservation and Flood Control in the Yangtze River Basin Project could explicitly link with
conservation efforts of other projects to ensure that what is learned can be accessed by other
governments and communities.

6. Specific
Comments

Activity 1.1: Assessment of biodiversity retention capacity. The indicators for establishment
of priority biodiversity areas should be further developed to cover both natural and cultivated
species, key stone species, landraces of mountain crops, and linkage between protected areas
and managed landscapes. These can be prepared in consultation with experts and institutions
and universities located in the country (particular in Sichuan and Yunnan Provinces).

Activity 1.1: Assessment of carbon sequestration and avoidance of carbon emissions potential.
An important aspect of this is to explore and identify proper tree species for reforestation and
herbaceous plants for pastures as the level of absorbing CO2 of different plant species is
significant as well.

Activity 1.1: Assessment of land use and productivity for various ecosystem shall be
conducted, studying all traditional land management practices, and respecting local
knowledge and indigenous strategies. In many cases, mountain people pay more attention to
maintaining higher biodiversity in surrounding ecosystems rather than productive in the
marginal lands. This point is also applicable to Activity 1.2: economic valuation of ecosystem
function.

Outcome 2: MEWS: This is extremely important and also a very challenging task amongst
project activities. On one hand it is related to how to coordinate existing monitoring stations
handled by various ministries at local level; and on the other hand, it is required to have
scientific and technical coordination between different disciplines.

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EFC-A demo at Laojunshan: There is no mentioning about the role of traditional culture in
the conservation. The area has a long history of the Sacred Natural Site (SNS) conservation
approach by different ethnic cultural groups. There is a need to recognize and integrate this
traditional conservation approach into the demo site (According to Luo Peng, 2001). In the
Naxi village `He Yen' in Lijiang District, the total farming land is only 5% of the total land
but the SNS makes up 42% of the total collective forests at present. It is my suggestion to
include the SNS in the mapping of land use in both Laojunshan and Baoxing demo sites.

The project should pay attention to the invasive species, eg. Agratina adenophorum in the
middle mountains of the Yangtze region. At least the issue should be dealt with at the start up
monitoring work and is to be included in the MEWS plan.

Finally, I would like to conclude my review in the below:
This is an excellent project and I recommend its support without reservation.

Additional Review Comments from Pei Shengji , STAP Reviewer, on 07.09.2003.

7. How the project fits within the context of the goals of GEF

Section 3:
This project fits properly within the context of the Goal of the GEF. The
Yangtze River and its ecosystem are globally important as the basin is inhabited by a number
of globally important endemic relic and rare species (e.g. Giant Panda, Golden Hair Monkey
spp., the Yangtze Dolphin, the living fossil tree Metasequa, etc.), which are critically
threatened by human population, population increase and disasters like floods. Conservation
efforts with GEF support will be a great contribution to global biodiversity and environment.
The project has close linkages with GEF strategies and program priorities of biodiversity,
water and carbon sequestration, and is relevant to the CBD and UN Convention on climate
change.

8. Replicability

Section 5:
The project can make special contribution to the integrated ecosystem
management of great river systems in China and other pats of Asia, in particular on the
interrelationship of lowlands and highlands of a river system. It is highly expected that
Immediate Objective 2: MEWS will provide experiences in this regard. The other value-
added for the global environment beyond the project itself are improvement of livelihood of
mountain rural communities and promotion of social and cultural development among local
ethnic minorities through local people participating in project activities as well as
strengthening of cooperation of local institution in environment conservation.

9. Sustainability of the project

Conservation of the Yangtze River and its ecosystems is long-term policy prioritized by the
Chinese government, and supported by all societies in the region. There is, therefore, no
doubt about the sustainability of the project.

10. Linkage with other GEF operational programs
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This project has distinctive linkages to GEF operational programs: a strong linkage with
biodiversity and water conservation reflected in the implementation of the project, linkage
with conservation of biodiversity in natural habitats and agro-biodiversity in farming land of
the two domo sites of the project, linkages of biodiversity and carbon sequestration in
Activity 1.1 of the project.


11. Other beneficial or damaging environmental effects

The reviewer believes that this project will benefit not only the environment of the project
demo site areas, but also the environment of the downstream of the Yangtze River. I cannot
see any damaging environment effects with the project.

12. Degree of involvement of stakeholders

This project has a wide range of involvement of stakeholders, from conservation line agencies
at central, provincial and local levels, to community people of different cultural groups. The
degree of involvement of stakeholders of this project is very high, which brings challenges for
coordination of project implementation.

13. Capacity building

There is a strong component of capacity building designed in the project. As the project
covers biodiversity, water and carbon sequestration, and environment monitoring/working
systems (MEWS), training of people involved in this project at different levels is of
importance. Environmental awareness education, practical technology training on tree
plantings, management and protections are critical issues in the two demo sites, which are
included in the project activities. Additional adjustment is needed in the course of
implementation (e .g. PRA methods in project planning).

14. Innovativeness of the project

There is innovativeness in this project, as I observed at least two aspects: one is the EFCAS
which is put into implementation practice (from concepts and principles) for a large
conservation project, and the other is a sound linkage established between protected areas,
managed landscaping and natural sites for conservation in a large watershed, which are new
developments of conservation activities.

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A n n ex C 1 . R esp o n se to S T A P
Reviewer: Dr. Pei Sheng-ji
IA Response: UNEP task team


1. SCIENTIFIC AND TECHNICAL SOUNDNESS OF THE PROJECT

The reviewer believes that the project is scientifically and technically sound, following the
concept and principles of the Ecosystem Function Conservation Areas (EFCAs). The project
components are essential elements of integrated mountain ecosystem conservation and
management.

The EFCAs concept and policy is the basis for designing and implementing the project. We
note this, and an integrated approach should be maintained throughout the project
implementation.

There is sufficient knowledge and indigenous wisdom in the region to plan and implement the
proposed action, and such knowledge should be used for the management of the project.
From the initial stage of the implementation of the project, local stakeholders should be
closely contacted to absorb locally available knowledge.

The reviewer suggests that the risk associated with the project is not relevant to the project
design but to environmentally and culturally sensitive area to any changes and interventions.

We fully agree that the risk is associated with the implementation of a project in
environmentally and culturally sensitive areas and the risk statement in SECTION III and
Logframe matrix has been modified to highlight his concern.

The reviewer suggests that the critical issue is to launch the social dimension of the project, to
quickly gain community confidence, trust and support for the project.

We fully agree and appreciate the suggestion by the reviewer. It is strongly recognized that
socio-economic issues are critical in addressing root causes for the degradation of the
ecosystem functions. As soon as the demo components are established, a wider stakeholder
consultation will be conducted through the activities 3.2 and 4.2 in the two demonstration
sites. In order to emphasize social as well economic issues, some more information on socio-
economic issues in two demo sites has been presented in paragraph 11 and Annex G.

2. IDENTIFICATION OF THE GLOBAL ENVIRONMENTAL BENEFITS AND/OR
DRAWBACK OF THE PROJECT

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The reviewer believed that the global environmental benefits related to biodiversity, bio-
cultural heritage, sequestration of green house gases have been well identified and presented.

In addition to the clear presentation of the biodiversity and climate change related global
environmental benefits, the project also aims at sustainable land management benefits. To
reinforce the presentation on sustainable land management benefits, SECTIONS I and II have
been modified. Further, more information on land management issues is added to ANNEX G.

The project covers a geographic area of sufficient size to address key elements of globally
significant biodiversity-rich Eastern Himalayas mountain ridge.

The project targets the upper Yangtze River basin, and its size would be sufficient to
conserve globally significant species.

3. HOW THE PROJECT FITS WITHIN THE CONTEXT OF THE GOALS OF GEF, AND
LINKAGE WITH OTHER GEF OPERATIONAL PROGRAMMES

The reviewer believes that the project fits clearly within the GEF operational strategy and
programs of biodiversity and climate change.

The project will also aim at securing global environmental benefits related to integrated
ecosystem management as outlined in the GEF Operational Program 12. In order to emphasize
the GEF programmatic linkage with the Operational Program 15, information on sustainable
land management benefits has been added in SECTIONS II and III.

4. REGIONAL
CONTEXT
The project geographical coverage falls entirely in China, and there is no regional dimension
of the project.
It is estimated that some of the underlying issues for floods (deforestation, soil erosion, loss of
water retention capacity, etc.) may be common in surrounding countries, particularly
countries sharing the Hindu Kush Himalaya (HKH) and/or Southeast Asian countries. These
countries may take interests in the IEM approach the project is pursing. Although the project
is designed as a single-country based project, the results of the projects will be disseminated
in English to the interested countries through the UNEP network as well as its partners such
as ICIMOD and TNC. Further, existing experiences and lessons in other countries,
particularly from Asia will be introduced through training of project management personnel.
These issues are now reflected in project components and expected results.
5.
REPLICABILITY OF THE PROJECT (ADDED VALUE FOR THE GLOBAL
ENVIRNMENT BEYOND THE PROJECT ITSELF)

It is important to note that the project functions as a model, and this model be replicated to
other mountain areas in China and other Himalaya countries. Local communities can
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contribute to and benefit from cooperative management. Explicit activities should be included
in the project to this effect.


During the PDF-B, selection criteria for demonstration sites were developed, and one of the
criteria was replicability. Among the candidate sites identified through the stakeholder
consultation, the selected two sites therefore have high potential of replication in the other
part of the upper Yangtze River basin and possible in the other parts of China.

The project will seek regional dimension through dissemination of the results to other parts of
China and to other countries in Himalayas. Lessons from other countries will also be
introduced to project implementation.

We highly appreciate that the reviewer introduced some relevant projects, either planned or
implemented, which are potential vehicles to disseminate the results of the project, and to
obtain lessons learnt from other parts of the world. The project management team will keep
close contact with the projects that have been indicated by the reviewer.

The project can make contribution to integrated ecosystem management of great river systems
in China and other Asian countries, in particular on the lowland and highland relationship.
MEWS can gain experience in this.

We note that such a lowland-highland aspect can be addressed through the integrated
ecosystem management approach. It is expected that the MEWS results will show such
linkages between lowland and highland.

The other value-added for the global environment beyond the project itself is improvement of
livelihood of mountain rural communities and promotion of social and cultural development
among local ethnic minorities.

This is a critical aspect of the project. Through the activities relevant to the alternative
livelihoods, socio-economic development of mountain rural communities can be promoted.

6. SUSTAINABILITY OF THE PROJECT

Conservation of the Yangtze River and its ecosystems is a long-term policy of the Chinese
Government, and supported by all societies, and thus there is no doubt about sustainability.

Based on the overall long-term priority of the Government, the project will seek immediate
sustainability (end of the project) through integration of the project management structure
into existing central and local government structure. Further, by demonstrating actual
benefits in which the project approach can result, the long-term government policy for the
integrated ecosystem approach is anticipated to be maintained and strengthened.

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7. LINKAGE WITH OTHER PROGRAMMES AND ACTION PLANS AT REGIONAL OR SUB-
REGIONAL LEVELS

The reviewer proposed that linkages should be established with the proposed
WWF/ICIMOD/UNEP project on Eastern Himalaya Biodiversity Programme, PARDYP
(People and Resources Dynamics Project) by SDC/IDRC.

The Yangtze River project will seek and maintain linkage with the project indicated by the
reviewer during the project implementation, particularly for exchange of lessons learned and
dissemination of results.

8. OTHER BENEFICIAL OR DAMAGING EFFECTS

The reviewer suggests that there be environmental benefits downstream of the Yangtze River.

The project's overall development goal is to achieve nature conservation and flood control in
the Yangtze River basin and when expected results are produced in the upper basin, there
should be positive environmental effects on downstream, reduced sediments, reduced flood
risks, etc. The assessment component, although targeting the upper basin, can clarify
possible downstream benefits in a more concrete term.

9. DEGREE OF INVOLVEMENT OF STAKEHOLDERS

The high degree of stakeholder involvement of different culture will bring challenges to the
project implementation.

We appreciate the comment, and during the project implementation, we would like to ensure
social and cultural issues are well taken into consideration.

10. CAPACITY-BUILDING ASPECTS

The project covers multiple disciplines, and involves strong capacity building component.
The reviewer, however, gives importance to environmental education and awareness raising
and practical technology training on tree planting, management and protection.

We agree that the two pronounced fields for training are important for the two demo site, for
which project has corresponding components. During the implementation of the project,
environmental education and awareness raising, as well as tree planting training on
technology aspects will be conducted within the components.

11.
Innovativeness of the project
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The reviewer identified two aspects of innovativeness of the project: the EFCAs concept and
principle will be put in practice, and establishing linkage between protected areas and
landscape management in a large watershed.

We note this comment.

12.
Other specific comments

Activity 1.1: The indicators for establishment of priority biodiversity areas should be further
developed in consultation with experts and institutions in the country (particular in Sichuan
and Yunnan Provinces)

We agree that this is of importance. During the project, under the Activity 1.1 and in
consultation with the Scientific Advisory Group as well as other experts, such indicators will
be developed. The indicator should cover the issues related to habitat quality, mountain
crops, and nature reserves and corridors.

Activity 1.1: It is important to explore and identify appropriate tree species for reforestation
and herbaceous plants for pastures as the level of absorbing CO2 of different plant species is
significant.

The activities Output 1.4 aim at assessing the current programs and sequestration potential.
We would rather suggest that such identification of appropriate plant species be conducted
under Outputs 3.4 and 3.13.

Activities 1.1 and 1.2: Assessment of land use and productivity should be based on a study of
all traditional land management practices, respecting local knowledge and indigenous
strategies.

We agree that, in many cases, local knowledge and indigenous strategies are helpful for
maintaining biodiversity. Activity 1.1 incorporates such an issue.

Outcome 2: MEWS is a challenging task amongst project activities, in two aspects:
coordination of existing monitoring stations by various ministries at local level; and scientific
and multi-disciplinary technical coordination.

It is our main principle concerning the MEWS that the existing monitoring systems by various
ministries/administrations should be used as much as possible. In terms of coordination
among existing stations, the Local Steering Committee will be able to take a proactive role in
the coordination of monitoring activities by various bureaus. To achieve this Outcome, we
will seek necessary input from technical experts of differing technical background through the
Scientific Advisory Group, as well as direct engagement of such experts.

Demo at Laojunshan: The area has a long history of Sacred Natural Site (SNS) conservation
approach by different ethnic cultural groups. There is a need to recognize and integrate this
traditional conservation approach into the demo site. The reviewer suggests to include the
SNS in the mapping of land use in both Laojunshan and Baoxing demo sites.

While there are not many SNS areas in the two demonstration sites, SNS, as a critical issue
suggested by the reviewer, will be given full attention. The SNS will be identified when
alternative livelihoods in the demo sites are planned and implemented under Activities 3.5
and 4.5, and will be clearly mapped.
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The project should pay attention to the invasive species, eg. Agratina adenophorum in the
middle mountains of the Yangtze region, at least in the monitoring work.

We agree that the invasive species are one of the threats to critical ecosystem functions in the
demo sites and will be a subject for the MEWS.
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A n n ex D . L etter o f E n d o rsem en t
D-1

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A n n ex E . T h rea ts a n d R o o t C a u ses o f E co sy stem D eg ra d a tio n a t T w o D em o s
T h is A n n e x w a s e d ite d f ro m th e te x t in itia lly d ra fte d b y r e p re s e n ta tiv e s o f lo c a l s ta k e h o ld e rs a fte r
d is c u s sio n s in th e fie ld , a n d la te r tra n sla te d in to E n g lis h . A s w ill b e s e e n , o v e ra ll th re a ts a n d ro o t
c a u s e s d e s c rib e d in th e m a in te x t a re a ls o v a lid a t th e tw o d e m o s ite s , b u t s o m e o f th e m re q u ire
sp e c ia l e m p h a se s:
B A O X IN G
T h re a ts
In a p p ro p ria te m a n a g e m e n t o f m a rb le q u a rrie s
1 ) O ld a n d e n v iro n m e n ta lly -u n f rie n d ly te c h n o lo g ie s u s e d a n d in s u ffic ie n t in te re st s o f a r in
c h a n g in g th e se te c h n o lo g ie s.
H u m a n e n c ro a c h m e n t d e c re a se s h a b ita t fo r g ia n t p a n d a s a n d o th e r a n im a ls a n d p la n ts.
R a p id in c re a s e o f lo c a l p o p u la tio n : In B a o x in g , th e re w e re 3 9 ,1 6 0 p e o p le re p o rte d in th e y e a r
1 9 5 6 , a n d 5 5 ,1 0 4 in 2 0 0 0 . R a p id in c re a s e in lo c a l p o p u la tio n re q u ire s m o re n a tu ra l re s o u rc e s .
P o p u la tio n o f th e d e m o s ite w ill re a c h 5 5 ,3 5 9 in 2 0 0 5 a n d 5 6 ,0 2 3 in 2 0 1 0 . L a c k o f c o n tro l a n d
e n fo rc e m e n t.
C a p a c ity to m a n a g e P A s is in s u ffic ie n t a n d c a p a c ity to m a n a g e b u ffe r z o n e s a n d c o r rid o r s a r e
n o n -e x iste n t.
1 ) C a p a c ity b u ild in g a n d m o n ito rin g s y s te m s p e c ific o n e c o s y s te m f u n c tio n c o n s e rv a tio n , B D
a n d C C la c k in g ;
2 ) C o rrid o rs m a n a g e m e n t la c k in g ; a n d
3 ) T h e c o n c e p t o f E F C A s h a s ju st b e e n p ro p o s e d a n d it is n o t y e t in te g ra te d in to th e m a n a g e m e n t
o f P A s o r b u ffe r z o n e s.
In su ffic ie n t b io d iv e rsity -frie n d ly la n d -u se p la n n in g a n d d e v e lo p m e n t.
1 ) C a p a c ity in m u lti-se c to ra l a g e n c ie s re m a in s w e a k ; a n d
2 ) N o d e m o s o f B D -frie n d ly la n d u se a v a ila b le .
A lte rn a tiv e liv e lih o o d sc h e m e s n o t d e v e lo p e d fo r lo c a l c o m m u n itie s in th e d e m o site
1 ) T h e re is a n e e d to re v ie w c u rre n t sc h e m e s a n d lo o k fo r n e w o p tio n s; a n d
2 ) C u rre n t a lte rn a tiv e liv e lih o o d s c h e m e s a re d e sig n e d m a in ly b y B a o x in g T o u ris m B u re a u
w ith o u t p a rtic ip a tio n o f lo c a l c o m m u n itie s.

R o o t c a u se s
L a c k o f in stitu tio n a l fra m e w o r k s fo r in te g ra te d e c o s y ste m m a n a g e m e n t o f B D , C C , a n d e c o s y s te m
fu n c tio n c o n se rv a tio n (F C ).
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1 ) In te r-a g e n c y c o -o p e ra tio n is la c k in g a n d th e re a re n o fo c a l p o in ts re s p o n sib le fo r B D , C C , F C ,
a n d d e v e lo p m e n t p la n n in g a n d im p le m e n ta tio n a t c o u n ty le v e l;
2 ) L a c k o f in stitu tio n a l f ra m e w o rk f o r e n c o u ra g in g th e p a rtic ip a tio n o f lo c a l c o m m u n itie s in th e
d e m o site .
3 ) A d h o c re v ie w s a n d m o n ito rin g c o n tin u e in a n u n -c o o rd in a te d a p p ro a c h to c o u n ty a c tiv itie s
fo r n a tu re c o n se rv a tio n , a n d flo o d c o n tro l;
4 ) N o in te r-a g e n c y c o o rd in a tio n sy ste m o r m e c h a n ism e sta b lish e d ;
5 ) L a c k o f s u p p o rt f ro m c o u n ty le v e l to th e e sta b lis h m e n t a n d o p e ra tio n o f p ro v in c ia l a n d
n a tio n a l le v e l m a n a g e m e n t sy ste m s; a n d
6 ) L a c k o f s u ffic ie n t p ro v in c ia l a n d c o u n ty le v e l a w a re n e s s o f G ia n t P a n d a p ro te c tio n n e e d e d in
P A s, b u ffe r z o n e s a n d c o rrid o rs.
E n a b lin g p o lic y , le g a l a n d fin a n c ia l m e c h a n ism s a n d fra m e w o rk s a re n o t in stitu te d .
1 ) L o c a l c a p a c ity to d e v e lo p s o u n d in te g ra te d e c o s y s te m m a n a g e m e n t p o lic e s , a n d to e x e c u te
m a n a g e m e n t stra te g ie s a re w e a k ; a n d
2 ) C a p a c ity to e n fo rc e e n v iro n m e n ta l re g u la tio n s a re w e a k .
P o lic ie s to c o n s e r v e e c o s y ste m fu n c tio n s r e la te d to w a te r a n d s o il c o n s e r v a tio n a r e n o t
o p e ra tio n a lize d .
1 . F o re s t lo g g in g : T h e f o re st re s o u rc e s w e re v e ry ric h in J ia jin M o u n ta in , a n d it h a s lo n g
b e e n th e w o o d -s u p p ly in g c e n te r f o r C h e n g d u B a s in . T h e e a ste rn sid e w a s a lm o s t b a re
a fte r la r g e -s c a le lo g g in g . T h e firs t a n d s e c o n d trib u ta rie s o f th e Q in g y i R iv e r a re a ls o
s u b je c t to v a rio u s d e g re e s o f c o m m e rc ia l lo g g in g . S u c h lo g g in g le a d s to th e
fra g m e n ta tio n o f th e h a b ita ts o f G ia n t P a n d a . In a d d itio n , lo g g in g w ill d e g ra d e s o il
stru c tu re .
2 . H u m a n -in d u c e d c a u s e s f o r s o il e ro sio n in c lu d e c u ltiv a tio n p ra c tic e s o n th e slo p e s o v e r
2 5 d e g re e s ; lo g g in g a n d tim b e r c o lle c tio n ; a n d irra tio n a l a n d im p ro p e rly m a n a g e d
m in in g . N o in te g ra te d a p p ro a c h to m a n a g e th e se th re a ts h a s b e e n o p e ra tio n a liz e d so fa r.
3 . In te g ra te d m e a s u re s to c o n se rv e w a te r a n d s o il a re n o t w e ll im p le m e n te d o r
d e m o n stra te d ;
4 . N a tu re c o n se rv a tio n is n o t w e ll in te g ra te d in to c u rre n t la n d u se p la n s; a n d .
5 . N o b u ffe r z o n e s o r c o rrid o rs p la n n e d .
L a c k o f p u b lic a w a r e n e s s in th e d e m o s ite s o n th e e c o lo g ic a l fu n c tio n s r e la te d to flo o d c o n tr o l,
b io d iv e rsity c o n se rv a tio n , c a rb o n sto ra g e a n d in te g ra te d m a n a g e m e n t o f e c o sy ste m s;
1 ) T a rg e t g ro u p s a re n o t id e n tifie d a n d th e a w a re n e ss p ro g ra m s/m a te ria ls a re n o t d e sig n e d ;
2 ) A w a re n e s s c a m p a ig n s o n E F C A , I E M , P A , b u f fe r z o n e s a n d c o rrid o rs in a p p ro p ria te f o rm a ts
a re n o t a v a ila b le ; a n d
3 ) C a p a c ity o f a g e n c y /sta ff fo r e n v iro n m e n ta l e d u c a tio n is w e a k ;


L A O J U N S H A N
T h r e a ts
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L o s s a n d q u a lity d e g ra d a tio n o f h a b ita t fo r Y u n n a n G o ld e n M o n k e y , w a te r b ir d s a n d o th e r p la n ts
a n d a n im a ls.
1 ) S in c e 1 9 7 0 s th e f o re sts a re la r g e ly d e s tro y e d d u e to la r g e -s c a le c o m m e rc ia l lo g g in g . F o re s t
c o v e ra g e a t th e d e m o s ite h a s re d u c e d f ro m 5 6 % in 6 0 s to 3 0 % in 8 0 s . L a r g e -s c a le f u e lw o o d
c o lle c tio n , tra d itio n a l sla s h -a n d -b u rn liv e lih o o d o f Y i p e o p le , c o n v e rs io n o f fo re s tla n d a n d
w e tla n d in to f a rm la n d re s u lte d in lo s s o f h a b ita t f o r m a n y f o c a l p ro te c tio n s p e c ie s a t d e m o
site . S o f a r, c o m m e rc ia l lo g g in g is b a n n e d . H o w e v e r, d u e to th e p o v e rty a n d n o a lte rn a tiv e
e n e r g y o p tio n , th e f u e l w o o d c o lle c tio n a n d s la s h -a n d -b u rn liv e lih o o d in s o m e h ig h m o u n ta in
a re a s c o n tin u e d a n d re su lte d in fu rth e r h a b ita t lo ss.
2 ) T o u ris m in d u stry is n o w b e in g d e v e lo p e d a s a k e y in d u s try a t th e d e m o site . D iff e re n t to u ris m
p la n s h a v e b e e n d ra fte d a n d a p p ro v e d a t th e L a o ju n s h a n d e m o site . U n f o rtu n a te ly ,
e n v iro n m e n ta l d im e n s io n s a re n o t w e ll p la n n e d . In f ra stru c tu re c o n stru c tio n f o r m o d e rn
to u ris m f a c ilitie s re s u lte d in lo s s o f s o il a n d d e s tru c tio n o f v e g e ta tio n in s o m e a re a s . T h e
re te n tio n o f s e w a g e a n d g a r b a g e in s c e n ic sp o ts h a d in c re a s e d a n d still is in c re a sin g a d v e rs e
im p a c ts o n th e h a b ita t q u a lity . E s p e c ia lly in L a s h ih a i, o v e rfis h in g in L a s h ih a i c o n tin u e s a n d
fo o d fo r b ird s is lim ite d b e c a u s e o f la c k in w e ll-d e v e lo p e d a lte rn a tiv e liv e lih o o d fo r lo c a l
c o m m u n itie s . A lth o u g h h u s b a n d ry in d u stry h a s n o t b e e n w e ll d e v e lo p e d a t th e d e m o site s ,
o v e r g ra z in g in s o m e a re a s h a s re s u lte d in c o n tin u o u s g r a s sla n d d e g ra d a tio n , a n d d e c re a s e in
g ra ss p ro d u c tio n a n d h ig h q u a lity g ra sse s.
P A s a re sm a ll a n d th e re is lim ite d P A m a n a g e m e n t c a p a c ity .
1 ) S m a ll P A s , w h ic h a re in s u ff ic ie n t f o r c o n s e rv a tio n o f fo c a l s p e c ie s a n d ta r g e te d e c o s y s te m s ;
a n d
2 ) L im ite d m a n a g e m e n t c a p a c ity o f lo c a l m a n a g e m e n t a g e n c ie s fo r P A s , a n d la c k o f k n o w le d g e
a n d e ffe c tiv e m a n a g e m e n t to o ls.
C o n tin u e d so il e ro sio n a n d in c re a sin g se d im e n t p ro d u c tio n a t th e d e m o site .
1 ) S lo p e c u ltiv a tio n (6 0 % o f c u ltiv a te d slo p e s h a v e n o c o n s e rv a tio n m e a s u re s ), o v e r- c o lle c tio n
o f f ire w o o d , m is m a n a g e d to u ris m , n o t w e ll-p la n n e d in f ra stru c tu re c o n stru c tio n a n d s la s h -a n d -
b u rn a g ric u ltu re b y Y i p e o p le e tc . le a d to c o n tin u in g s o il e ro sio n a n d s e d im e n ta tio n in
C h o n g jia n g R iv e r a n d L a sh ih a i su b -b a sin o f th e Y a n g tz e R iv e r;
2 ) N o m u lti-se c to r m e c h a n ism to im p le m e n t th e c o n se rv a tio n p ro je c ts o n se d im e n t c o n tro l; a n d
3 ) L im ite d m a n a g e m e n t c a p a c ity o f im p le m e n tin g c o n se rv a tio n p ro je c ts.

R o o t c a u se s
1 . L a c k o f m u lti-s e c to r m a n a g e m e n t m e c h a n is m s . N a tu ra l re s o u rc e s m a n a g e m e n t is in th e h a n d
o f s e c to ra l a g e n c ie s th a t u s u a lly d o n o t a llo w lo c a l g o v e rn m e n ts to im p le m e n t o r c o o rd in a te
o th e r in te g ra te d p ro je c ts. C o m p re h e n siv e so lu tio n s c a n n o t b e im p le m e n te d .
2 . T h e re a re n o su s ta in a b le z o n in g p la n s a llo w in g f o r th e c o n s e rv a tio n o f e c o s y s te m f u n c tio n s ,
a n d n o p re p a ra tio n o f m a n a g e m e n t p la n s a n d tra in in g p ro g ra m s fo r sta ff.
3 . L a c k o f p a rtic ip a tio n o f m a jo r sta k e h o ld e rs . N o p a rtic ip a tio n o f lo c a l sta k e h o ld e rs w ill a ff e c t
p ra c tic a lity a n d su sta in a b ility o f p ro je c ts a n d p la n s.
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4 . L a c k o f a n in te g ra te d c o n s e rv a tio n n e tw o r k . R e la tiv e to g lo b a lly s ig n ific a n t b io d iv e rs ity
re s o u rc e s , th e a re a o f P A s is n o t la r g e e n o u g h . B e s id e s , d is trib u tio n o f th e e x istin g P A s is to o
sc a tte re d .
5 . L a c k o f e ff e c tiv e c o n s e rv a tio n p la n n in g a n d m o n ito rin g s y s te m . T h e re is n o lo n g -te rm c ro s s -
s e c to ra l c o n s e rv a tio n p la n n in g a n d m o n ito rin g s y s te m fro m th e p e rs p e c tiv e o f flo o d a n d
se d im e n t c o n tro l. M u c h le ss so fo r b io d iv e rsity .
6 . L a c k o f th e s u sta in a b le m o d e ls f o r f lo o d a n d s e d im e n t c o n tro l a n d c o n s e rv a tio n o f o th e r k e y
e c o sy ste m fu n c tio n s.
7 . L a c k o f p u b lic a w a re n e s s . It is n o te d th a t a f te r 1 9 9 8 ' s lo g g in g b a n , th e e c o lo g ic a l c ris is o f
L a o ju n s h a n d e m o is a ll re la te d to lo c a l c o m m u n itie s ' a c tiv itie s , w h ic h d e m o n stra te a n e e d o f
lo c a l c o m m u n itie s' p a rtic ip a tio n in th e c o n s e rv a tio n p ra c tic e s a n d e n h a n c e m e n t o f p u b lic
a w a re n e ss to im p le m e n t th o se c o n se rv a tio n p ra c tic e s.
8 . L a c k o f e ff e c tiv e fin a n c ia l m e c h a n is m s th a t p ro v id e in c e n tiv e c o n s e rv a tio n p ra c tic e s .
C o n tin u e d c o n flic ts o v e r r e s o u rc e u tiliz a tio n d u e to la c k o f w e ll-d e v e lo p e d a lte rn a tiv e
liv e lih o o d s c h e m e s f o r lo c a l c o m m u n itie s a t th e d e m o s ite . L a c k o f re v ie w a n d e v a lu a tio n o n
a v a ila b le A L s c h e m e s . C u rr e n t A L s c h e m e s a re n o t w e ll d e v e lo p e d fo r lo c a l c o m m u n itie s
w ith in a n d a ro u n d P A s.

T h e p ro je c t w a s d e sig n e d to d e a l w ith a ll th re a ts a n d ro o t c a u s e s a t th e s e tw o s ite s . IE M a n d a
c e n tra liz e d m a n a g e m e n t s tru c tu re a t p ro v in c ia l le v e l w ill b e k e y e le m e n ts f o r th e s o lu tio n to th e s e
th re a ts a n d ro o t c a u se s.
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A n n ex F . P u b lic In v o lv em en t P la n
T h e first p a rt o f th is a n n e x p ro v id es d e ta ils o f p u b lic p artic ip atio n d u rin g th e p ro ject
p rep aratio n . T h e seco n d p art o u tlin es p articip atio n d u rin g th e p ro ject ex ecu tio n .

1 . S T A K E H O L D E R S P A R T IC IP A T IO N /C O N S U L T A T IO N D U R IN G
P R O J E C T P R E P A R A T IO N
D u rin g th e p e rio d o f th e P D F - B , th e p r o je c t p re p a ra tio n te a m o rg a n is e d
p a rtic ip a tio n /c o n s u lta tio n m e e tin g s a t n a tio n a l, p ro v in c ia l a n d lo c a l le v e ls. M e e tin g s o f
th e P D F B S te e rin g C o m m itte e (S C ) w h e re a ll k e y m in is trie s p a rtic ip a te a n d th e P D F B
S c ie n tif ic A d v is o r y G ro u p (S A G ), w e re k e y in sta n c e s o f p a rtic ip a tio n . T h e f o llo w in g
w e re b rie f s u m m a r y o f re le v a n t m e e tin g s , re f le c tin g th e ir s p irits a n d a c h ie v e m e n ts, w h ic h
le d to th e p re p a ra tio n o f th e p ro je c t.

A ) N A T IO N A L L E V E L P A R T IC IP A T IO N

Three steering committee meetings were organized during the PDF-B, respectively, April
2002, October 2002, and August 2003. These meetings were attended by national
government ministries (N a tio n a l D e v e lo p m e n t a n d R e f o rm C o m m iss io n (N D R C ),
M in is try o f F in a n c e (M O F ), M in is try o f L a n d a n d R e s o u rc e s (M L R ), M in is try o f
C o n s tru c tio n (M O C ), M in is try o f W a te r R e s o u rc e s (M W R ), M in is try o f A g ric u ltu re
(M O A ), S ta te F o re s try A d m in istra tio n (S F A ) a n d S ta te E n v iro n m e n ta l P ro te c tio n
A d m in istra tio n (S E P A )) , p ro v in c ia l g o v e rn m e n ts (S ic h u a n , Y u n n a n , G u iz h o u ,
C h o n g q in g , a n d Q in g h a i), lo c a l g o v e rn m e n ts w h e re d e m o n s tra tio n s ite s a re lo c a te d ,
in te rn a tio n a l o r g a n isa tio n s (U N E P , U N D P , W o rld B a n k , U N -H A B I T A T , a n d A s ia n
D e v e lo p m e n t B a n k ), in te rn a tio n a l N G O s (T h e N a tu re C o n se r v a n c y (T N C ), W o rld W id e
F u n d f o r N a tu re (W W F )-C h in a , C o n se r v a tio n In te rn a tio n a l (C I)), b ila te ra l d o n o rs
(N e th e rla n d s, S w e d e n , A u stra lia , F in la n d , N o rw a y , a n d Ita ly ).

At the third meeting of the Steering Committee, the participants also raised some issues and
made comments as follows:
MOA and SFA were of the opinion that it had been a short time since the concept of EFCAs
was initiated in China. Therefore, there were not adequate scientific bases or regulations.
NDRC suggested that pilot projects be initiated so as to provide basis for decision­making in
the construction of EFCAs. Representatives from MOA, SFA and ADB, etc. suggested that
the project be closely linked with the existing projects implemented by various ministries and
administrations so as to avoid duplication.
Representatives from MOA, SFA, MOLR and YRWRC, etc. suggested to further clarify
mechanisms of coordination and cooperation among various ministries and administrations.
Representative from SDRC said such mechanisms should be explored and tested first at some
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pilot sites. He suggested to rely on local governments especially municipal and county level
governments for coordination. Representatives from ADB and UNEP emphasized that
relevant ministries and administrations, local governments and other stakeholders should
strengthen their corporation in the implementation of the project.
Representatives from MOA, UNDP, ICIMOD and WWF said that in the designing of the
demonstration activities, adequate attention should be given to economic development and
livelihood of local residents. Compensation mechanisms for ecosystem conservation should
be explored in order to ensure sustainability of the project.
Representative from MOLR said that the project would be implemented at local areas. He
suggested to clarify the involvement patterns of local communities in combination with the
existing work in local areas.
Representatives from CI and YRWRC suggested that more concrete indicators for monitoring
and evaluation of EFCAs be developed for assessing the status of development and operation
of EFCAs.
Representative from CI said that the relationship among EFCAs system, the existing nature
reserve system and natural resource management should be clarified so as to ensure
implementation of the project in an integrated manner.
Representatives from CI said that EFCAs should not be limited within their administrative
boundaries. He suggested to strengthen coordination of trans-boundary ecosystem
conservation.
Representative from MOC said that the designing of the demonstration sites should be
harmonized with urban and township plans and master plans for cities. At the same time
attention should also be paid to the coordinated management of the project with existing
nature reserves, scenic spots and world heritage sites. She said that the cost for the
establishment of the Monitoring and Early Warning System (MEWS) in the whole upper
reach of the Yangtze River was high, therefore, she suggested that MEWS be established first
in the demonstration sites, and their results could then be disseminated in the basin.
Representative from ADB said that they had begun implementing the Partnership
Programme on Land Degradation in Arid Ecosystems in China since 2002. The program and
this project both belonged to OP12. He suggested to strengthen experience sharing and
information exchange during project implementation. He also suggested to integrate the
Integrated Ecosystem Management (IEM) into economic development. He said that experts of
various departments should be invited to participate in the project evaluation.
Representative from UN-HABITAT supported the development of the strategy and plan for
the involvement of stakeholders, especially local people. Consultation and discussion with
them should be strengthened.
PMO responded as follows:
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National Ecological Environment Protection Guidelines issued by the State Council and
other relevant documents have specified that EFCAs should be established. The EFCA is the
demonstration and practice of the IEM concept and it is different from the nature reserve.
SEPA is actively making legislations, regulations and criteria on EFCAs in cooperation
with other relevant ministries and administrations. The implementation of the project will
provide experiences for construction and management of EFCAs.
One of the project objectives is to serve the ecosystem conservation in local areas. In the
designing of the project, adequate consideration will be given to all the existing and planned
projects, such as natural forests protection projects and projects for re-converting the
reclaimed land into forests, etc. Efforts should be made to coordinate relevant projects well.
During the designing and implementation of the project, attention will be paid to the
involvement of, coordination and corporation with various departments, and give into full
play the role of the Steering Committee consisting of relevant ministries and administrations.
Expert groups consisting of experts nominated by relevant departments will be established to
participate in the implementation of the project and provide guidance.
Attention will be given to the livelihood of local people, which will be an important
element of the project and the economic, and ecosystem functions will be integrated. In the
process of protecting natural resources, local economic development will be promoted.
Compensation mechanisms for ecosystem conservation are an important approach, which
will be one of the research subjects during the project implementation.
During the designing of the project, opinions of the local people have been heard. Their
views will continuously be sought. They will be invited to participate directly in the project
implementation.
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In the project implementation, relevant results achieved by various departments, CI, WWF,
etc. will be fully made use of, such as selection of critical ecosystems, etc.
In regard to project evaluation, the Logframe Matrix and the Monitoring and Evaluation Plan
have been produced which are annexed to the project brief. In the Logframe Matrix,
indicators for evaluation targeted at each output are listed.
It has been agreed that the demonstration sites will be the major targets of monitoring and
early warning. The monitoring in the upper reach of the Yangtze River will be based on the
existing work and future plans made by relevant departments.
The Partnership Programme on Land Degradation in Arid Ecosystems in China with ADB
taking the lead is the first OP12 program in China. It covers the areas of 6 western provinces,
and this project mainly focuses on Sichuan Province and Yunnan Province. These two are
complementary to each other in terms of the Western Development Strategy in China. The
concept and guiding principles of the Partnership Programme and this project are similar.
Therefore, it is agreed that communication and exchange of information will be strengthened
in project implementation.
The meeting endorsed the GEF Project Brief on Nature Conservation and Flood Control
in the Yangtze River Basin.
B ) P R O V IN C IA L A N D L O C A L L E V E L D IS C U S S IO N S
In o rd e r to s e c u re th e in te re s ts o f lo c a l g o v e rn m e n ts, N o n -G o v e r n m e n ta l
O rg a n iz a tio n s (N G O s ) a n d in te re ste d p e o p le , th e p ro je c t p re p a ra tio n te a m o rg a n iz e d a
se rie s o f m e e tin g s a t th e p ro v in c ia l a n d lo c a l le v e ls. A t th e sa m e tim e , m e m b e rs o f th e
fie ld v is it g ro u p v is ite d lo c a l h o u s e h o ld s to h a v e in te r v ie w s w ith lo c a l p e o p le to d is c u ss
p ro je c t d e s ig n . M a in o b je c tiv e s o f th e se m e e tin g s w e re to id e n tif y m a in e n v iro n m e n ta l
th re a ts a n d c o rre s p o n d in g m e a s u re s u n d e r w a y w ith in th e p ro p o se d a re a s; a ss e ss lo c a l c o -
fin a n c in g p o ss ib ility. A d d itio n a l o b je c tiv e s a re to d is c u ss w ith th e re p re se n ta tiv e s f ro m
lo c a l g o v e rn m e n ts a n d c o m m u n itie s, a lte rn a tiv e liv e lih o o d , f in d o u t w a y s to c o o p e ra te
w ith lo c a l g o v e rn m e n ts a n d lo c a l c o m m u n itie s , a n d to c o lle c t re q u ire d in f o rm a tio n , s u c h
a s d a ta a n d m a p s, e tc . T h e f o llo w in g o n ly p ro v id e s th e re c o rd s o f c o n s u lta tio n s in
S ic h u a n a n d Yu n n a n , a m o n g o th e r c o n su lta tio n s a t th e p ro v in c ia l a n d lo c a l le v e ls.
M e e tin g M in u te s a n d fie ld v isit in S ic h u a n P r o v in c e
T h e D e p u ty D ire c to r G e n e ra l o f th e S ic h u a n E P B , M r. X ie tia n , a s a m e m b e r f o r th e
P ro je c t S te e rin g C o m m itte e , ta k e s p a rt in th e In c e p tio n M e e tin g . M e a n w h ile , a c c o rd in g
to th e a g re e m e n t re a c h e d b y P M O a n d S ic h u a n E P B in M a y , M r. Y a n g Y o u y i, D e p u ty
D ire c to r o f th e D iv is io n o f In te rn a tio n a l C o o p e ra tio n , h a s b e e n a p p o in te d a s th e lo c a l
c o o rd in a to r, w h o w ill f a c ilita te p re p a ra tio n o f re la te d m e e tin g s a n d c o lle c tio n o f th e
re la te d m a te ria ls, d a ta a n d m a p s. In te rm s o f th e a g re e m e n t o f th e P M O , o f fic ia ls f ro m
E P B o f S ic h u a n P ro v in c e , n a tio n a l e x p e rts a n d lo c a l e x p e rts , th e fie ld v isits w ill b e
a rra n g e d in th e D e n g c h ig o u a re a a n d F e n g to n g z h a i N a tio n a l N a tu re R e s e rv e (b e lo n g s to
Y a a n c ity , S ic h u a n p ro v in c e ). A t th e s a m e tim e , c o n s u lta tio n m e e tin g s h a d b e e n h e ld
F-4

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w ith th e re le v a n t g o v e rn m e n ta l o ff ic ia ls, c o m m u n itie s a n d lo c a l p e o p le d u rin g th e fie ld
v isit.
M e e tin g in C h e n g d u , S ic h u a n (J u n e 8 ,2 0 0 2 , S ic h u a n E P B )
P a rtic ip a n ts: 6 re p re s e n ta tiv e s f ro m E P B o f S ic h u a n p ro v in c e (M r. D u m in g a n d M r.
Y a n g Y o u y i f ro m D iv is io n o f In te rn a tio n a l C o o p e ra tio n , M r. X u J ic u n f ro m D e p a rtm e n t
o f N a tu re a n d E c o lo g ic a l C o n s e rv a tio n , M s. L ia o H o n g f a n g , M s. Z h o u W e n h o n g f ro m
F o re ig n E c o n o m ic C o o p e ra tio n O ff ic e ); 3 re p re se n ta tiv e s f ro m C h e n g d u M o u n ta in
H a z a rd s a n d E n v iro n m e n t In s titu te , C h in e s e A c a d e m y o f S c ie n c e s, 7 re p re s e n ta tiv e s
fro m th e F ie ld su rv e y G ro u p .
T h e T o p ic a n d th e D isc u ssio n R e su lts
1 ) T h e F ie ld S u r v e y G ro u p in tro d u c e d th e o b je c tiv e s a n d c o n te n ts o f th e p ro je c t, th e
a im s a n d s ig n if ic a n c e o f th e f ie ld s u rv e y a c tiv itie s, a n d b rie f ly in tro d u c e d th e
a s se ss m e n t a n d p la n n in g f o r c o n s e rv a tio n o f e c o s y s te m f u n c tio n s , th e m o n ito r in g a n d
e a rly w a rn in g s y s te m , a n d th e c rite ria a n d p ro c e d u re o f s e le c tin g d e m o n s tra tio n s ite s.
T h e p ro je c t m a n a g e r, M r. S u d e in tro d u c e d th e p ro je c t b a c k g ro u n d , th e p ro je c t g o a ls
a n d th e c o n te n ts, a ls o to u c h e d u p o n th e a im s a n d s ig n if ic a n c e o f th is re s e a rc h
a c tiv ity . H e p ro v id e d th e lis t f o r n e c e ss a ry m a te ria ls th a t n e e d to b e c o lle c te d w ith th e
h e lp o f lo c a l e x p e rts. H e h o p e d th a t th e lo c a l g o v e rn m e n t c o u ld p ro v id e s o m e
fa c ilitie s a n d c o -f in a n c e . (2 ) T h e d o m e s tic e x p e rts o n a s s e s s m e n t a n d p la n n in g
in tro d u c e d th e m a in s u b je c t o f th e a ss e ss m e n t o n th e e c o s y s te m in th e u p p e r re a c h o f
th e Y a n g tz e R iv e r, a n d b rie fly in tro d u c e d th e m a te ria ls list th a t is n e c e s sa r y fo r th e
p ro je c t: a . th e n a tu ra l a n d s o c ia l s itu a tio n o f th e p ro p o s e d d e m o s ite (b a c k g ro u n d
d a ta ), b . T h e ro o t c a u s e s f o r m a in e c o -p ro b le m s in th e d e m o s ite s; c . T h e a d o p te d
m e a s u re s (th e e x is te d e c o -p ro je c ts a n d th e s itu a tio n o f th e p ro je c t im p le m e n ta tio n ); d .
th e p ro b le m s in th e n a tu re re s e rv e s o f th e p ro p o se d d e m o site ; (3 ) th e d o m e s tic
e x p e rts o n m o n ito rin g p a rt in tro d u c e d th e d e sig n e d c o n te n t o f th e e c o lo g ic a l
m o n ito rin g a n d e a rly w a r n in g s y s te m , th e in f o rm a tio n n e e d to b e o b ta in e d in c lu d e : a .
th e e x istin g e c o lo g ic a l m o n ito rin g s y s te m a n d ru n n in g situ a tio n ; b . th e p o ss ib ility o f
d a ta -s h a rin g ; c . th e p o s sib ility o f c o rp o ra tio n w ith lo c a l g o v e rn m e n ts ; d . th e
a p p ro a c h e s o f lo c a l sta k e h o ld e rs ' in v o lv e m e n t. (4 ) T h e d o m e s tic e x p e rt o n d e m o p a rt
b rie f ly in tro d u c e d th e c rite ria f o r c h o o s in g d e m o site , a n d h e h o p e d to g e t s o m e
m a te ria ls f o r c o m p ilin g th e d o c u m e n t, a n d h e d is c u s s e d w ith lo c a l g o v e r n m e n ta l
o ffic ia ls fo r c o rp o ra tio n in te n tio n .
2 ) T h e D ire c to r o f D iv is io n o f E c o lo g ic a l E n v iro n m e n t, D e p a rtm e n t o f N a tu re a n d
E c o lo g ic a l C o n s e rv a tio n , E P B o f S ic h u a n p ro v in c e , M r. X u , in tro d u c e d th e sta tu s o f
th e m o n ito rin g e c o s y s te m in S ic h u a n p ro v in c e . R e se a rc h o n e c o lo g ic a l s ta tu s f in is h e d
in 2 0 0 2 , a n d g o t a g re a t d e a l o f d a ta a n d b a s ic m a te ria ls, w h ic h e s ta b lis h e d th e b a s is
fo r e c o lo g ic a l f u n c tio n s p la n n in g in th e w e s t o f S ic h u a n p ro v in c e , a n d S ic h u a n E P B
p la n n e d to b u ild th e G re e n B e lt in th e u p p e r re a c h o f Y a n g tz e R iv e r B a s in , w h ic h
e x te n d s f ro m W u o lo n g o f Q io n g la i m o u n ta in to X ia o lia n g m o u n ta in th ro u g h J ia jin
m o u n ta in . T h is a re a is th e first e c o lo g ic a l b a rrie r f o r th e w e s t e d g e o f S ic h u a n B a sin .
H e re c o e x is ts a ric h s p e c ie s a rra y , in c lu d in g g ia n t p a n d a . S ic h u a n E P B a tta c h e d m u c h
F-5

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a tte n tio n o n p ro te c tin g th is E F C A . H e a ls o sa id th a t if G E F p ro je c t c o u ld c h o o s e
B a o x in g a s a d e m o s ite , w h ic h w ill p ro v id e e x p e rie n c e s f o r o th e r E F C A s. T h e
p ro v in c ia l E F C A s p la n n in g a n d E F C A s d iv is io n a ls o c o u ld p ro v id e c o -f in a n c e f o r th e
p ro je c t; (3 ) a t p re s e n t, F e n g to n g z h a i n a tu re re se rv e in B a o x in g d e m o s ite is a n
im p o rta n t n a tu re re s e rv e fo r g ia n t p a n d a . D u rin g th e p e rio d o f th e te n th f iv e - y e a r
p la n , th e C h in e s e g o v e rn m e n t w ill s u p p o rt th e m a n a g e m e n t a n d d e v e lo p m e n t o f th is
n a tu re re se r v e , a n d p ro te c t th e ra re a n d e n d a n g e re d s p e c ie s in th is a re a , w h ic h c a n b e
se e n a s th e c o -fin a n c e o f C h in a .
3 ) T h e re s e a rc h e r M r. C h e n F u b in , C h e n g d u M o u n ta in In s titu te , C h in e s e A c a d e m y o f
S c ie n c e , th o u g h t th a t th e th re a t f o r th e b io d iv e rs ity d e g ra d a tio n is th e lo c a l e c o n o m ic
a c tiv itie s: (1 ) h e in tro d u c e d th e n a tu ra l c lim a te , b io d iv e rs ity , th e e x is tin g th re a ts a n d
n a tu re d is a s te rs in th e D e n g c h ig o u in S ic h u a n p ro v in c e ; (2 ) H e a ls o in tro d u c e d th e
a p p lic a tio n p ro c e d u re o f th e w o rld le g a c y g ia n t p a n d a h a b ita t w h ic h w a s c h a rg e d b y
C h e n g d u M o u n ta in In s titu te (s e e th e p ro te c tio n p la n n in g o n w o rld h e rita g e
n o m in a tio n in J ia jin m o u n ta in ); (3 ) h e in tro d u c e d th e s c ie n tif ic re s e a rc h re s u lts in
B a o x in g a n d S ic h u a n p ro v in c e d o n e b y C h e n g d u m o u n ta in in s titu te , h e a ls o s h o w e d
th e w illin g n e s s o f c o rp o r a tio n w ith p ro je c t f o r p ro te c tin g g ia n t p a n d a a n d its h a b ita t
a s te c h n o lo g ic a l a ssista n c e u n it.
4 ) E x p e rts o f N a tu re C o n s e rv a tio n a n d F lo o d C o n tro l U N E P /G E F p ro je c t a n d th e
le a d e rs o f E P B o f S ic h u a n P ro v in c e re a c h e d a n a g re e m e n t to s e le c t th e D e n g c h ig o u
re g io n J ia jin M o u n ta in ra n g e a s o n e o f th e m a in d e m o n s tra tio n s ite s in S ic h u a n
p ro v in c e , a n d th e y a g re e d to d e c id e th e s c o p e a n d re le v a n t a c tiv itie s a c c o rd in g to th e
re su lts o f fie ld v isit.
M e e tin g in B a o x in g c o u n ty , Y a a n c ity (J u n e 9 ,2 0 0 2 , B a o x in g H o te l, Y a a n c ity )
P a rtic ip a n ts: R e p re s e n ta tiv e s f ro m Y a a n g o v e rn m e n t, Y a a n F o re s try B u re a u , Y a a n E P B ,
Y a a n T o u ris m B u re a u , B a o x in g g o v e rn m e n t, F e n g to n g z h a i N a tu re R e s e rv e M a n a g e m e n t
O ffic e , F o re ig n E c o n o m ic C o o p e ra tio n O ff ic e , E P B o f S ic h u a n p ro v in c e , a n d 7 p e o p le
fro m th e F ie ld S u rv e y G ro u p ,
T h e M a in T o p ic a n d th e D isc u ssio n R e su lts
1 ) T h e d e p u ty m a y o r o f Y a a n th o u g h t th a t: th e e c o lo g ic a l e n v iro n m e n t p ro te c tio n is o n e
o f m a in ta s k s f o r th e te n th f iv e - y e a r p la n . T h e a p p ro v a l a n d im p le m e n ta tio n o f th e
p ro je c t w ill p ro m o te th e e n v iro n m e n t p ro te c tio n a n d flo o d c o n tro l in B a o x in g , a n d
th e p ro m o tio n o f th e p ro je c t w ill d e m o n s tra te f o r o th e r s ite s a n d m u lti-d e p a rtm e n ts '
c o rp o ra tio n ; (2 ) h e a ls o in tro d u c e d th e n a tu re c irc u m s ta n c e s, b io d iv e rs ity re c o u rs e s ,
a n d a ls o in tro d u c e d th e m a in b io lo g ic a l th re a ts a n d th e o n g o in g e c o lo g ic a l
c o n s e rv a tio n a c tiv itie s ; (3 ) h e b rie f ly to u c h e d u p o n th e b a c k g ro u n d m a te ria ls o f
B a o x in g c o u n ty : H e re e x is te d ric h s p e c ie s, e s p e c ia lly g ia n t p a n d a . S ic h u a n E P B
a tta c h e d m u c h a tte n tio n o n p ro te c tin g th is E F C A .
2 ) T h e D ire c to r g e n e ra l o f Y a a n E P B , M r. Z h u in tro d u c e d th e ir w o rk o n e n v iro n m e n t
p ro te c tio n a n d th e b io d iv e rs ity c o n s e rv a tio n : a . d u rin g th e p e rio d o f th e te n th f iv e -
y e a r p la n , c e n tra l a n d lo c a l g o v e rn m e n t w o u ld stre n g th e n th e e c o -e n v iro n m e n t
F-6

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p ro te c tio n , d iff e re n t e c o - p ro je c ts h a v e b e e n im p le m e n te d o r ju s t o n g o in g , p a rt o f
th e s e w o rk c a n b e s e e n a s th e c o -fin a n c e o f th e p ro je c t; b . h e a ls o in tro d u c e d th e
sta tu s o f e x is tin g e n v iro n m e n t m o n ito rin g e s ta b lis h m e n ts. Y a a n h a s c o m p le te c iv il
a n d c o u n ty le v e l e n v iro n m e n t p ro te c tio n a g e n c ie s, h a s c a p a b ility to im p le m e n t th e
e c o lo g ic a l m o n ito rin g in d e m o s ite ; c . h e th o u g h t th a t th e e c o -m o n ito rin g s y ste m th a t
th e p ro je c t n e e d to b u ild u p is v e r y im p o rta n t, it c a n p ro v id e th e s c ie n tif ic to o ls fo r
e c o s y s te m m a n a g e m e n t, a n d a ls o p ro v id e th e e x p e rie n c e f o r th e E F C A s in th e u p p e r
re a c h o f th e Y a n g tz e R iv e r; d . Y a a n e n v iro n m e n t p ro te c tio n a g e n c ie s w ill s u p p o rt th e
a p p lic a tio n a n d im p le m e n ta tio n o f th e p ro je c t, p ro v id e th e re le v a n t b a c k g r o u n d d a ta
a n d in f o r m a tio n , a n d to im p le m e n t th e d e m o a c tiv itie s d u rin g th e im p le m e n ta tio n o f
th e p ro je c t.
3 ) T h e D ire c to r G e n e ra l o f Y a a n F o re s try B u re a u , M r. L i b rie f ly in tro d u c e d th e
re c o u rs e s s ta tu s a n d m a in e c o lo g ic a l th re a ts e x istin g a t Y a a n c ity : a . th e sta tu s o f
fo re st re s o u rc e s a t Y a a n ; b . h e a ls o in tro d u c e d m a in e c o lo g ic a l p ro je c ts o n f o re s try
(th e p ro je c t o n N a tu ra l F o re s ts P ro te c tio n , th e C o n v e rs a tio n o f C u ltiv a te d L a n d s to
th e F o re s ts, th e p ro je c t o n p ro te c tin g w ild a n im a ls ), a n d h e s a id th a t th e y c o u ld
p ro v id e th e b u d g e t in p u t o f f o re s try p ro je c ts d u rin g th e te n th f iv e - y e a r p la n ; c . M r.
L i, a s a re p re s e n ta tiv e o f fo re stry a g e n c ie s o f Y a a n c ity , h e s a id h e s h o w e d a lo t o f
in te re sts in n e w a p p ro a c h e s f o r v e g e ta tio n re s to ra tio n a n d g ia n t p a n d a 's h a b ita t
p ro te c tio n , a n d h e h o p e d th e a c h ie v e m e n ts o f th e p ro je c t c o u ld b e p ro m o te d to o th e r
sim ila r a re a s.
4 ) T h e re p re s e n ta tiv e o f Y a a n W a te r R e s o u rc e s B u r e a u , in tro d u c e d th e s itu a tio n a n d
c h a ra c te ris tic s o f B a o x in g d e m o site : a . th e p ro p o s e d B a o x in g d e m o s ite is a fa m o u s
ra in s to rm c e n te r, a n d B a o x in g riv e r is th e th ird - g ra d e trib u ta r y o f th e Y a n g tz e R iv e r,
th e d e s tru c tio n to e c o s y s te m a t B a o x in g riv e r w ill in f lu e n c e th e f lo o d a n d s e d im e n t
re te n tio n o f th e lo w e r re a c h o f B a o x in g riv e r a n d d e m o s ite ; b . th e p ro p o s e d d e m o
site lo c a te d a t th e c ritic a l p o s itio n o f th e u p p e r re a c h o f th e Y a n g tz e riv e r, it w ill b e
th e c ritic a l a re a f o r im p le m e n tin g th e flo o d c o n tro l p la n f o r th e trib u ta rie s o f th e
Q in g y i riv e r, a ls o th is a re a is th e c ritic a l a re a f o r w a te r a n d s o il c o n s e rv a tio n p la n o f
B a o x in g c o u n ty , a ll th e se p ro je c ts c a n b e s e e n a s th e n a tio n a l c o -f in a n c e o f th e
p ro je c t.
5 ) T h e re p re se n ta tiv e o f Y a a n to u ris m b u re a u in tro d u c e d th e to u ris m re s o u rc e s a n d th e
fu tu re p la n o f d e m o s ite : a . th e p ro p o s e d B a o x in g d e m o site s u p p o rt ric h a n d u n iq u e
n a tu ra l s c e n e ry , m a n y n a tio n a l a n d p ro v in c ia l n a tu re re se rv e s a n d p la c e s o f in te re s ts
h a v e b e e n e sta b lis h e d a t th is a re a . H e re is th e h o m e to w n o f te a , a n d o n e o f
h o m e to w n s o f g ia n t p a n d a ; h e re s e ttle d m a n y m in o ritie s a n d h a s s p e c ia l c u ltu re a n d
c u s to m . b . A t p re se n t, th is a re a h a s g o o d b a s e f o r to u ris m d e v e lo p m e n t (th e fre e w a y
fro m C h e n g d u to Y a a n a n d o th e r f a c ilitie s ), Y a a n g o v e r n m e n t c a rrie d o u t m a n y
la r g e -s c a le e c o -to u ris m , a n d s tre n g th e n th e d is s e m in a tio n ; c . h e sa id th a t h e h o p e d to
se e th e d e m o a c tiv itie s f o r e c o -to u ris m a t Y a a n , a n d th is k in d o f a c tiv itie s c a n b e s e e n
a s th e n a tio n a l c o -fin a n c e o f th e p ro je c t.
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6 ) T h e h e a d o f B a o x in g c o u n ty in tro d u c e d th e e c o lo g ic a l s ta tu s o f B a o x in g c o u n ty : a . h e
m a d e a w e lc o m in g a d d re s s f o r th e f ie ld v is it g ro u p ; b . e c o lo g ic a l e n v ir o n m e n t
p ro te c tio n is o n e o f m a in ta s k s o f B a o x in g c o u n ty , a n d th e im p le m e n ta tio n o f th e
p ro je c t w ill s tim u la te th e e c o lo g ic a l p ro je c ts a n d flo o d c o n tro l o f B a o x in g d u rin g th e
c o u rse o f th e te n th f iv e -y e a r; c . th e im p le m e n ta tio n o f p ro je c t w ill p ro v id e d e m o
p a tte rn f o r o th e r a re a s, a n d th e re le v a n t a lte rn a tiv e s w ill p ro v id e th e re f e re n c e f o r
d e c is io n m a k e rs o f g o v e rn m e n t; d . h e to u c h e d u p o n th e n a tu ra l re s o u rc e s a n d
b io d iv e rs ity o f B a o x in g c o u n ty ; e , h e in tro d u c e d m a in th re a ts o f B a o x in g c o u n ty :
se rio u s s te e p s lo p e c u ltiv a tio n re s u lte d in s e rio u s w a te r a n d s o il lo s s, a n d s o m e
re g io n s c o u ld n o t b e re c la im e d ju s t d e p e n d in g o n th e p re s e n t c a p a c ity o f B a o x in g
c o u n ty ; m in in g is th e la rg e s t ra te p a y in g in d u s try in B a o x in g c o u n ty , irra tio n a l
m in in g e x p lo ra tio n re s u lte d in v e g e ta tio n d e s tro y a n d v e g e ta tio n d e g ra d a tio n ; f. th e
p re s e n t e c o lo g ic a l p ro je c ts in c lu d e : n a tu ra l f o re s t c o n s e rv a tio n , th e c o n v e rsio n o f
c u ltiv a te d la n d to th e f o re s t, w ild p la n ts a n d a n im a ls p ro te c tio n , a n d th e p ro je c t o n
c o n tro llin g w a te r a n d s o il lo s s e tc ; g . th e B a o x in g g o v e rn m e n t h a s d o n e a lo t o f w o rk
o n e c o s y s te m p ro te c tio n , a n d it is p la n n e d to b u ild a n E F C A a t th e e a st o f J ia jin
M o u n ta in , w h ic h in c lu d e s T ia n q u a n , L u s h a n a n d B a o x in g c o u n ty , e tc ; h , h e sa id th a t
B a o x in g g o v e rn m e n t h a d in te re s ts in th e p ro je c t a n d th e y w o u ld d o b e tte r
c o o rd in a tio n f o r th e im p le m e n ta tio n o f th e p ro je c t, a n d h e h im s e lf w o u ld a c tiv e ly
in v o lv e in th e p ro p o se d a c tiv itie s o f th e p ro je c t.
S u m m a r y o f th e fie ld v isit a n d th e d isc u ssio n w ith th e lo c a l fa r m e r s
G lo b a l sig n ific a n c e : D e n g c h ig o u is o n e o f trib u ta ry o f th e M in g jia n g R iv e r, w h ic h a ls o
is a b ra n c h o f th e Y a n g tz e R iv e r----- o n e o f th e s m a ll b a s in s o f Q in g y ijia n g R iv e r, lie s in
th e a b d o m e n o f th e J ia jin m o u n ta in ra n g e w h ic h is th e h a b ita t o f g ia n t p a n d a , is th e
im p o rta n t re g io n o f th e b io lo g ic a l d iv e rs ity a n d ra re o r a lm o s t e x tin c t s p e c ie s. It h a s 1 7
s p e c ie s o f a n im a ls u n d e r th e n a tio n a l firs t le v e l p ro te c tio n , 5 1 s p e c ie s o f a n im a ls u n d e r
th e n a tio n a l s e c o n d le v e l p ro te c tio n , a n d 2 0 s p e c ie s o f p la n ts u n d e r th e n a tio n a l firs t le v e l
p ro te c tio n , 1 6 s p e c ie s o f p la n ts u n d e r th e n a tio n a l se c o n d le v e l p ro te c tio n , a n d it a ls o is
o n e o f th e b ig g e s t ra re g ia n t p a n d a h a b ita t, is th e k e y re g io n f o r th e g lo b a l e c o lo g ic a l
d iv e rs ity p ro te c tio n a n d c lim a te c o n tro l. T h e re f o re , to p ro te c t th is re g io n w ill b rin g f o rth
th e g lo b a l e n v iro n m e n t b e n e fits;
D e m o n s tr a tio n s ig n ific a n c e : T h ro u g h th is re s e a rc h w e k n o w th a t m a n y h u m a n a c tiv itie s
s u c h a s m in e ra l e x p lo ita tio n , f o re st c u ttin g , a n d s te e p s lo p e c u ltiv a tio n a re th e re a s o n s o f
th e d e g ra d a tio n o f th e e c o lo g ic a l e n v iro n m e n t, w h ic h d e s tro y e d th e h a b ita ts o f th e m a n y
ra re a n im a ls a n d p la n ts. T h e flo o d in B a o x in g R iv e r a n d th e ris in g s e d im e n ta tio n ra te in
riv e rs p ro v id e th e e x a m p le s f o r th e d e g ra d a tio n o f th e m o u n ta in e c o s y s te m . S e ttin g u p
o u r d e m o n s tra tio n s ite s w ill b rin g th e sa tisf ie d p ro m o tio n a n d d e m o n s tra tio n s ig n ific a n c e
fo r th e e c o lo g ic a l d iv e rsity p ro te c tio n , e c o lo g ic a l to u ris m d e v e lo p m e n t, a n d th e
re h a b ilita tio n o f th e d e g ra d e d e c o sy ste m .
F e n g to n g z h a i N a tio n a l N a tu r e R e se r v e : T h is is a n a tio n a l n a tu re re s e rv e , w h ic h h a s
m o n ito rin g sta tio n a n d sc ie n tif ic re s e a rc h f o u n d a tio n a n d a c c u m u la tio n o f s c ie n tif ic d a ta ,
a ls o it jo in e d th e g ia n t p a n d a E c o lo g ic a l M o n ito rin g N e tw o r k b u ilt b y S ta te F o re s try
F-8

---

A d m in istra tio n a n d W W F . In re g a rd to th e c o n s e rv a tio n c o n s tru c tio n , b e sid e s s o m e
c a p ita l c o n stru c tio n s, w e im p le m e n t th e c o n se rv e a n d th e p u b lic c o m m o n re g u la tio n s
a ro u n d th e re se rv e s a t th e b a c k o f c o u n ty g o v e rn m e n ts o r th e v illa g e g o v e rn m e n ts.
R a n d o m h o u s e h o ld v is its a n d in te r v ie w s : B y d is c u ss in g w ith lo c a l p e o p le , m e m b e rs o f
th e f ie ld v is it g ro u p f o u n d th a t th e lo c a l c o m m u n itie s h a v e c e rta in a w a re n e s s o n p re s e n t
v e g e ta tio n d e g ra d a tio n , s te e p s lo p e c u ltiv a tio n , w a te r a n d s o il lo s s, a n d th e th re a ts o f
flo o d . H o w e v e r, a b o u t 9 9 % o f th e p ro p o se d a re a a re m o u n ta in re g io n , a n d th e lo c a l
se ttle rs th e re h a v e to e x p lo it m o u n ta in re s o u rc e s in tra d itio n a l w a y s to p ra c tic e
c u ltiv a tio n , a n im a l h u s b a n d ry a n d o rc h a rd s . A f te r in tro d u c e d th e n e w a lte rn a tiv e s to th e
lo c a l p e o p le , s u c h a s n e w te c h n o lo g y f o r w a te r a n d s o il c o n s e rv a tio n , p la n tin g e c o n o m ic
fru it tre e s a n d d e v e lo p in g e c o -to u ris m e tc , th e y s h o w e d g re a t in te re s ts in th e p ro je c t. B u t
lo c a l p e o p le s till la c k in k n o w le d g e o n h o w to p ro te c t e c o lo g ic a l f u n c tio n s a n d w h a t
lo n g -te r m b e n e f its w ill b e s e c u re d th ro u g h s u c h p ro te c tio n . A ll th e s e te c h n o lo g ie s a n d
k n o w le d g e n e e d to b e in tro d u c e d a n d sh o w e d to th e lo c a l p e o p le .
M in u te s o f M e e tin g s D u r in g F ie ld V isit----Y u n n a n P r o v in c e
M r. G u o Z h e n re n , D e p u ty D ire c to r G e n e ra l o f Y u n n a n E n v iro n m e n ta l P ro te c tio n B u re a u ,
h a s a tte n d e d th e In c e p tio n M e e tin g a s m e m b e r o f th e S te e rin g C o m m itte e . M e a n w h ile ,
w ith th e a g re e m e n t re a c h e d b y P M O a n d Y u n n a n E n v iro n m e n ta l P ro te c tio n B u re a u , M r.
Y a n g W e im in , C h ie f, D e p a rtm e n t o f F o re ig n E c o n o m ic C o o p e ra tio n , is re c o m m e n d e d
a n d a p p o in te d a s th e lo c a l c o o rd in a to r to h e lp w ith p re p a ra tio n o f m e e tin g s a n d m a te ria ls
c o lle c tio n . A m o n g th e re c o m m e n d e d site s b y Y u n n a n E n v iro n m e n ta l P ro te c tio n B u re a u ,
L a o ju n s h a n is c h o se n to c o n d u c t a f o u r-d a y v is it a f te r d isc u ss io n w ith Y u n n a n E P B , T h e
N a tu re C o n s e rv a n c y (T N C ) a n d th e fie ld v is it g r o u p . M e e tin g w ith lo c a l g o v e rn m e n t a n d
re le v a n t d e p a rtm e n ts w e re h e ld a t th e sa m e tim e .
M e e tin g in K u n m in g , Y u n n a n , (3 J u n e 2 0 0 2 , Y u n n a n E n v ir o n m e n ta l P r o te c tio n B u r e a u )
P a rtic ip a n ts: R e p re s e n ta tiv e s f ro m Y u n n a n A g ric u ltu re B u re a u , Y u n n a n F o re s try B u re a u ,
Y u n n a n W a te r R e s o u rc e s C o m m itte e , re p re s e n ta tiv e s o f th e N a tu re C o n se r v a tio n
D e p a rtm e n t a n d F o re ig n E c o n o m ic C o o p e ra tio n D e p a rtm e n t o f Y u n n a n E n v iro n m e n ta l
P ro te c tio n B u re a u , th re e re p re s e n ta tiv e s f ro m T N C a n d f o u r m e m b e rs f ro m f ie ld v is it
g ro u p .
D isc u ssin g T o p ic s a n d R e su lts
1 ) M r. T u o Z h e n g y a n g , th e D ire c to r o f N a tu re C o n se rv a tio n D e p a rtm e n t o f Y u n n a n
E n v iro n m e n ta l P ro te c tio n B u re a u , in tro d u c e d th e g e n e ra l s itu a tio n o f L a o ju n s h a n , a
P ro v in c ia l le v e l N a tu re R e s e rv e a n d its a p p lic a tio n to N a tio n a l N a tu re R e se r v e : a . h e
in tro d u c e d th e re s e a rc h re p o rt o n th e e c o lo g ic a l s ta tu s, th is re s e a rc h h a s b e e n fin is h e d
a t 2 0 0 2 , a n d g o t a la r g e a m o u n t o f d a ta ; b . th e e c o lo g ic a l f u n c tio n a s s e s s m e n t a n d
p la n n in g o f G E F p ro je c t a t b a s in le v e l w ill p ro v id e a n e w m e th o d o lo g y a n d s c ie n tif ic
th e o ry ; th e IE M a n d c o n se rv a tio n p la n in d e m o s ite s w ill p ro v id e e x p e rie n c e s a n d
le ss o n s f o r E F C A s m a n a g e m e n t; c . Y u n n a n g o v e rn m e n t a n d Y u n n a n E P B h a v e
k n o w n th e im p o rta n c e o f b u ild in g u p n a tio n a l E F C A s, a n d th e y h a v e d o n e a lo t o f
w o rk o n e c o s y s te m p ro te c tio n . A t p re se n t, th e n a tio n a l E F C A in th e n o r th w e s t o f
F-9

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Y u n n a n p r o v in c e h a s b e e n a p p ro v e d b y S E P A a n d a s th e se c o n d g ro u p o f n a tio n a l
E F C A s ; d . th is a re a is in th e c ritic a l a re a f o r w a te r a n d s o il c o n s e rv a tio n , its e c o -
fu n c tio n re s to ra tio n a n d s u sta in a b le d e v e lo p m e n t w ill h a v e g re a t im p a c t o n th e f lo o d
in th e m id d le a n d lo w e r re a c h e s o f th e J in s h a riv e r. T h e w o rk h a s d o n e ju s t in th e
p re lim in a r y p h a se a n d n e e d s to re f e r to th e e x p e rie n c e s a n d le ss o n s o f o th e r re le v a n t
p ro je c ts. e . T h e e c o lo g ic a l f u n c tio n a s se ss m e n t a n d p la n n in g a n d th e e c o lo g ic a l
m o n ito rin g a n d e a rly w a r n in g s y s te m p ro v id e th e s c ie n tif ic m a n a g e m e n t a p p ro a c h e s
a n d to o ls. T h e d e m o s ite a t L a o ju n s h a n w ill p ro v id e e x p e rie n c e s a n d le s s o n s f o r
p ro v in c ia l E P B a n d lo c a l a d m in is tra tiv e a g e n c ie s ; f. T h e in p u t o f p r o v in c ia l
g o v e rn m e n ts a n d a g e n c ie s to th e e c o -a ss e s s m e n t a n d e c o -m o n ito rin g c o u ld b e se e n a s
th e n a tio n a l c o -f in a n c e f o r th e p ro je c t; g . th e re a re L a s h ih a i p ro v in c ia l n a tu re re s e rv e
in L a o ju n s h a n d e m o s ite a s th e im p o rta n t w e tla n d a n d n a tu re re s e rv e f o r w a te r f o u l;
h . d u rin g th e te n th fiv e - y e a r, th e C h in e se g o v e rn m e n t s tre n g th e n s th e s u p p o rt to th is
a re a , a t p re s e n t, th e M in is try o f S ta te F o re s try h a s ra tif ie d to in p u t 7 .8 m illio n Y u a n
to th is n a tu re re s e rv e f ro m 2 0 0 3 to 2 0 0 6 ; a t th e s a m e tim e th e p ro v in c ia l L a o ju n s h a n
n a tu re re s e rv e w ill b e c o m e n a tio n a l n a tu re re s e rv e ; i. D u rin g th e te n th fiv e - y e a r, th e
c e n tra l g o v e rn m e n t w ill in v e s t 3 0 m illio n Y u a n f o r th e c o n s tru c tio n o f L a o ju n s h a n
n a tu re re se rv e .
2 ) R e p re s e n ta tiv e s f ro m lo c a l A g ric u ltu ra l B u re a u , F o re s try B u re a u a n d W a te r
R e s o u rc e s C o m m itte e in tro d u c e d th e c u rre n tly u n d e rta k e n a n d sc h e d u le d w o rk in
L a o ju n s h a n . In O c to b e r o f 1 9 9 8 , Y u n n a n P ro v in c e b e g a n to im p le m e n t th e n a tu ra l
fo re st p ro te c tio n . L a o ju n s h a n is lis te d a s th e c ritic a l lo g g in g b a n a re a . T h e n a tu ra l
fo re st p ro te c tio n p ro je c t in c lu d e s p ro h ib itio n o f c u ttin g th e n a tu ra l f o re s ts, c o n v e rs io n
o f th e c u ltiv a te d la n d to f o re s ts, th e fie ld im p ro v e m e n t a n d th e c a p ita l c o n s tru c tio n s
e tc . in 2 0 0 0 , L ijia n g C o u n ty is lis te d a s th e n a tio n a l tria l s ite f o r th e c o n v e rs io n
p ro je c t. F ro m 2 0 0 3 to 2 0 0 8 , C h in e se g o v e rn m e n t w ill in c re a s e th e in v e s tm e n t f o r th e
e c o -p ro je c t a t L a o ju n s h a n . A ll th e se p ro je c ts c o u ld p ro v id e c o -f in a n c e fo r th e
p ro p o se d p ro je c t.
3 ) M r. E d w a r d , S e n io r C o n s u lta n t, T N C , p re s e n te d a n d in tro d u c e d th e b a c k g r o u n d o f
T N C , a n d th e ir p la n o f p ro g ra m s to b e d e v e lo p e d . H e a ls o e x p re s s e d T N C 's w illin g
to c o o p e ra te a n d in d ic a te d th a t T N C w o u ld in v e s t U S D 2 M illio n in L a o ju n s h a n to
c o n d u c t b io d iv e rs ity p ro te c tio n a n d p ro v id e in f o rm a tio n a n d d a ta o n b io d iv e rs ity
p ro te c tio n .
4 ) M e m b e rs o f th e f ie ld v is it g ro u p a n d re p re s e n ta tiv e s o f th e lo c a l g o v e rn m e n t b o d ie s
h a d re a c h e d th e a g re e m e n t to c o n s id e r L a o ju n s h a n a s th e firs t c h o ic e f o r
d e m o n s tra tin g N a tu re C o n se r v a tio n a n d F lo o d C o n tro l in Y u n n a n P ro v in c e a n d m a k e
fin a l d e c isio n a fte r th e fie ld v isit.
S ta k e h o ld e r m e e tin g in L ijia n g c ity , (6 J u n e 2 0 0 2 , L ijia n g E n v ir o n m e n ta l P r o te c tio n
B u r e a u )
P a rtic ip a n ts: re p re se n ta tiv e s f ro m F o re ig n E c o n o m ic C o o p e ra tio n D e p a rtm e n t, Y u n n a n
E n v iro n m e n ta l P ro te c tio n B u re a u , L ijia n g E n v iro n m e n ta l P ro te c tio n B u re a u (4 p e o p le ),
F-10

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L ijia n g E n v iro n m e n ta l M o n ito rin g S ta tio n , T N C (2 p e o p le ) a n d f ile d v is it g ro u p (4
p e o p le ).
D isc u ssio n T o p ic s a n d R e su lts
1 ) M r. L o n g Y o n g c h e n g , P ro je c t M a n a g e r o f N a tu re C o n s e rv a tio n a n d D e v e lo p m e n t o f
Y u n n a n L a o ju n s h a n A re a T N C P ro je c t, g a v e a b rie f in tro d u c tio n to a b o v e m e n tio n e d
p ro je c t, a n d its p ro c e ss a n d f u tu re p la n . T h e a c tiv itie s in L a o ju n s h a n p ro p o se d b y
T N C in c lu d e : a . h e lp th e Y u n n a n E P B to b u ild u p th e d a ta s y s te m f o r L a o ju n s h a n
n a tu re re se rv e ; b . to im p le m e n t th e a lte rn a tiv e e n e rg y p la n ; c . e c o -to u rism p la n .

S u m m a r y o f th e file d v isit a n d d isc u ssio n w ith lo c a l c o m m u n itie s
G lo b a l b e n e fit: A fte r th e fie ld v is it, it is c o n s id e re d th a t to c o n s tru c t a d e m o n stra tio n s ite
o f th e U N E P /G E F Ya n g tz e R iv e r P ro je c t in L a o ju n s h a n a re a w o u ld a c h ie v e g lo b a l
e n v iro n m e n ta l b e n e f its, w h ic h c o u ld b e e x p re ss e d a s f o llo w in g : (1 ) R ic h b io d iv e rs ity o f
o v e r 9 0 0 e n d e m ic s p e c ie s ; (2 ) C o m p lic a te d e c o lo g ic a l s y s te m s, in c lu d in g m o u n ta in
s y s te m s, b le n d f o re s t o f c o n if e ro u s tre e a n d b ro a d le a v e d tre e , fir f o re s t, e tc ; (3 ) W e ll-
d e v e lo p e d v e g e ta ria n th a t h a s c e rta in in flu e n c e o n g lo b a l c lim a te ; (4 ) Im p o r ta n t a re a in
in te rn a tio n a l b io d iv e rs ity p ro te c tio n a n d w o rld c u ltu ra l h e rita g e ; (5 ) H a b ita t o f m in o rity
n a tio n a litie s a n d o u tsta n d in g n a tio n a l c u ltu re s.
D e m o s ig n ific a n c e : D u rin g th e fie ld v is it, it is a ls o a c k n o w le d g e d th a t s u c h s e rio u s
p ro b le m s a s c u ltiv a tio n o n s lo p e , d e f o re s ta tio n , a n d d e s tru c tio n b y to u ris m a c tiv itie s a n d
o th e r h u m a n a c tiv itie s e x is t. H o w e v e r, s ig n if ic a n c e o f p ro m o tio n a n d d e m o n s tra tio n
p ro g re ss in b io d iv e rs ity p ro te c tio n , e c o lo g ic a l to u ris m , re h a b ilita tio n o f e c o lo g ic a l
sy ste m is h o p e fu lly to b e a c h ie v e d w ith th e e sta b lish m e n t o f d e m o n stra tio n site .
R a n d o m h o u s e h o ld v is its a n d d is c u s s io n w ith lo c a l c o m m u n itie s : (1 ) T h ro u g h th e
fie ld v is it a n d d is c u s s io n w ith lo c a l p e o p le a t S h ito u v illa g e a n d J iu h e v illa g e , th e f ie ld
v is it g ro u p k n e w th a t th e lo c a l fa rm e rs b e c a m e a w a re o f im p a c ts o f e c o lo g ic a l
d e g ra d a tio n p h e n o m e n o n , s u c h a s f ire w o o d c o lle c tio n , ste e p slo p e c u ltiv a tio n w a te r
a n d s o il lo s s, f lo o d e tc a t s o m e d e g re e . L o c a l p e o p le h a d n o t m a n y a lte rn a tiv e s e x c e p t
p ra c tic in g c u ltiv a tio n , a n im a l h u s b a n d ry a n d fis h e r y in th e tra d itio n a l w a y s . T h e
liv e lih o o d s o f th e lo c a l p e o p le h a v e b e e n c h a n g e d a t d iff e re n t d e g re e s b y im p le m e n ta tio n
o f n a tu ra l f o re s t p ro te c tio n in 1 9 9 8 a n d th e c o n v e rs io n p ro je c t in 2 0 0 0 . B u t irra tio n a l
h u m a n a c tiv itie s s till e x is te d , a n d th e s u p p o rt f ro m th e g o v e rn m e n ts o f d iff e re n t le v e ls
a n d in te rv e n tio n o f in te rn a tio n a l o rg a n iz a tio n s a re c ritic a l to f in d o u t n e w a lte rn a tiv e s a n d
p ro te c t th e e c o lo g ic a l e n v iro n m e n t. (2 ) A t p re s e n t, s o m e h o u s e h o ld s b e g a n to u s e
a lte rn a tiv e e n e rg y (b io -g a s a n d e n e rg y sa v in g s to v e e tc .) w ith th e h e lp o f lo c a l
g o v e rn m e n t a n d T N C , th e s c o p e f o r s u c h e ff o rt is lim ite d , a n d th e fire w o o d c o lle c tio n is
still s e rio u s. T h e d o m e s tic e x p e rts in tro d u c e d th e p ro p o s e d a lte rn a tiv e s to th e lo c a l
p e o p le , s u c h a s w a te r a n d s o il c o n s e rv a tio n , f ru it tre e s a n d fire w o o d p la n ta tio n , e c o -
to u ris m d e v e lo p m e n t a n d a lte rn a tiv e e n e rg y e tc , a n d th e lo c a l p e o p le s h o w e d th a t th e y
a re w illin g to a c c e p t a n d d e m o n s tra te th e s e a lte rn a tiv e s . (3 ) T h ro u g h d is c u ss io n w ith
F-11

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lo c a l f a rm e rs , th e f ie ld v is it g ro u p k n e w th a t th e lo c a l s e ttle rs h a v e lim ite d k n o w le d g e o n
h o w to p ro te c t e c o s y s te m fu n c tio n s a n d w h a t k in d o f b e n e f its th e y c o u ld g e t fro m s u c h
p ro te c tio n . It is n e e d e d to s tre n g th e n th e p u b lic a w a re n e s s o f e c o s y s te m f u n c tio n
p ro te c tio n a n d in tro d u c e a n d s h o w th e k n o w le d g e a n d te c h n o lo g y o f p ra c tic in g in te g ra te d
e c o sy ste m m a n a g e m e n t.
2 . S T A K E H O L D E R P A R T IC IP A T IO N D U R IN G P R O J E C T
E X E C U T IO N .
D u rin g p ro je c t e x e c u tio n , in te rn a tio n a l a g e n c ie s , n a tio n a l a n d p ro v in c ia l le v e l g o v e r n m e n ts , lo c a l
c o m m u n itie s a n d N G O s w ill p a rtic ip a te a s m e m b e rs o f th e P ro je c t S te e rin g C o m m itte e a n d /o r
L o c a l S te e rin g C o m m itte e s . A ll o f th e m w ill b e a b le to e x p re s s th e ir v ie w s a n d p a rtic ip a te in
re g u la r m e e tin g s sc h e d u le d d u rin g im p le m e n ta tio n .

M a in sta k e h o ld e r s d u r in g p r o je c t e x e c u tio n w ill b e :
L e v e l S ta k e h o ld e r s
N a tio n a l D e v e lo p m e n t a n d R e f o rm C o m m is s io n (N D R C ), M in is try
o f F in a n c e (M O F ), M in is try o f L a n d a n d R e s o u rc e s ( M L R ),
C e n tra l
M in is try o f C o n stru c tio n (M O C ), M in is try o f W a te r R e s o u rc e s
g o v e rn m e n t
(M W R ), M in is try o f A g ric u ltu re ( M O A ), S ta te F o re s try
b o d ie s
A d m in is tra tio n (S F A ) a n d S ta te E n v iro n m e n ta l P ro te c tio n
A d m in istra tio n (S E P A )
Y u n n a n P ro v in c ia l G o v e rn m e n t: d e p a rtm e n ts o f p la n n in g , fin a n c e ,
la n d a n d re s o u rc e s , c o n s tru c tio n , w a te r re s o u rc e s , a g ric u ltu re ,
fo re stry a n d e n v iro n m e n ta l p ro te c tio n ;
L o c a l g o v e rn m e n t

b o d ie s
S ic h u a n P ro v in c ia l G o v e rn m e n t: d e p a rtm e n ts o f p la n n in g , fin a n c e ,
la n d a n d re s o u rc e s , c o n s tru c tio n , w a te r re s o u rc e s , a g ric u ltu re ,
fo re stry a n d e n v iro n m e n ta l p ro te c tio n .
L o c a l
F a rm e rs, a n g le rs a n d h e rd e rs, a n d o th e r lo c a l in h a b ita n ts.
c o m m u n itie s
In te re s te d p riv a te s e c to rs , s u c h a s re s o rt c o m p a n ie s , b o th in sid e a n d
P riv a te se c to rs
o u tsid e th e d e m o site s
B ila te ra l
Ita lia n g o v e rn m e n t, N o rw e g ia n g o v e rn m e n t, e tc .
g o v e rn m e n ts
In te rn a tio n a l
T h e N a tu re C o n s e rv a n c y ( T N C ), W o rld W id e F u n d fo r N a tu re
N G O s
(W W F )-C h in a , C o n se rv a tio n In te rn a tio n a l (C I)
In te rn a tio n a l
U N E P , W B , U N D P , A D B
O rg a n iz a tio n s
C h in e s e R e s e a rc h A c a d e m y o f E n v iro n m e n ta l S c ie n c e s , In stitu te s o f
S c ie n tif ic a n d C h in e s e A c a d e m y o f S c ie n c e s , in c lu d in g In s titu te o f G e o g ra p h ic a l
re se a rc h in stitu te s
S c ie n c e s a n d N a tu ra l R e s o u rc e s R e s e a rc h , In s titu te o f M o u n ta in
H a z a rd o u s a n d E n v iro n m e n t, a n d In stitu te o f Z o o lo g y , e tc .

C o m m u n ity p a r tic ip a tio n a c tiv itie s w ill in c lu d e :
A c tiv ity R e sp o n sib le
A g e n c ie s
R e g u la r m e e tin g s (o n c e e v e ry 6 m o n th s ) w ith
N P D & C e n tra l P M O
re p re se n ta tiv e s o f th e P S C to g e t p o lic y g u id a n c e
M e e tin g s b e tw e e n c o m m u n ity re p re s e n ta tiv e s a n d
N P D & C e n tra l P M O
re p re se n ta tiv e s o f th e IC O
F-12

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P a rtic ip a tio n o f re p re se n ta tiv e s in L S C .
L o c a l P M O
R e p re s e n ta tiv e s f ro m th e lo c a l c o m m u n itie s w ill b e
L S C & lo c a l P M O
in v o lv e d in p ro je c t im p le m e n ta tio n a n d e v a lu a tio n
E x is tin g L o c a l M a n a g e m e n t C o m m itte e ( L M C ) in e a c h
L S C & lo c a l P M O
D E M O s ite , re p re s e n tin g v illa g e s a n d to w n s , w ill h e lp in
c o o rd in a tin g la n d u s e p la n n in g , m a n a g e m e n t a n d
m o n ito rin g . L M C M e m b e rs w ill b e tra in e d in p la n n in g ,
m a n a g e m e n t a n d m o n ito rin g m e th o d s.
V illa g e rs w ill p a rtic ip a te in in fo rm a tio n d is s e m in a tio n
L S C & lo c a l P M O
w ith in th e ta rg e t c o m m u n itie s.
H a n d s-o n tra in in g p ro g ra m s
L S C & lo c a l P M O
E n a b le c o m m u n itie s to d e te rm in e m e a s u re s n e c e s s a ry to
L S C & lo c a l P M O
im p ro v e a n d s u s ta in th e ir q u a lity o f lif e b e y o n d th e lif e o f
th is p ro je c t.
F-13

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A n n ex G . R eferen ce D o cu m en ts o f T w o D em o S ites (in clu d in g m a p s)
A n n ex G 1 . A ttrib u tes o f T w o D em o S ites
T h e tw o d e m o n s tra tio n site s s e le c te d (B a o x in g a n d L a o ju n s h a n ) re p re s e n t d iff e re n t m ix e s o f
e c o s y s te m s a n d c h a lle n g e s to in te g ra te d m a n a g e m e n t. M a in v e g e ta tio n ty p e s in th e u p p e r b a s in o f
th e Y a n g tz e R iv e r in c lu d e s u b tro p ic a l e v e r g re e n b ro a d -le a f e d f o re sts , s u b tro p ic a l e v e r g re e n b ro a d
le a f e d a n d d e c id u o u s b ro a d -le a f e d fo re s ts , s u b tro p ic a l c o n if e ro u s f o re sts , g ra s s la n d s a n d w e tla n d s .
M a in th re a ts in th e u p p e r re a c h in c lu d e h a b ita t f ra g m e n ta tio n , e ro sio n o f s o il, lo s s o f w a te r
re te n tio n c a p a c ity o f v e g e ta tio n a n d lo s s o f w e tla n d s . B a o x in g a n d L a o ju n s h a n s ite s c o n f ro n t a ll o f
th e s e th re a ts , c o lle c tiv e ly . B e s id e s , B a o x in g is o n e o f th e re g io n s w ith h ig h p re c ip ita tio n a n d
ru n o ff in th e u p p e r b a sin , w h ile L a o ju n s h a n s ite is o n e o f th e re g io n s w ith h ig h s e d im e n t
c o n trib u tio n to th e u p p e r re a c h o f th e Y a n g tz e R iv e r.
A ttrib u te
B a o x in g L a o ju n sh a n
S iz e
3 1 4 ,4 2 5 h a
2 0 5 ,4 6 0 h a
P o p u la tio n 5 5 ,1 0 5
8 1 ,8 5 6
A re a w ith re sid e n tia l,
1 ,0 8 5 h a
N e g lig ib le
m in in g a n d ro a d

in fra stru c tu re
F o re sts
2 2 3 ,6 1 4 h a
1 1 8 ,4 0 9 h a
G ra ssla n d s 6 3 ,7 4 2
1 9 ,9 4 6
h a
C ro p la n d
4 ,7 7 9 h a
1 0 ,0 2 9 h a
W a te r b o d ie s
2 ,3 6 1 h a
1 ,3 5 6 h a
E c o sy ste m s a n d
S u b tro p ic a l e v e rg re e n b ro a d le a fe d
S h ru b la n d s, su b tro p ic a l c o n ife ro u s
V e g e ta tio n ty p e
fo re st, su b tro p ic a l e v e rg re e n b ro a d
fo re st (sp ru c e a n d fir), c o n ife ro u s
le a fe d a n d d e c id u o u s b ro a d le a fe d
a n d b ro a d le a fe d m ix e d fo re st,
m ix e d fo re st, w a rm te m p e ra te
m e a d o w s, sm a ll sh a llo w la k e s a n d
c o n ife ro u s a n d b ro a d le a fe d m ix e d
g ra ssla n d s.
fo re st, te m p e ra te a n d c o ld
te m p e ra te c o n ife ro u s fo re st, frig id
sh ru b s a n d m e a d o w s.
F lo o d re la te d c h a ra c te rs
F a m o u s ra in sto rm re g io n in C h in a .
A n n u a l a v e ra g e ru n o ff is 0 .4 1
A re a s w ith a ltitu d e s o f 2 1 0 0 -
b illio n m 3, th e ru n o ff o f M a y to
2 3 0 0 m a sl c a n sh o w a n n u a l
O c to b e r is 0 .3 5 b illio n m 3, 8 5 .4 %
p re c ip ita tio n o f 2 0 0 0 -2 5 0 0 m m .
o f a n n u a l ru n o ff. A n n u a l se d im e n t
d isc h a rg e is 5 0 3 ,0 0 0 to n , a n n u a l
a v e ra g e silt c o n te n t is 1 .2 2 k g /m 3,
a v e ra g e p re c ip ita tio n is 7 6 7 .8 m m
B io d iv e rsity
U m b re lla sp e c ie s: G ia n t P a n d a
U m b re lla sp e c ie s: Y u n n a n G o ld e n
M o n k e y



G1-1

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B io d iv ersity a t B a o x in g
P la n t re s o u rc e s : A c c o rd in g to p re lim in a ry in v e s tig a tio n s , v a s c u la r p la n ts d istrib u te d f ro m th e
s u b tro p ic a l to th e F rig id Z o n e b e lo n g to o v e r 1 6 0 f a m ilie s , 5 6 0 g e n e ra a n d m o re th a n 1 0 5 0
s p e c ie s , c o v e rin g a b o u t 6 8 .9 % o f th e to ta l c o u n ty a re a . M a in ty p e s o f v e g e ta tio n in c lu d e a lp in e
m e a d o w s , a lp in e s h ru b - m e a d o w s , a lp in e sh ru b s , a lp in e c o n if e ro u s f o re sts , c o n ife ro u s a n d b ro a d -
le a v e d m ix e d f o re sts , e v e r g r e e n c o n if e ro u s a n d b ro a d -le a v e d m ix e d f o re st, e v e r g re e n b ro a d -le a v e d
fo re st a n d s e c o n d a ry m ix e d s h ru b s . T im b e r fo re s ts a re m a in ly c o m p o s e d o f A b ie s fa b ri, P ic e a
a s p e r ta ta , T s u g a c h in e n sis , L a r ix p o ta n in ii, B e tu la s p p ., C r y p to m e r ic a ja p o n ic a , P in u s
y u n n a n e n s i. A n c ie n t sp e c ie s o f th e D e m o s ite in c lu d e C e r c id ip h y llu m ja p o n ic u m , D a v id ia
in v o lu c ra te , A la n g iu m c h in e n s e , a n d C y sto p te r is m o u p in e n sis . E c o n o m ic f o re sts a re c o m p o s e d o f
b a m b o o , f ru it tre e , te a s h ru b , p a lm , E u c o m m ia , M a g n o lia , P h y llo d e n d r o n . T h e d e m o site h a s
v a rio u s g ra ssla n d ty p e s, a n d m o re th a n 2 0 0 sp e c ie s o f m e d ic in a l h e rb s.
A n im a l re so u rc e s: A c c o rd in g to p re lim in a ry in v e s tig a tio n s , th e c o u n ty h a s m o re th a n 2 7 0 s p e c ie s
o f b ird s , 1 2 s p e c ie s o f f is h a n d 6 4 s p e c ie s o f m a m m a ls . T h e n a tio n a l tre a s u re , G ia n t P a n d a w a s
first fo u n d h e re a n d m o re th a n 2 0 0 in d iv id u a ls o f th e sp e c ie s n o w liv e in th e a re a .
C o n s e rv a tio n s ta tu s . A t B a o x in g th e re a re 4 2 9 s p e c ie s o f v e rte b ra te s , o f w h ic h 1 7 u n d e r first-c la s s
p ro te c tio n a n d 5 1 u n d e r s e c o n d -c la s s p ro te c tio n . M o re th a n 3 ,0 0 0 s p e c ie s o f h ig h e r p la n ts h a v e
b e e n re p o rte d in th is a re a , a m o n g w h ic h 8 s p e c ie s h a v e b e e n liste d a s N a tio n a l F irst C la s s
P ro te c te d S p e c ie s (I), 2 0 a s N a tio n a l S e c o n d C la s s (II), a n d S ic h u a n P ro v in c e (III) p ro te c ts o th e r
1 6 . A m o n g th e w ild life d is trib u te d in th e d e m o n stra tio n site , th e re a re 4 0 s p e c ie s lis te d in C IT E S
a n d 2 0 re p o rte d b y IU C N a s e n d a n g e re d s p e c ie s (E N ) o r ra re s p e c ie s (R ) (S e e T a b le 1 ). M o re th a n
1 0 0 G ia n t P a n d a s , w h ic h a c c o u n t fo r o n e th ird o f th e to ta l in C h in a , liv e h e re . B e s id e s G ia n t
P a n d a , s o m e o th e r e n d a n g e r e d s p e c ie s , in c lu d in g g o ld e n m o n k e y , p h e a s a n t a n d d o v e tre e a re a ls o
p re s e n t in th is a re a . A m o n g p la n ts , s o m e ra re a n d m o n o ty p ic s p e c ie s in c lu d in g d o v e tre e a n d
g in g k o a re c a lle d liv in g f o s sils . S o m e d o m in a n t p la n ts , s u c h a s A b ie si, P ic e a a n d B e tu la , m o s t
s p e c ie s in C in n a m o m u m a n d Q u e r c u s a re d e riv e d f ro m T e rtia ry o r e a rlie r a n c e s to rs . F e n g to n g z h a i
N a tio n a l N a tu re R e se rv e , h a s g lo b a l b io d iv e rsity sig n ific a n c e .

T a b le 1 . A n im a ls p ro te c te d in B a o x in g D e m o
R a n k s
L a tin
N a m e
IU C N
N a tio n a l C IT E S
(1 9 9 5 ) (1994)
1 . A ilu ro p o d a m e la n o le u c a
1 I
E N
2 . R h in o p ith e c u s ro x e lla n a e
1 I
V U
3 . N e a fe lis n e b u lo sa
1 I
V U
4 . P a n th e ra u n c ia
1 I
E N
5 . P a n th e ra p a rd u s
1 I
6 . P a n th e ra tig ris a m o y e n sis
1 I
E N
7 . E q u n s k ia n g
1 II
V U
8 . C e rv u s a lb iro stris
1
V U
9 . B u d o rc a s ta x ic o lo r
1 II
V U
1 0 . G y p a e tu s b a rb a tu s
1 II
1 1 . H a lia e e tu s a lb ic illa a lb ic illa
1 II
V U
1 2 . L o p h o p h o ru s th u y sii
1 I
E N
1 3 . L o p h o p h o ru s sc la te ri
1 I
R
1 4 . T e tra o p h a sis o b sc u ru s
1
1 5 . G ru s n ig ric o llis
1 I
V U
1 6 . C ic o n ia n ig ra
1 II
G1-2

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1 7 . P y th o n m o lu ru s b iv itta tu s
1 II
1 8 . A ilu ru s fu lg e n s sty a n i
2 II
E N
1 9 . M a c a c a sp e c io sa th ib e ta n a
2 II
2 0 . M a c a c a m u la tto m u la tta
2 I
2 1 . F e lis te m m in c k i
2 II
2 2 . L y n x ly n x
2 II
2 3 . V e v e rra zib e th a a sh to n i
2
2 4 . V iv e rric u la in d ic a
2
2 5 . U rsu s p ru in o su s
2 I
2 6 . S e le n a rc to s th ib e ta n u s
2 I
V U
2 7 . M o sc h u s b e rzo v sk ii
2 II
2 8 . M o sc h u s sifa n ic u s
2 II
2 9 . C e rv u s u n ic o lo r d e je a n i
2
3 0 . C e rv u s e la p h u s m a c n e illi
2
3 1 . C e rv u s e la p h u s
2
3 2 . C a p ric o m is su m a tra e n sis
2 I
V U
3 3 . N a e m o rh e d u s g o ra l
2 I
V U
3 4 . P se u d o is n a y a u r
2
3 5 . O v is a m m o n
2 II
V U
3 6 . C u o n a lp in u s
2 II
V U
3 7 . M a rte s fla v ig u la
2
3 8 . L u tra lu tra c h in e n sis
2 II
3 9 . P rio n o d o n p a rd ic o lo r p a rd ic o lo r
2 II
4 0 . B u te o b u te o
2
4 1 . M ilv u s k o rsc h u n
2
4 2 . A c c ip ite r n isu s
2
4 3 . A e g y p iu s m o n a c h u s
2 II
V U
4 4 . F a lc o c o lu m b a riu s iu sig n is
2 II
4 5 . F a lc o tin n u n c u lu s
2 II
4 6 . T ra g o p a n te m m in c k ii
2
4 7 . Ith a g in is c ru e n tu s
2
4 8 . C h ry so lo p h u s p ic tu s
2
4 9 . C h ry so lo p h u s a m h e rstia e
2
5 0 . C ro sso p tilo n a u ritu m
2
5 1 . S y rm a tic u s re e v e sii
2 I
R
5 2 . C ro sso p tilo n c ro sso p tilo n
2 I
5 3 . P u c ra sia m a c ro lo p h a
2
5 4 . L e rw a le rw a
2
5 5 . T re ro n sp h e n u ra
2
5 6 . G ru s g ru s
2
5 7 . P sitta c u la d e rb ia n a
2 II
5 8 . O tu s b a k k a m o e n a
2
5 9 . B u b o n ip a le n sis
2 II
6 0 . B u b o b u b o
2 II
6 1 . A th e n e n o c tu a
2
6 2 . S trix a lu c o
2
6 3 . S trix u ra le n sis
2
6 4 . G la u c id iu m c u c u lo id e s
2
6 5 . G la u c id iu m b ro d ie i b ro d ie i
2
6 6 . A ix g a le ric u la ta
2
6 7 . A n d ria s d a v id ia n u s
2 I
6 8 . H u c h o b le e k e ri
2
6 9 . E la p h o d u s c e p h a lo p h u s
3
7 0 . F e lis b e n g a le n sis
3 II
7 1 . V u lp h e s h o le
3
7 2 . M u ste la a lta ic a te m o n
3
7 3 . P e ta u rista p e ta u rista
3
7 4 . C u c u lu s sp a rv e rio id e s
3
G1-3

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7 5 . C a p rim u lg a u s in d ic u s
3
7 6 . H iru n d a p u s c a u d a c u tu s
3

L a n d u se a n d S o cio -eco n o m ic co n d itio n s a t B a o x in g
B ao x in g is co m p rised o f a ra b le la n d o f 8 3 ,0 0 0 C h in e se m u 2, fo re st a re a o f 3 .3 m illio n C h in e se m u ,
g ra ssla n d o f 9 6 5 ,0 0 0 m u . T h e p o p u latio n siz e is 5 5 ,1 0 5 , an d o f th is, th e a g ricu ltu ral p o p u latio n is
4 5 ,4 9 5 , a c co u n tin g fo r 8 2 .3 5 % o f th e to tal p o p u latio n . T h e m in o rity o f T ib eta n s o f 4 ,6 5 0 also liv e in
B ao x in g . T h e G D P in B ao x in g is 4 7 3 m illio n Y u a n , an d th e an n u al in c re a se is 1 0 .8 % . T h e p e r ca p ita
G D P rea ch e s 8 ,6 1 0 Y u a n . T h e g ro ss o u tp u t o f a g ricu ltu re is 1 7 2 m illio n Y u a n , a n d th e g ro ss o u tp u t
o f in d u stry is 6 3 9 m illio n Y u a n . P e r c a p ita n et in c o m e o f fa rm e rs is 2 2 5 9 Y u an . A p p ro x im a tely 8 2 %
o f th e p o p u latio n is e n g a g e d in a g ricu ltu re . T h e m ain c ro p is ric e. In 1 9 9 8 , B a o x in g en a cte d a
lo g g in g b a n o n n atu ral fo rests, a n d clo se d 1 6 fo re st in d u stries. In 1 9 9 9 , B a o x in g sta rted
im p le m en tin g th e slo p e re -co n v e rsio n p ro ject. A c c o rd in g ly th e a g ric u ltu ral c o n d itio n s an d stru ctu re
h av e b een m o d ified an d im p ro v ed .
B io d iv ersity a t L a o ju n sh a n
P la n t re s o u rc e s . A c c o rd in g to p re lim in a ry in v e s tig a tio n s , v a s c u la r p la n ts d istrib u te d f ro m th e
s u b tro p ic a l to th e F rig id Z o n e b e lo n g to o v e r 1 5 1 f a m ilie s , 6 3 7 g e n e ra a n d m o re th a n 1 9 0 1
s p e c ie s . M a in ty p e s o f v e g e ta tio n in c lu d e w a rm te m p e ra te c o n ife r fo re s t, n o rth s u b -tr o p ic a l m ix e d
fo re st, d e c id u o u s b ro a d le a f fo re st, c o ld te m p e ra te c o n if e r f o re st (s u b -a lp in e c o n if e r f o re st), c o ld
te m p e ra te R h o d o d e n d ro n d w a rf f o re st, R h o d o d e n d ro n s c ru b , a lp in e c o ld m e a d o w a n d w e tla n d
v e g e ta tio n . T im b e r fo re s ts a re m a in ly c o m p o s e d o f fir, s p ru c e , a n d P s e u d o ts u g a fo r r e stii C r a ib ,
T s u g a y u n n a n e n s is a n d P ic e a b r a c lu y ty la . E c o n o m ic fo r e sts a re c o m p o s e d o f P ic e a lik ia n g e n sis ,
R h o d o d e n d ro n d w a r f fo r e s t, B e tu la p la ty p h y lla , P te r o c a r y a d e la v a y i, A b ie s d e la v a y i, A b ie s
g e o r g e i, P in u s y u n n a n e n sis a n d f ru it tre e s . T h e d e m o s ite h a s v a rio u s m e a d o w s a n d s c ru b ty p e s ,
a n d m o re th a n 1 6 3 sp e c ie s o f m e d ic in a l h e rb s.

A n im a l re so u rc e s . A c c o rd in g to p re lim in a ry in v e s tig a tio n s , th e L a o ju n s h a n d e m o s ite h a s m o re
th a n 4 3 s p e c ie s o f m a m m a ls , 2 6 3 s p e c ie s o f b ird s a n d 5 4 s p e c ie s o f a m p h ib ia n s . A b o u t 1 0 0 -2 0 0
in d iv id u a ls o f Y u n n a n G o ld e n M o n k e y (R h in o p ith e c u s b ie ti) n o w liv e h e re (T h e to ta l n u m b e r o f
Y u n n a n G o ld e n M o n k e y s in C h in a is e stim a te d a t 1 4 0 0 -1 7 0 0 in d iv id u a ls).

C o n s e rv a tio n s ta tu s . A t L a o ju n s h a n , th e re a re 5 2 n a tio n a l p rio rity p ro te c tio n flo ra s p e c ie s , w h ic h
b e lo n g to 1 1 fa m ilie s a n d 3 3 g e n u s e s , in c lu d in g 1 n a tio n a l f irst-c la s s p ro te c te d s p e c ie s a n d 5 1
n a tio n a l s e c o n d -c la s s p ro te c te d s p e c ie s . T h e re a re 1 2 s p e c ie s o f n a tio n a l p ro te c te d m a m m a ls , o f
w h ic h 2 s p e c ie s a re u n d e r firs t-c la s s n a tio n a l p ro te c tio n , 1 0 u n d e r s e c o n d -c la s s n a tio n a l
p ro te c tio n ; 3 1 sp e c ie s o f n a tio n a l p rio rity p ro te c tio n b ird , o f w h ic h 7 u n d e r f irst-c la s s n a tio n a l
p ro te c tio n a n d 2 4 u n d e r s e c o n d -c la s s n a tio n a l p ro te c tio n ; 3 sp e c ie s o f n a tio n a l p rio rity p ro te c tio n
a m p h ib ia n a n d re p tile s , o f w h ic h 1 s p e c ie s u n d e r firs t-c la s s n a tio n a l p ro te c tio n a n d 2 u n d e r
s e c o n d -c la s s n a tio n a l p ro te c tio n . A m o n g th e w ild lif e d istrib u te d in th e d e m o n stra tio n s ite , th e re
a re 2 6 s p e c ie s liste d in C I T E S ( S e e T a b le 2 ). B e s id e s Y u n n a n G o ld e n M o n k e y , s o m e o th e r
e n d a n g e re d s p e c ie s , in c lu d in g c lo u d e d le o p a rd , b la c k b e a r, little p a n d a , b la c k -n e c k e d c ra n e ,

2 1 ha equals to 6 Chinese mu.
G1-4

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h o o d e d c ra n e , a n d b la c k s to rk a ls o a re d is trib u te d in th is a re a . T h e p ro p o s e d L a o ju n s h a n N a tio n a l-
le v e l N a tu re R e s e rv e a n d th e e x is tin g L a s h ih a i P ro v in c ia l le v e l N a tu re R e s e rv e h a v e g lo b a l
b io d iv e rsity sig n ific a n c e .

T a b le 2 . P rio rity P ro te c te d A n im a ls in L a o ju n sh a n D e m o S ite
R a n k s
L a tin
N a m e
N a tio n a l
C IT E S
1 . R h in o p ith e c u s b ie ti
1 I
2 . N e o fe lis n e b u lo sa
1 I
3 . A q u ila c h ry sa e to s
1
4 . G y p a e tu s b a rb a tu s
1
5 . S y rm a tic u s h u m ia e
1 I
6 . C ic o n ia n ig ra
1 II
7 . M e rg u s sq u a m a tu s
1
8 . G ru s n ig ric o llis
1 I
9 . G ru s m a n a c h a
1 I
1 0 .
P y th o n m o lu ru s b iv itta tu s
1 I
1 1 .
M a c a c a m u la tta
2 II
1 2 .
T u p a ia b e la n g e ri
II
1 3 .
C a n is lu p u s
II
1 4 .
C u o n a lp in u s
2 II
1 5 .
S e le n a rc to rs th ib e ta n u s
2 I
1 6 .
A ilu ru s fu lg e u s
2 I
1 7 .
M a rte s fla v ig u la
2
1 8 .
L u tra lu rta
2 I
1 9 .
V iv e rra zib e th a
2
2 0 .
V iv e rra in d ic a
2
2 1 .
P rio n a ilu ru s b e n g a le n sis
II
2 2 .
M a n is p e n ta d a c ty la
2 II
2 3 .
M o sc h u s b e rc o zo v sk ii
2 II
2 4 .
M ilv u s k o rsc h u n
2
2 5 .
A c c ip ite r g e n tile s
2
2 6 .
A c c ip ite r n isu s
2
2 7 .
A c c ip ite r v irg a tu s
2
2 8 .
B u te o b u te o
2
2 9 .
F a lc o su b b u te o
2
3 0 .
F a lc o tin n u n c u lu s
2
3 1 .
T e tra o g a llu s tib e ta n u s
2
3 2 .
Ith a g in is c ru e n tu s
2 II
3 3 .
G ro sso p tilo n c ro sso p tilo n
2 I
3 4 .
T ra g o p a n te m m in c k ii
2
3 5 .
L o p h a ra n y c th e m e ra
2
3 6 .
C h ry so lo p h u s a m h e rstia e
2
3 7 .
G ru s g ru s
2 II
3 8 .
P o rza n a b ic o lo r
2
3 9 .
T re ro n sp h e n u ra
2
4 0 .
P sittd c u la d e rb ia n a
2
4 1 .
P sitta c u la im a la y a n a
2
4 2 .
B u b o b u b o
II
4 3 .
G la u c id iu m c u c u lo id e s
II
4 4 .
S trix a lu c o
II
4 5 .
C y g n u s c y g n u s
2
4 6 .
G ru s g ru s
2 II
4 7 .
A n se r in d ic u s
2
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4 8 .
C irc u s a e ru g in o su s
2
4 9 .
F a lc o tin n u n c u lu s
2
5 0 .
B u te o b u te o
2
5 1 .
T y lo to trito n v e rru c o su s
2
5 2 .
R a n a tig rin a ru g u lo sa
2 II
5 3 .
P ty a s m u c o su s
II

L a n d u se a n d so cio -eco n o m ic co n d itio n s a t L a o ju n sh a n
O f th e to tal lan d a rea o f th e d e m o site , th e a rea s o f fo re sts, fa rm la n d an d g ra sslan d a re , re sp e ctiv ely ,
1 5 6 ,0 0 0 h a , 1 0 ,0 2 9 h a an d 1 9 ,9 4 6 h a. T h e m ain m in o rity g ro u p s in clu d e : N a x i, B ai, H a n , L isu , P u m i
an d Y i. T h e a v e ra g e n et in c o m e p e r ca p ita is 1 ,0 1 4 C h in ese y u a n . T h e d e m o a rea is c h a racte riz ed b y
w e a k a g ricu ltu ral in d u stry , a n d stro n g d e p en d e n c y o n fo re st re so u rc e s (in clu d in g fire w o o d ). A fte r th e
im p le m en tatio n o f th e lo g g in g b an , th e ec o n o m ic d e v elo p m e n t slo w e d d o w n . It is p ro p o sed to
d e v elo p th e fo llo w in g alte rn a tiv e liv elih o o d s: an im al h u sb an d ry , fru it tre e s a n d m e d icin al p lan ts, a n d
eco -to u rism .
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A n n ex G 2 . G eo g ra p h ica l L o ca tio n o f T w o D em o S ites
M a p 1 : L o c a tio n o f th e P r o je c t A r e a




G2-1

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M a p 2 : L o c a tio n o f th e D e m o S ite s in th e U p p e r B a sin o f th e Y a n g tze R iv e r


G2-2

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A n n ex H . M o n ito rin g a n d E v a lu a tio n P la n
I. Outline
The project monitoring and evaluation will be conducted following the UNEP Project
Monitoring and Evaluation procedure. The Logframe Matrix (Annex B) is particularly a
useful tool to be employed for the project monitoring and evaluation purposes, particularly in
order to monitor and evaluate the progress in achieving project objectives, and listed
benchmarks (using the indicators in the Logframe Matrix). The project monitoring will be
conducted on a periodic basis, in order to assess if planned substantive and financial activities
are implemented according to the workplan and financial plan, and to evaluate if these
activities are actually giving the same level of effects as have been originally planned.

Evaluation will be conducted, respectively, at the mid-term of the project duration and at the
terminal point of the project implementation, unless the project monitoring indicates a need
for extraordinary evaluation for the purpose of re-direction of project implementation. The
project evaluation will objectively evaluate efficiency and cost-effectiveness of the project
implementation, actual impacts of the project vis-à-vis set project objectives and global
environment targets. The evaluation also involves the issues of the sustainability of the
project and its impacts, stakeholder participation, and financial management.

In order to effectively monitor the impacts of the project activities, during the first year of the
project implementation, the baseline level will be clearly identified and agreed upon among
the stakeholders. This exercise will be carried out based on the preliminary assessment of the
ecosystem functions in the upper Yangtze Basin, developed during the PDF-B.

Within the Executing Agency (SEPA), the National Project Director (NPD) will take the
overall responsibility for project monitoring and evaluation. Within the Implementing
Agency (UNEP), the project task manager will take the overall responsibility for project
monitoring and organization of external evaluation.

II. Monitoring:

Regular communications will be established between the NPD and the UNEP on the progress
of the project implementation through regular contacts, as well as required project half-yearly
progress reports, to be prepared in a UNEP format.

The project will be subject to tripartite project review (TPR) at least once every 12 months by
representatives of PMO, SEPA and UNEP, and wherever necessary, extraordinary tripartite
project review meetings may be organized. UNEP may seek external expert(s) to participate
in the review meetings, in order to maintain objectivity of the progress review and to
supplement the expertise needed for the review. The TPR will be organized in conjunction
with the PSC meetings, and the reports emanating from the review meetings will be used to
modify and improve the orientation and performance of the project implementation. The
results of the monitoring components, particularly relevant to the two demo sites, will be
H-1

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made available, when the environmental status indicators are evaluated. When the project is
judged to be at risk by the TPR, UNEP task manager will submit the TPR report to
UNEP/GEF Divisional Review and Oversight Committee (DROC), and until a risk flag is
lifted, TPR reports will be continuously submitted to DROC for its policy guidance on the
overall direction of the project implementation.

The PMO shall prepare and submit to each tripartite review meeting an Annual Project Report
(APR) in line with the Project Implementation Review required by GEF. This will ensure
that design and inception activities are closely monitored and modification to the project plan
can be made in time. Any other project and substantive reports will be submitted to SEPA
and UNEP for their agreements prior to their finalization. The following table indicates the
tools to be used for project implementation monitoring:
Table H-1: A summary of Project Monitoring tools and their use
Tool Frequency
Responsible
Review and
Unit to
acceptance by UNEP
prepare
Half-yearly progress reports prepared
June and December
PMO
UNEP reviews and
in a UNEP format.
every year
approves them.
Quarterly expenditure reports
March, June, September PMO
UNEP and UNON
prepared in a UNEP format.
and December every
review and approve
year
them
Annual financial report and terminal
December every year
SEPA
Annual reports and
project auditing
terminal audit reports
will be submitted to
UNEP for review.
Annual project review (APR) reports,
June every year
PMO
Submitted to the
reporting on indicators in the
Tripartite Review
Logframe, in the form of PIR.
Meeting
Reports of the Tripartite Project
July/August every year
TPR
Agreed by TPR based
Review (TPR), highlighting the
on the Annual Project
outstanding and risk issues
Review.
Project Implementation Review (PIR)
September every year
UNEP Task
UNEP task manager
Manager
prepares PIR based on
the TPR and APR, to be
submitted to portfolio
manager.
Overall and annual work plans, which
When needed, at the
PMO Steering
Committee
may and will be modified, based on
Steering Committee
approves changes.
the Steering Committee Meeting
meetings
results.
Proposal for any change in budget and
When needed, at the
SEPA
A proposal to be
its allocation.
Steering Committee
submitted to UNEP for
meetings
its approval.
Disbursement and co-financing plans
At the inception of the
SEPA
Plans to be approved by
project
UNEP, and
disbursement of GEF
funds recorded by
UNON.
Procurement plan (non-expendable
As part of quarterly
SEPA
Inventory of Non-
equipment)
financial reporting
Expendable Equipment
H-2

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equipment)
process.
submitted to UNEP for
records.
Audit reports and other ad-hoc
As deemed necessary
Auditors.
Audit reports will be
reviews.
by internal and external
submitted to UNEP for
auditors
its action.
Project Steering Committee (PSC)
Once a year except first
PSC
Minutes of SC meetings
report, tracking implementation
two years when there
will be put on the
progress, and providing guidance on
are two meetings per
UNEP web.
annual workplans.
annum.
Local Steering Committees (LSCs)
At least once a year.
LSCs
Minutes of LSC
reports, outlining demo implementing
meetings prepared by
progress and demo on-the-ground
PMUs will be
impacts.
submitted to PSC.

a.
Monitoring of project impacts and outcomes

The project outcomes and impacts will be monitored annually based on the Logframe Matrix
at the TPR based on the Annual Project Review. Indicators set for this purpose will be used
for the performance of the project implementation. The baseline condition is preliminarily set
in the Logframe matrix, but d u rin g th e firs t y e a r o f p ro je c t im p le m e n ta tio n , th e firs t ta s k o f
th e M E W S a t th e tw o d e m o s ite s w ill b e to id e n tif y th e b a s e lin e e c o s y s te m a n d s o c io -
e c o n o m ic c o n d itio n s. T h e b a se lin e e c o s y s te m c o n d itio n s a s o f p ro je c t y e a r 1 w ill b e
a g re e d a t th e L S C s a n d P S C .
b.
Monitoring of project outputs

The project monitoring activities will also oversee the timing, quantity and quality of major
outputs expected from the project. Any drafts for substantive reports will be submitted to
UNEP for its review prior to official finalization and publication. The outputs will be
delivered in line with the established project implementation timetable. A summary of
oversight plan for substantive report delivery is provided below:

Table H-2: A summary of expected substantive reports and their delivery
Outcomes
Expected outputs
Expected timing of
Expected timing of
and Activities
draft submission to
finalization and
UNEP
publication
Outcome 1:
1.1
Report of the water retention ecosystem
Aug. 2005
Dec. 2005
functions in the upper Yangtze Basin
1.1
Report of the soil retention related
Aug. 2005
Dec. 2005
ecosystem functions in the upper Yangtze
Basin
1.1
Report of the biodiversity related
May. 2006
Sept. 2006
ecosystem functions in the upper Yangtze
Basin
1.1
Report of the carbon sequestration/
Aug. 2006
Dec. 2006
emission related ecosystem functions in
H-3

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the upper Yangtze Basin
1.1
Report on current and planned land use
Oct. 2006
Dec. 2006
and productivity in the upper Yangtze
Basin
1.2
Report on threats and root causes for the
Nov. 2007
Jan. 2008
degradation of critical ecosystem
functions in the upper Yangtze Basin
1.2
Report on economic values of the critical
Dec. 2007
Jan. 2008
ecosystem functions in the upper Yangtze
Basin
1.3
Report on integrated assessment of the
Dec. 2007
Jan. 2008
critical ecosystem functions in the upper
Yangtze Basin
1.4
Report on recommendation of new
Dec. 2007
Jan. 2008
EFCAs based on the scientific assessment
in the upper Yangtze Basin
Outcome 2:
2.1
Reports of monitoring of water retention
Oct. 2006, 2007, 2008
Dec. 2006, 2007, 2008
and soil conservation capacity
2.2
Reports of the list of management
Oct. 2006
Dec. 2006
indicators
2.3
Full monitoring reports of two sites
Sept. 2007, 2008
Dec. 2007, 2008
Outcome 3:
3.2
An IEM plan for the Baoxing EFCA
Nov. 2004
Dec. 2004
3.3
Management plans for PAs and corridors
Aug. 2006
Dec. 2006
3.4
Report of the alternative livelihood action
Aug. 2008
Dec. 2008
plan
3.5
Detailed plans to improve environmental
August 2006 Dec.
2006
standards
3.6
Syllabus and materials
Aug. 2008
Sep. 2008
3.6
Reports of decision makers visit
Aug. 2008
Dec. 2008
Outcome 4
4.2
An IEM plan for the Laojunshan EFCA
Nov. 2004
Dec. 2004
4.4
A PA plan
Aug. 2005
Dec. 2005
4.5
An AL Plan
Aug. 2006
Dec. 2006
4.6
Syllabus and materials
Aug. 2005
Sep. 2005
4.6
Reports of visits by decision makers
Nov. 2008
Dec. 2008

c.
Monitoring of stakeholder participation:

Concerning the demonstration component, local stakeholders have been actively engaged in
the process of designing the project and project strategies are built upon active public
participation in integrated ecosystem management. As per the Stakeholder Participation Plan
H-4

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during the implementation of the project (Section 2 of Annex F), stakeholder participation is
closely monitored by the TPR.
d.
Monitoring of financing, disbursement and expenditure

A GEF fund disbursement plan will be prepared during the project appraisal phase in line
with the project implementation timetable (Annex I). In correspondence with this GEF
disbursement plan, co-financing plan will also be established during the project appraisal
phase. In order to achieve maximum efficiency of fund activities, GEF fund will be disbursed
based on successful completion of activities during the preceding quarter and with proof of
matching co-financing.

e.
Monitoring of partnership

Periodic review will be conducted through the TPRs on the partnership arrangements (IA,
EA, supporting international and national organizations) for maximum efficiency of project
implementation. Potential agencies or organizations may be identified through the TPR if
specific expertise is needed to implement specific component(s) of the project.




f.
Monitoring of building sustainability and replicability

The TPR will also review whether institutional and financial arrangements are being made for
sustaining the project impact after the project is completed. This would include arrangements
within SEPA to establish an EFCA Unit for continuing EFCA-IEM related activities for the
Yangtze River basin, and preparation of a replication action plan to disseminate and replicate
lessons learned and demonstration results.

III. Evaluation

Annual mandatory self-evaluations will be performed, and results will be used to adapt
project strategies. UNEP will inform GEF of the evaluations during the annual Project
Implementation Review (PIR). Evaluation reports will also be made available to the public,
and will be shared with other GEF projects in China to facilitate mutual learning, and
strengthen strategic planning. In the mid-way of the project implementation, an external
consultant will be recruited to conduct a mid-term review of the project. Upon completion of
the project, the National Project Director will submit to UNEP a project terminal report.
Further, external consultant(s) will be recruited to conduct a final evaluation of the project.
The final evaluation report will be published by UNEP and shared with stakeholders involved
and GEF. The project may be subject to a GEF Secretariat Managed Project Review (SMPR).

H-5

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IV.
Monitoring and Evaluation schedule

T a b le H -3 : M o n ito rin g a n d E v a lu a tio n sc h e d u le
T im in g M & E
A c tiv itie s
J u ly 2 0 0 4
F irst H a lf-Y e a rly P ro g re ss R e p o rt
J u ly o r A u g u st 2 0 0 4
F irst S te e rin g C o m m itte e m e e tin g
D e c e m b e r 2 0 0 4
S e c o n d S te e rin g C o m m itte e m e e tin g a n d first T P R
D e c e m b e r 2 0 0 4
S e c o n d h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 5
T h ird h a lf-y e a rly p ro g re ss re p o rt
A u g u st 2 0 0 5
T h ird S te e rin g C o m m itte e m e e tin g a n d se c o n d T P R (P IR )
D e c e m b e r 2 0 0 5
F o u rth S te e rin g C o m m itte e m e e tin g
J a n u a ry 2 0 0 6
F o u rth h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 6
F ifth h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 6
F if th S te e rin g C o m m itte e m e e tin g a n d th ird T P R (P IR ),
c o m b in e d w ith th e m id -te rm re v ie w
J a n u a ry 2 0 0 7
S ix th h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 7
S e v e n th h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 7
S ix th S te e rin g C o m m itte e m e e tin g a n d fo u rth T P R (P IR )
J a n u a ry 2 0 0 8
E ig h th h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 8
N in th h a lf-y e a rly p ro g re ss re p o rt
J u ly 2 0 0 8
S e v e n th S te e rin g C o m m itte e m e e tin g a n d fifth T P R (P IR )
D e c e m b e r 2 0 0 8
T e n th a n d la st h a lf-y e a rly p ro g re ss re p o rt
D e c e m b e r 2 0 0 8 - F e b ru a ry 2 0 0 9
T e rm in a l E v a lu a tio n
J a n u a ry 2 0 0 9
S ix th a n d la st m e e tin g o f th e T P R










V.
Overall responsibility of project implementation partners

Project monitoring and evaluation will be conducted as part of the overall project
implementation arrangements, involving Implementing Agency, Executing Agency,
steering committees, PMO and PMUs, as well as co-financing agencies. The roles
and responsibilities of these agencies are outlined in the table below:
H-6

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aluation Roles and Responsibilities
Project Management
SEPA Project
Steering
Project Management
Local Steering
Office (PMO)
Committee
Units
Committees
National Project Director
Department of Nature
Chair of the PSC
Provincial Coordinators
Chairs of the LSCs
Conservation
(Sichuan and Yunnan)
t
Establish reporting network
Establish reporting network
Review overall progress Establish reporting
Review overall progress
to prepare necessary and
on financial (particularly co-
in the implementation
network to prepare
in the implementation
acceptable reports in time
financing) and policy
based on the reports
necessary and
on the demos based on
for submission to UNEP
responsibilities
prepared by the PMO
acceptable reports on
the reports prepared by

the demos in time for
the PMUs
submission to PMO

Preparation of half-yearly
Preparation of policy and
Review of and
Preparation of input to
Review of progress
progress reports and APR
co-financing related input to
agreement on the
half-yearly progress
reports by PMUs.
reports
half-yearly progress reports
workplan
reports and APR reports

and annual project review.


Regular visits to demo sites
Frequent visits to demo
Review and approval of

and communications with
Review the progress
sites
workplans.
PMUs
Participation in the TPR and
report prepared by


PSC.
PMO.
Overall implementation
Overall implementation
oversight on demo
oversight on assessment and
activities
MEWS components


Secretariat function for
Secretariat function for PSC
LSC and participation
and participation in the
in the PSC.
TPR.


Preparation of a draft work
Preparation of demo
plan for submission to PSC
work plans for
submission to LSCs
H-7

---

Prepare input on actual
Prepare reports on co-
Review financial
Prepare input on actual
Review financial
expenditure to SEPA
financing, and certify GEF
activities based on
expenditure to SEPA
activities based on

expenditure to be submitted
reports prepared by

reports prepared by
Preparation of a
to UNEP
PMO/SEPA
Preparation of
Provincial governments
procurement plan

procurement plans to be
submitted to SEPA
Procure equipment
Submit draft reports to
Ensure the substantive
Review substantive
Preparation of
Review of demo-related
UNEP for its review and
reports are in line with the
reports
substantive report drafts
drafts
clearance
SEPA policy
to be submitted to PMO

for review
Receive draft reports from
PMUs for its review
Organize logistics for
Receive interviews with
Review
Organize logistics for

evaluations, including site
external evaluation
recommendations in the
evaluations, including
Review
visits
consultants
evaluation reports
site visits
recommendations in the



evaluation reports
Interviews with external
Comment on draft
Interviews with external
evaluation consultants.
evaluation report
evaluation consultants.



Comment on draft
When selected by SMPR,
When selected by
evaluation reports
facilitate site visits
SMPR, facilitate site

visits
When selected by SMPR,

facilitate site visits

H-8

---

H-9

---

b le
F ir st Y e a r *
S e c o n d Y e a r
T h ir d Y e a r
F o u r th Y e a r
F ifth Y e a r
1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0
in g




















io n s




















lo o d c o n tro l
o t c a u se s
n s, a n d




















fu n c tio n s
sm e n t o f




















ste m




















re p lic a tio n








































c itie s fo r




















M E W S a t




















tra tio n site s
n c tio n
s fo r y e a rs 4




















d e m o -le v e l
site




















l fra m e w o rk




















n site
IE M p la n
ru le s a n d




















in g se c to r
e n t a n d




















n d




















rrid o rs
I-1

---

F ir st Y e a r *
S e c o n d Y e a r
T h ir d Y e a r
F o u r th Y e a r
F ifth Y e a r
1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0
(A L ) a ro u n d




















e ss, a n d




















s
m o site




















l fra m e w o rk




















a tio n site
IE M p la n
ru le s a n d




















in g se c to r
rg y




















d A re a s




















lih o o d s




















e ss a n d




















lu e s
t in th e b e g in n in g o f Y e a r 2 0 0 4 . * * N u m b e rs 1 -2 0 in th e title ra w in d ic a te p ro je c t q u a rte rs.
I-2

---

A n n ex J . S tru ctu re o f P ro ject Im p lem en ta tio n



GEF

Implementing agency,

Reporting
overall oversight over

the progress and fund
UNEP

management

Reporting
Monitoring

Executing
PSC
and evaluation

agency, overall
Policy

project execution
guidance

Necessary
Scientific


coordination
guidance
ICO
SEPA, represented by NPD
SAG



Monitoring
Reporting


Central PMO

National Level

Reporting
Monitoring and guidance
Reporting
Monitoring and guidance

Local

Local
Guidan
Provincial
Necessary liaison at
ce Gu
Provincial
idance
Steering

Steering
Coordinator
provincial level in terms of
Coordinator
Com

mittee in
Committee
in Sichuan
financial arrangement and
in Yunnan
Sichuan

in Yunnan
mainstreaming of existing

programs

Local Level

Monitoring
Monitoring

Reporting
Reporting
and
and

guidance
guidance



Local
Local

PMU in
PMU in

Baoxing
Laojunshan





J-1

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