PROJECT BRIEF
1. Identifiers
Project Number:
RAS/97/A05
Project Title:
Preparation of a Strategic Action Programme (SAP)
and Transboundary Diagnostic Analysis (TDA) for
the Tumen River Area, its coastal regions and
related Northeast Asian Environs.
Project Duration:
Two (2) Years.
GEF Implementing Agency: UNDP
Executing Agency: UNOPS
Requesting Countries:
Democratic People's Republic of Korea, Mongolia,
People's Republic of China, Republic of Korea and
the Russian Federation.
GEF Eligibility:
Eligible to receive UNDP technical assistance and
participation in the restructured GEF:
DPRK - 6 May 1994; Mongolia - 14 April 1994;
PRC - 16 May 1994; ROK - 3 May 1994;
Russian
Federation
-
23
June
1994
GEF Focal Area:
International Waters, secondarily biodiversity
GEF Programming Framework:
OP. 9: Integrated land and waters multiple focal
area
Secondarily, OP. 2: Coastal, freshwater and marine
ecosystems
2. Summary:
The purpose of this project is to prepare a Transboundary
Diagnostic Analysis (TDA) and a Strategic Action Programme (SAP) for the Tumen
River Economic Development Area. The implementation of the SAP will assist in the
implementation of the Memorandum of Understanding among the Tumen River Area
Development Programme member states by integrating and applying sound land and
water resource management strategies. The implementation of the SAP will also entail a
number of interventions focused on the conservation of biodiversity designed to obtain
national, regional and global benefits, with GEF financing their incremental cost. The
SAP will provide a common framework for the identification and formulation of
strategies, programmes and projects, responding primarily to transboundary issues of
environmental management.
3.
Cost and Financing:
GEF:
Project
:
US$ 4,957,200
PDF
:
US$ 242,271
Sub-total
:
US$ 5,199,471
_______________________________________________
Co-Financing:
UNDP/ROK :
US$ 250,000 (cash)
UNDP/TRADP
US$ 3,216,000
Government
:
US$ 2,000,800 (in-kind)
Total project cost:
US$ 10,666,271
4.
Associated Financing:
5.
GEF Operational Focal Point Endorsements:
Mr. Li Hung Sik, General Secretary, National Coordination Committee for
Environment (DPRK), letter dated 12 November 1997.
Mr. B. Ganbaatar, Director, International Cooperation Department, Ministry of
Nature and Environment (Mongolia), letter dated 8 November 1997.
Mr. Chen Huan, Deputy Division Chief, World Bank Department, Ministry of
Finance (PRC), letter dated 10 November 1997.
Mr. Seok-Young Choi, Director, Environment Cooperation Division, Ministry of
Foreign Affairs (ROK), letter dated 15 November 1997.
Mr. Yuri Platonov, Deputy Head, Department of International Cooperation,
State Committee on Environment Protection (Russian Federation), letter
dated 15 December 1997.
6.
Implementing Agency Contact:
Kevin Hill, Technical Advisor, RBAP/GEF UNDP
Tel: 1-212-906-5805; Fax: 1-212-906-5825
1
I
Background and Context
Introduction
1. The Tumen River Economic Development Area (TREDA) and its Northeast Asian
environs (hereinafter referred to as "the Region" includes parts of the People's Republic
of China, Russian Federation, Mongolia, Democratic People's Republic of Korea (DPRK),
and Republic of Korea (ROK)) are experiencing a rapid economic growth. The Tumen
River area is abundant with natural resources and has a great human resource potential.
As a result, there is a long-term potential to attract billions of dollars in investments for
infrastructure, natural resource development, industry, mining, oil exploration and
urban development. Together with the political will of all parties concerned, and the
fact that it lies close to some of the world's fastest growing and biggest economies, this
area is very likely to become one of the largest international development centers in the
region. The ensuing economic growth will help to alleviate poverty and bring
alternatives to on-going, but often unsustainable economic activities. However,
industrial and economic growth will also bring new dangers, and unless mitigation
strategies are immediately implemented, growth in the Region will threaten the area's
global environmental resources.
2. The Tumen River Basin is therefore a strategic and globally significant international
waters system. The international waters component is the Tumen River and all of its
tributaries, Peter the Great Bay and rivers to the north and south of the Tumen River
(Please see Map 1). The right bank of the Tumen River belongs to DPRK while most of
the left bank belongs to China with the exception that the lower part of the left bank,
which belongs to the Russian Federation. Coastal areas to the south of the river belong
to DPRK and coastal areas to the north of the river belong to Russia. The coastal areas
include major wetlands and many bays and inlets. Coastal currents, the north-flowing
Korean Current mass and the south-flowing Primorye Current mass, interact to produce
summertime cyclonic turnovers in the vicinity of Posyet Bay and the Tumen River, and
other conditions which favour high productivity and biodiversity.
3. The Region is also characterized by unique biological diversity that lies at the
boundary of the Boreal and Asian biomes, with the Mongolian eco-sphere lying slightly
to the west of the Tumen River Basin. The Region encompasses many ecosystems of
global significance for their biodiversity including coastal wetlands, marine ecosystems,
temperate forests and steppe. Rare and endemic species that depend upon the area for
survival include the Siberian Tiger, the Amur Leopard, the Mongolian Gazelle and
several species of crane.
4. Industrial and urban development in the Region is already depleting natural
resources in the catchment area of the Tumen River, in Peter the Great Bay and its
coastal and marine ecosystems. For example, a number of existing industrial facilities
and urban centers are discharging large quantities of untreated wastes into the Tumen
River. The industrial and military history of the region provides a basis for expecting
that hazardous materials and other contaminants may exist in association with closed or
abandoned facilities and sites. The extensive loss of wetlands through conversion to
agricultural land and alteration in the hydrological regime by human activities
2
continues, especially in China and the DPRK, despite the recognition of their inherent
value to man and wildlife.
5. In addition to these impacts to the riparian states of the Tumen River, development in
the Tumen River Basin is already beginning to have a significant impact on the
environment over a wider geographical range, extending to Mongolia and the Republic
of Korea. These include:
· Areas which supply the Tumen River Basin with natural resources, such as timber,
fossil fuels, etc, are being depleted and degraded.
· New transport and communication routes are being built to supply natural resources
to the Tumen River Basin and to deliver the Tumen River Basin products to distant
markets. This construction may damage the environment and the use of the new
routes may cause pollution. These routes also open up new economic frontiers for
exploitation in areas which are poorly managed and regulated. Importantly, they
will disrupt the migration patterns of the many migratory animals1 and rare bird
species which spend part of the year in or near the Tumen River Basin.
· Population growth and rising incomes in the Tumen River Basin and connected
areas are creating an increasing demand for food and water. Results include a
lowering of groundwater supplies and a conversion of fragile wetlands, steppe and
forests into agricultural land.
6. The impacts are expected to increase dramatically in line with the predicted economic
development of the Region. These threats are superimposed upon long-standing threats
to natural resources in the Region, including fragmentation of habitats, fires, over-
grazing, and illegal collecting and hunting.
Past Efforts and Baseline
7. Recognizing the threats to their natural resource base, the five participating countries
have independently taken steps to ensure a sustainable development of the Region.
They have elaborated plans and identified strategies and actions for environmental
protection and management of resources at national level. These include the following:
Priority Programme for China's Agenda 21 (China); Biodiversity Conservation Action
Plan (China); Action Programme for the 21st century (Mongolia); Biodiversity
Conservation Action Plan (Mongolia); National Strategy for the Conservation of
Biological Diversity (ROK); National Action Plan for Agenda 21 (ROK). In addition,
Russia and DPRK have elaborated strategies and action plans for environmental
protection and established national standards to control pollution. These plans include
activities in the Tumen River Basin.
8. Each of the participating countries has also established protected area systems
covering both biodiversity conservation and forest protection schemes for watershed
management. There are 41 main biodiversity reserves in the Region. In the main,
protected areas have been established in forest areas to protect single species. Most
1 The migratory Mongolian Gazelle that ranges from Russia, through Mongolia and into China will be
particularly affected.
3
reserves, except those in the ROK, are currently experiencing insufficient funding and
management leading to problems with poaching and encroachment. A recently
approved GEF project will ensure the conservation of biological diversity and provide
alternative sustainable livelihood options for seven protected areas and their buffer
zones in the Eastern Steppe of Mongolia.
9. In addition to these national level interventions, UNDP is working with the five
governments to support regional sustainable development in the Region through the
Tumen River Area Development Programme (TRADP). The TRADP is the only existing
consultative forum among the five countries and as such it receives strong support by
the member states. It has greatly enhanced economic collaboration in the Northeast
region. A series of environmental surveys and consultations conducted under the
auspices of the TRADP culminated in the signature of the Memorandum of Understanding
on Environmental Principles (MOU) by the five member states in December 1995. This
historic agreement emphasizes the need for cooperation in order to safeguard local,
national and regional environmental resources.
10. Most of the on-going efforts remain, however, oriented toward achieving
environmental benefits at the national level. Given the transboundary nature of most of
the threats to international waters and biodiversity in the Region, it is unlikely that these
national and discrete efforts will be sufficient to ensure global environmental benefits.
There is a need for additional, collaborative activities to protect the Region from the
impacts of industrial development in the Tumen River Basin. However, the following
barriers will have to be removed before these essential collaborative efforts can be
implemented:
11. Lack of a consensus on priorities, targets, programmes and projects, to protect
globally important environmental resources in the Region. Whereas the MOU lays the
political foundations for the protection of globally important environmental resources, a
comprehensive action plan remains to be developed by the five concerned parties.
12. Limited understanding of the environment - economy link in the Region. Any
action plan must be based on a full, scientific assessment of the present and future
impact of economic growth on international waters and biodiversity in the region. At
present there is a limited understanding of the detailed interactions between the
economic activities within the Region and globally significant environmental benefits,
and of alternatives which would both facilitate sustainable and environmentally sound
economic development.
13. Weak cooperative mechanisms. Existing cooperative mechanisms at the inter-
governmental, national and local levels are weak. This has proven a major constraint to
harmonizing environmental standards across the five countries of the region. As part of
the implementation of the Memorandum of Understanding on Environmental Principles
(MOU) an Environmental Working Group has been established under the Consultative
Commission of the TRADP.
14. Weak project management skills, to identify, prioritize, design, and implement key
activities to protect the environment. Expertise in the five countries is limited at local
4
and national levels, and most available expertise focuses on economic and locally urgent
environmental problems.
15. Inaccessibility and lack of scientific data. While much data already exists in the five
countries, unfortunately it can often only be accessed by one country or is not
considered valid by other countries. In addition, the formats of the data from the
various countries are often mutually incompatible. Planning and decision-making is
made difficult due to this lack of reliable, comprehensive information. On-going
projects to gather data are often duplicative and otherwise inefficient.
16. Lack of community and general population involvement in the planning process.
Environmental decision-making and planning is traditionally a top-down process. This
greatly affects the accuracy of the data used for the planning exercise and often results in
weak cooperation in the implementation of plans. Community participation is
constrained by a limited awareness of environmental issues.
17. Lack of finance for global environment initiatives. All countries and local authorities
in the region are under financial constraints, with priority given to investments that are
economically productive in the short-term or to local environmental initiatives.
18. A detailed analysis of the root causes of environmental degradation in the region is
given in Annex 5.
II
Rationale and Objectives
19. The long-term objective of the project is to provide global environmental benefits
through the protection of the Tumen River Economic Development Area and the
Northeast Asian environs, which integrate the use of sound land and water resource
management strategies. In order to achieve this objective, biodiversity conservation
beyond the Tumen River Basin must also be addressed. This project will therefore
prepare a Transboundary Diagnostic Analysis (TDA) and a Strategic Action Programme
(SAP).
20. The preparation of the TDA will be based on the preliminary TDA undertaken
during the preparatory phase of this project. The TDA will be used as a basis for
focussing on the threats, their root causes and the sectoral activities that endanger the
critical biodiversity in the Region and provide the basis for the development of GEF
biodiversity projects to implement selected components of the SAP, as appropriate. In
keeping with the GEF Operational Strategy, the TDA and implementation of the SAP
will facilitate the five participating countries to address current and anticipated
imminent threats associated to development of the Region to prevent damage to the
pristine and unique areas in the Region. In particular, this project will address
endangered species which cross the borders of the participating countries and are
associated with development within the Tumen River Basin.
21. The SAP will fully assess the impact of economic growth in the region, map out
alternative development courses which protect global environmental resources, and will
enable the five member states to reach a consensus on priorities, targets, programmes
5
and projects to prevent and alleviate negative environmental effects. The SAP will
include an estimation of the required financial resources and a strategy to mobilize these
resources. GEF project proposals to implement the SAP will be prepared using the
incremental cost approach. The SAP is expected to play a key role in ensuring that
global environmental benefits are provided in tandem with facilitating sustainable and
environmentally sound economic development in the area over the coming decades.
22. The preparation of the SAP will be carefully designed to ensure that the SAP is
action-oriented, locally owned, government supported, and responsive to the local
conditions. This, and the close attention to be paid to mobilizing resources to the SAP,
will ensure that it is implemented and not stored on shelves. As a first step for the
formulation of the TDA and SAP, the project will strengthen existing mechanisms for
regional cooperation in regional, national and local bodies and develop their capacity for
project identification, formulation and management. It will also immediately compile,
from existing sources, a comprehensive database on international waters and
biodiversity in the Region and support an in-depth study on environmental research
systems and information systems in the area.
23. The project will rely on a strong participatory approach to formulate the SAP. A
series of consultation meetings will be held at the local and grassroots levels to identify
environmental priorities, generate and validate information and ensure widespread
support to the approaches proposed in the SAP. An awareness-raising programme on
transboundary environmental issues will be carried out to prepare the TDA and this will
foster local support for the preparation and implementation of the SAP.
24. In addition to providing global environment benefits and shaping the development
of the Region into the next century, the capacity built under the project will be of general
use to development and environmental management in the Region. In particular, the
capacity to cooperate effectively on a regional level will be useful for all future
environmental initiatives involving two or more of the concerned countries. Moreover,
the databases developed under the project will be of use to many local, national and
regional initiatives in both the environmental and economic spheres.
III
Project Activities, Components and Expected Results
25. In order to overcome the barriers to collaboration listed above and to prepare a SAP
that will be supported by all concerned stakeholders, the following four components are
to be implemented:
Component 1 Reinforcing capacities to prepare a SAP for the protection of international
waters and biodiversity
Component 2 Preparing Transboundary Diagnostic Analysis (TDA) and the SAP
Component 3 Designing and implementing an awareness raising programme with
particular focus on transboundary environmental issues
Component 4 Strengthening national and regional capacities to jointly implement the
SAP
6
26. The Logical Framework Matrix (Annex 2) provides details of outputs, activities and
performance indicators for the above components. All project capacity building
activities will be built upon the existing capacity (technical or institutional) in the Region
or at the local level. Local, national and international technical expertise will be brought
to build this capacity and to assure the technical soundness of all project activities. GEF
funds will only to be used to support activities that provide global environmental
benefits.
Component 1
Reinforcing capacities to prepare a SAP for the protection of
international waters and biodiversity
27. This component will strengthen the existing mechanisms for regional cooperation in
regional, national and local bodies. The national TRADP Teams and the Environmental
Working Groups will be equipped with skills to prepare and implement the SAP. A
comprehensive environmental database will be compiled from existing information
sources. The database will cover international waters and biodiversity and will focus on
regional and transboundary issues. Activities will also include intensive training,
coordination meetings, and study tours to see how regions with similar social, economic,
political and environmental conditions have addressed development and environment
problems.
28. The SAP process will also cooperate with related programmes and projects in the
region. Joint workshops will notably be held to exchange information and develop
common strategies. Electronic links will also be used for information exchange. Related
projects in the Northeast Asia and other regions include UNEP's Northwest Pacific
Action Plan, ESCAP's Northeast Asia Region Environment Programme and the IOC's
Northeast Asian Regional Global Ocean Observation System.
Component 2
Preparing the Transboundary Diagnostic Analysis (TDA) and
the SAP
29. Two complementary sets of studies will be undertaken to assess the impact of
economic growth on globally important environmental resources in the region. First,
area-based studies will be undertaken for each of the discrete areas impacted by
development in the Region. The studies will address the environmental situation in
each area, the environmental trends, the causes of environmental problems, and the
requirements for protecting the environment. The outputs will be Area-Based
Environmental Country Reports for each country.
30. Sector studies will then be prepared. Themes to be studied will be selected and
defined in a participatory manner. A number of studies will focus on the environmental
impact of economic sub-sectors in the Region. These studies will illustrate how the sub-
sector is impacting the environment across the total area of intervention, and will also
illustrate how the sub-sector is dependent on the sustainable supply of natural resources
from the Region. Other studies will look at environmental sub-sectors. These studies
will analyze the situation in the sub-sector over the total area of intervention. The
outputs will be Sector Study Reports for each sector.
7
31. A series of consultation meetings will be held at the local and grassroots levels to
generate and validate information required for these studies and ensure a widespread
support to the approaches proposed in the SAP. The Area-Based Environmental
Reports and the Sector Study Reports will provide the information necessary to draft the
TDA for the Region. The TDA is to be reviewed by local experts and national
governments. The TDA will include: (i) a detailed identification of the environmental
issues and concerns; (ii) an assessment of the extent to which these are transboundary;
and (iii) a causal chain analysis that identifies the immediate and ultimate causes of the
issues and concerns.
32. Based on the recommendations of local consultations and inter-country meetings,
the project will build on the Area-Based Environmental Reports, the Sector Study
Reports and the TDA to prepare the SAP. The SAP will include a prioritizing of global
issues and concerns in the area and an evaluation of where interventions can most
effectively lead to global benefits. The SAP will also include a financial strategy for its
implementation. The SAP will focus on the Tumen River Basin, which includes the near
coastal area. Close attention will be paid to ensure that all parties agree with the details
in the SAP, and final approval will be by the five governments.
Component 3
Designing and implementing an awareness raising programme
with particular focus on transboundary environmental issues
33. The project will prepare an awareness-raising programme (ARP) which pays
particular attention to transboundary problems. The ARP will take into account general
and country specific conditions and involve target groups. Specialists in communication
and social behaviour will lead this process. The ARP will be implemented at the local,
national and regional levels. Awareness building materials will be distributed in local
languages to decision-makers and stakeholders.
34. The project will also provide seed funding to implement pilot projects in the ARP
through a Small Grant Fund that is to be managed by a regional NGO. The project will
also mobilize additional resources to implement the ARP by disseminating material and
hosting workshops for potential donors. The initial activities implemented under the
ARP will be evaluated and the material and the approaches to raising awareness refined
accordingly.
35. Raising awareness will facilitate the participation of all concerned communities in
the preparation and implementation of the SAP. It will also ensure that all those living,
working and investing in the Region are aware of the impact of the development within
the Tumen River Basin on the global environment. The awareness raised through the
ARP will enable decision-makers to make better and more informed decisions and
thereby lessen impact on the global environment.
Component 4
Strengthening national and regional capacities to jointly
implement the SAP
36. As part of the sector studies to be carried out to formulate the TDA and SAP for the
Region, the project will in particular focus on strengthening capacity for environmental
8
research and environmental impact assessment. This component will facilitate the
formulation of the SAP, and more importantly strengthen cooperative mechanisms
across the five countries and facilitate its implementation.
37. In order to ensure that in the future data is collected in an efficient manner and
made accessible to all concerned and interested parties, the project will support a study
on environmental research systems and information systems in the area. The project
will help experts and officials from the five countries to draft a common programme for
the collection, monitoring, analysis, storage and dissemination of data for the region,
and to define a long-term financial plan for this programme. The scope of this work will
be limited to regional environmental issues with global impacts.
38. A study undertaken in each country will analyze existing legislation relating to EIA
and relative environmental standards. Based on this, draft proposals to harmonize EIA
across the five countries will be prepared, and draft guidelines for certifying firms to
conduct EIAs will be developed. These drafts will be reviewed at a regional workshop
with the participation of private sector organizations and then submitted to the TRADP
country governments for approval. Given that some activities on EIA will have local
and national benefits, the UNDP/TRADP programme will jointly support this work.
IV
Risks and Sustainability
Risks
39. The project approach to preparing the SAP entails the following principal risks:
Governments may be slow to meet commitments to regional cooperation, for example in the
setting up the institutional mechanisms. This risk is considered Medium-low.
40. Due to political and administrative constraints in some participating countries, there
may be delays in the establishment of cooperative mechanisms and in the approval of
project outputs. This could mean that the planning process proceeds more quickly in
some countries than in others. However, both in the process leading up to the
environmental MOU and during the intensive formulation of this project, all
participating countries indicated their commitment to common actions for
environmental management, including the elaboration of common policies and
strategies for mitigation of environmental hazards.
The participatory planning approach may be difficult to implement in some countries. This risk
is considered Medium-low.
41. The methodological approach assures and requires a wide involvement of
stakeholders in a thorough consultative process. A number of the countries have had
little experience in implementing such an approach and may encounter difficulties. For
example, disagreements could arise over the choice of participants or the selection of
consultants. However, the approach and the scope of work of the SAP have been
discussed in depth at the two project formulation workshops (in Vladivostok and
Beijing). Also the participatory approach is flexible and is to be adapted to the countries.
9
Participating countries might have difficulties in the timely delivery of counterpart contributions
and information for the planning process. This risk is considered Low.
42. Considering administrative and financial constraints, participating countries might
not provide, in time, the agreed counterpart contributions (administrative support for
organization of meetings and workshops, preparation of sector studies, office facilities,
equipment, transport, etc.) and be reluctant, due to administrative inefficiency, to
provide necessary data and information. However, the project has the strong
commitment of the member governments. In addition, the project uses existing
institutional frameworks. For these reasons counterpart contributions should be
forthcoming in a timely manner. In order to ensure that information is available, the
project makes maximum use of national and local consultants, and uses workshops and
meetings as tools to generate information.
Risk and Sustainability
43. The project's sustainability is ensured by the strong commitment of the five
governments to the project and its objectives and by the fact that the project uses an
existing and well-functioning institutional framework. Financial sustainability is to be
ensured by the preparation of a financial strategy for implementing the SAP. The
consultative and participatory methodology of the SAP will ensure that it is not an
abstract document but that it responds to the grassroots situation and its
implementation is feasible. For further information, please see Annex 2, Logical
framework matrix.
44. Government commitment: Each of the five participating countries has developed a
legal and institutional framework for nature conservation and control of environmental
degradation and pollution. The five countries are signatories of international
conventions to protect biodiversity, international waters and wetlands, among others.
These international commitments are reflected in national policies and legal
arrangements. Through the signature of the MOU, and the active participation in the
formulation process for this project, the participating Governments have demonstrated
their strong commitment to taking part in the SAP preparation process and to
implementing joint strategies and activities to protect common ecosystems and
resources.
45. Institutional capacities and arrangements: Within the framework of TRADP, the
five participating countries have established institutional mechanisms for economic and
environmental cooperation and management. The SAP project will operate through
these mechanisms to support the project and ensure the sustainability of project outputs,
including implementation of the SAP (more information on the institutional
arrangements in the TRADP is provided in Annex 4).
46. Financial sustainability: Potential donors will be involved in all stages of the SAP
formulation process to ensure that the SAP is responsive to donor requirements. In
addition, the SAP will include a detailed financing strategy. The strategy will determine
traditional and innovative mechanisms (inter-governmental, governmental, non-
10
governmental, private and financial institutions) for financing the priority activities
identified in the SAP.
V
Stakeholder Participation and Implementation Arrangements
Stakeholder participation:
47. The approach to information gathering and planning assures the participation of all
stakeholders concerned. At all points, wide consultation and extensive participatory
workshops will be encouraged. The project is to ensure the active participation of the
following stakeholder groups:
· Respective Governments of the five participating countries, at national and local
levels;
· Local communities and population in the respective areas;
· Representatives of civil society, represented by NGOs and other groups of interest
(professional associations, syndicates, etc.); and
· Representatives of the donor community, represented by the implementing agencies
and other international cooperation organizations.
48. This wide participation of stakeholders will ensure that they not only understand
and support the SAP, but that they will ensure their commitment to its implementation.
The Public Involvement Plan Summary in Annex 6 provides further details of
stakeholder participation during project formulation and proposed under project
implementation.
Institutional Arrangements
49. Annex 4 provides further details and a diagram of the institutional framework for
the implementation of the SAP. Management at the various levels is described in the
following paragraphs:
50. At the international level, the Project will be executed by UNOPS and implemented
by UNDP. The UNDP Office in Beijing will assure administrative support and
supervision.
51. At the regional Level, the project will build upon the institutional framework put in
place for the TRADP. The Regional Environmental Working Group (RWEG) shall guide
the project and oversee the planning process. Given the specific requirements of the
SAP, composition of the RWEG is to be extended for the project to include
representatives from UNDP, the executing agency, the Tumen Secretariat, two NGOs
and the SAP CTA. The GEF-SAP Coordinating Unit (SAP Unit) will undertake daily
management of the project. The mandate of the SAP Unit is to organize and coordinate
the SAP planning process and to ensure a proper financial management of project funds.
The SAP Unit will also assist in identifying national and international consultants for the
project. The SAP Unit will work closely with the Tumen Secretariat and draw upon its
services.
11
52. National arrangements: The project will build upon the national institutional
mechanisms put in place for the TRADP. The TRADP National Teams will take overall
responsibility for in-country activities. For the project, composition of the TRADP
National Teams is to be extended to include the GEF Focal Points and the national
agency for environmental protection. Duties of the Teams will include: approving
quarterly work plan; overseeing establishment of the national project offices and
mobilization of government inputs; approving international consultants and identifying
national consultants; and reviewing and promoting all project outputs.
53. The national Environment Working Groups will provide technical support to the
National Teams. For the project, efforts will be made to ensure NGO participation in the
Working Group. National SAP Planning Units will be responsible for day-to-day
implementation.
54. Where appropriate, and in line with the approaches of the concerned national
government, competent NGOs will manage the organization of the local consultation
workshops through a sub-contractual arrangement. In addition, a competent regional
NGO will be given responsibility for the management of the Small Grant Fund.
VI
Incremental Costs and Project Financing
55. The baseline to this project is the TRADP that supports activities for sustainable
development at the national and regional levels, and the individual activities of the
participating countries to protect the environment in the region.
56. UNDP and other donors have already invested an estimated US$10 million in the
TRADP and recently a second phase UNDP TRADP project for US$ 3,216,000 was
approved. Although it focuses primarily on economic development, the TRADP does
support many activities to protect the local environment. A major environmental effort
of the TRADP was the set of activities leading up to the signing of the MOU and the
establishment of Regional Environmental Working Group and national Environmental
Working Groups. In addition, the TRADP has supported workshops and efforts to
harmonize EIA processes across the region. The TRADP co-financed the Vladivostok
workshop that was the basis for the design of this project.
57. This project will complement the above baseline by supporting activities to prevent
and mitigate the impacts on the globally significant environment from the economic
development of the Tumen River Basin. There is, as yet, no regional environmental
plan, although many issues can only be addressed regionally. The concerned
Governments have recognized the need for regional strategies and action plans to
address global environmental issues. Despite this recognition, it is unlikely that the
participating countries would be in a position to initiate development of a regional
strategy or planning process for international waters and biodiversity conservation
without GEF support in the near future.
58. Output 4.2 (Technical and legal conditions for EIA appropriate to the regional context) has
local, regional and global benefits. For this reason the GEF will only cover the
incremental costs of harmonizing EIA guidelines and standards - the individual
12
countries would not do this independently. Hence, US$ 250,000 of cost-sharing will be
used to support non-incremental activities under this output from the UNDP/ROK
Trust Fund. This output complements other activities in the region on EIA including the
UNDP/ROK/UNIDO environmental impact study of the Hunchun Border Economic
Zone for US$ 150,000 under the TRADP.
Cost Effectiveness
59. The Region has great potential for economic and social development, with an
expected investment of billions of dollars in industries, mining, oil exploration, energy,
infrastructure and urban development. The importance of environmental protection
and management of resources is clear. If economic development is poorly managed it
could cause costly damage to the environment, and make such development unsound or
unsustainable.
60. The cost-effectiveness of this project lies in the opportunity of preventing
transboundary water resource degradation and loss of globally significant biodiversity
as a result of the development programme for the Region. At a relatively low cost, this
project will help mitigate and alleviate potentially serious damage to a globally
important environment.
61. The proposed participatory approach may seem costly compared to work for
strategy and project formulation. However, implementation of environmental strategies
and actions designed without the participation of the stakeholders receives generally
little attention and support, let alone commitment to follow through in their
implementation from stakeholders. The result is often reports that stay on shelves or
projects that are abandoned during their implementation phase. One of the major
objectives of a broad public participation is to mobilize stakeholders and develop a
general awareness and common responsibility for environmental protection and
sustainable management of resources. Hence, a well-designed and organized
participatory planning process will greatly facilitate the implementation of strategies,
project and programmes, assuring the adherence of the public to environmental
principle. This is expected to prove extremely cost-effectiveness on a medium-term
basis.
62. The project will also ensure cost-effectiveness by utilizing existing extensive
documentation at the country and regional level. Hence, only minor investments in
specific areas are needed to get the overall picture of the environmental condition in the
region. However, efforts are needed to adapt available information into compatible
formats. The information should also be synthesized to make it accessible to decision-
makers.
63. The total cost of the project is estimated at US$ 10,666,271, of which US$ 4,957,200 is
the estimated incremental cost of the activities to meet global environmental objectives.
The total project cost includes US$ 242,271 of preparatory funds. Please see Incremental
Cost Annex (Annex 1) for further details.
Component
Cost to GEF (US$)
13
Reinforcing capacities to prepare a SAP for the protection
1,365,000
of international waters.
Preparing the TDA and the SAP.
1,880,000
Designing and implementing an awareness raising
880,000
programme with particular focus on transboundary
environmental issues.
Strengthening national and regional capacities to jointly
465,000
implement the SAP.
Project support services
367,200
Total 4,957,200
64. The participating countries have agreed to provide in-kind contributions in the form
of human, logistical and administrative resources. The baseline estimate of
US$ 5,466,800 is made up of the US$ 3,216,000 from the TRADP, US$ 250,000 from the
UNDP/ROK Trust Fund, and combined in-kind contribution of the five governments,
estimated at US$2,000,800. The TRADP cost is evidence of UNDP's mainstreaming to
this project. The monies from the UNDP/ROK Trust Fund and in-kind contribution
from the participating countries are leveraged baseline. Please see Annex 1 for further
details.
Government Inputs
Required contribution from each participating country:
National
Identification of GEF/SAP Focal Point
counterparts
Support Personnel
Provision of technical and administrative support
personnel to the national GEF/SAP Focal Point
Institutional
See Section V above
arrangements
Logistical Support
Provision of office space for national GEF/SAP Focal
Point, rooms for visiting advisors and consultants, meeting
rooms, etc
Provision of
Identification of national institutions and professionals to
information
provide information and work with SAP consultants;
Support for
Provision of meeting rooms and conference centers,
organization of
organization of meetings and workshops, selection of
Consultation
participants following agreed procedures and active
Meetings and
participation of government officials from national and
Workshops
local levels.
Support for missions Efficient organization of missions (travel arrangements,
of national and
appointments, etc.), arranging accommodation, etc.;
international
Ensure adequate logistical arrangements and financing of
consultants and
government counterparts
working groups
14
Information system
Identification of appropriate institutional arrangements,
provision of logistical support (office space for installation
of national environmental information system),
identification of human resources (national professionals
and support personnel) to work with international
consultants.
VII
Monitoring, Evaluation and Dissemination
65. The logical framework for the project includes performance indicators, and will be
further detailed before the project inception. It will also serve as the master tool for
monitoring project progress, impact and achievement of project objectives and outputs.
The project team will prepare quarterly work plans. These work plans will identify
activities for the quarter and illustrate how the activities are contributing optimally
towards the project objectives. At the end of each quarter, the project team will provide
a report describing the progress made on each activity in the work plans, the efficiency
of the completed activities, and a brief description of overall progress towards the
project objectives. The project team will provide regular progress reports to the five
governments, UNDP and the executing agency.
66. In line with UNDP procedures, the project will be subject to tripartite review at least
every twelve months. On these occasions, the CTA shall prepare a Project Performance
Evaluation Report (PPER) and shall formulate recommendations for adjustments of
strategies and activities. The members of the RWEG shall meet to evaluate project
performance and make decisions regarding the continuation and/or adjustments of
activities.
67. Review/monitoring meetings can also be organized at the request of the CTA or of
one of the participating countries. The Consultative Commission of the TRADP, upon
recommendation of the RWEG, shall approve the final result at a terminal joint review
meeting.
68. Some important lessons have been learned from the on-going UNDP TRADP
project. First is the importance of setting up institutional arrangements that are
acceptable to all parties concerned. Second is the need to avoid the difficult and time
consuming procedures of establishing new inter-governmental bodies by employing the
overall TRADP framework already put in place. Third is the need for information
transfer to the local level. Currently, the local governments in the Region feel that they
are poorly informed about new initiatives proposed at the regional and national levels.
SAP institutional structures are to facilitate information flow between national and local
levels. Also, efforts will be made by the SAP Unit to ensure that all parties, including
government at all levels and all key stakeholders are duly informed about the progress
of the SAP activities.
69. Experience, in particular from Africa and Latin America, shows that participatory
planning involving all key stakeholders can be applied with success and can greatly
facilitate the implementation of proposed initiatives. In line with this, the proposed
15
planning process is participatory. However, it is recognized that participatory
approaches will have to be adapted to local circumstances.
70. The project design includes the communication of all project findings to all
concerned and interested parties. Many activities in the project target the two-way
communication of information. These include consultation meetings, awareness
campaigns, conferences with regional and donor governments, and Internet
connections. These activities, in addition to standard GEF, UNDP and executing agency
procedures will assure an effective and wide dissemination of project findings.
STAP Review
71. The STAP reviewer's comments are fully incorporated into this project brief (please
see Annex 3). For example, output 1.1 includes the preparation of a `road map' for the
collection of data required for the various studies (please see Annex 2). This will involve
a more detailed analysis of on how to obtain relevant and comparable data. The sectoral
workshops will include discussion and analysis of cross-sectoral issues to demonstrate
the inter-linkages between the water-related environmental issues and the root causes of
the impacts of the sectoral activities under consideration. In addition to the sectoral
studies, one or two cross-sectoral studies, as appropriate, will be prepared. The study
tour(s) is an eligible activity under the preparation of a SAP, and is one of the outputs of
the IW: LEARN project.
72. During the PDF Block B, the original timeframe for the preparation of the SAP was
three years. However, at the final workshop in Beijing, there was an in-depth discussion
on the timeframe for the preparation of the SAP, and it was agreed by all participating
countries that it was realistically feasible to carry it out within two years. Much work
has already been undertaken, particularly by the current UNDP TRADP project to build
up capacity.
16
Annexes
1. Incremental Cost Analysis
2. Logical Framework Matrix
3. STAP Roster Technical Review
4. TRADP Institutional Arrangements and Implementation Framework
This Annex explains the institutional arrangements made by the participating
governments for the implementation of the Tumen River area Development Programme
and for the GEF SAP project. An outline of the Consultative Commission and
Coordination Committee, as well as the Environmental Working Group is provided. An
outline of the major consultations which took place during the preparatory phase of the
project is also provided. (Available upon request)
5. Root Causes
The root causes of the threats to the environment within the system boundary of the
project are described. Background on the socio-economic development and its adverse
effects on the environment is provided. This annex also explains how the principal
barriers to protecting global environmental resources in the Tumen region is the lack of
cooperative mechanisms and a lack of consensus on policies, among others. (Available
upon request)
6. Public Involvement Plan Summary
This annex identifies the important stakeholders involved in the project and the
intensive consultation process required to implement the project. (Available upon
request)
7. Maps of the Project Area (Available upon request)
Map 1 Tumen River Area Watershed
Map 2 Main Sources of Industrial Water Pollution in the Tumen River Area
Map 3 Existing and Proposed Protected Areas
Map 4 Map of Northeast Asia: GEF Strategic Action Programme Intervention Areas
Map 5 Protected Areas or Proposed Protected Areas in the Tumen River Area
Map 6 Main Sources of Air Pollution in Yanbian Prefecture in 1995
Map 7 Map Showing Major Cities of the Tumen River Economic Development Area
(TREDA)
17
Annex 1:
Incremental Cost Analysis
Broad Development Goal
The broad development goal of this project is to ensure that industrial and urban
development of the Tumen River Economic Development Area progresses sustainably
and in an environmentally friendly manner. This project will also address the protection
of the Tumen River Basin in that much of the development will take place there. At the
same time, the project will ensure the conservation and sustainable use of biodiversity
resources, and in particular the unique and globally significant biological resources.
Baseline
Rapid economic growth in the region has resulted in the pollution of the Tumen River,
depletion of natural resources, disruption of migration pattern of some rare species and
conversion of wetlands, among other impacts. Constraints in legislation and setting of
environmental standards, inadequate scientific data exchange and lack of public
awareness and participation in planning process hinder efforts at both the national and
regional levels. In each participating country, a number of globally important protected
areas have been established, but the limited human capacity is unable to ensure effective
management of these areas. Each participating country is implementing its own
environmental protection programmes. However, the single-country approach is not
sufficient to achieve global environmental benefits in the region. Present efforts are
oriented towards achieving national environmental benefits and economic growth
continues to pose an increasing threat to the shared ecology of the region.
The baseline for this project is effectively the Tumen River Area Development
Programme (TRADP), which has as its goal to create an enabling environment for
investment in the Tumen River Basin and its Northeast Asian Environs. It supports
activities for sustainable development at the national and regional levels; however, it
does not provide global environmental benefits. A series of surveys and consultations
were undertaken under the auspices of the TRADP, which culminated in the signing of
the Memorandum of Understanding on Environmental Principles governing the Tumen
River Economic Area and Northeast Asia by the five participating states on 6 December
1995. Under the MOU, governments are to coordinate and cooperate in the protection of
the region's environment, to exchange data, carry out EIAs, improve public
participation, seek external funding and harmonization of standards. These activities,
however, have not yet been implemented under the TRADP.
Phase I of the TRADP focused on the establishment of the legal and institutional
framework for future cooperation between the member countries and on carrying out a
range of general studies. These studies dealt with issues such as infrastructure,
telecommunications, water resources, forestry and tourism. Phase I was completed in
October 1994 and was followed by an interim phase. This interim phase was devoted to
achieving the endorsement of the international legal agreements and the MOU on
Environmental Principles. The interim phase also focused on investment promotion,
measures to harmonize rules, regulation and procedures affecting the free flow of goods
and peoples, and carrying out feasibility studies and identification of bankable projects.
18
Phase II was approved in November 1997 to:
· Support the work of the Consultative Commission and Coordination Committee;
· Mobilize resources for projects of national and regional concern by assisting the
governments to promote, coordinate and support initiatives for public and private
national and international investment in the five countries of the Region;
· Harmonization of cross-border trade and passenger flow practices within the Tumen
River Basin and elimination of cross-border impediments to traffic, trade and
tourism;
· Support the implementation of the MOU on Environmental Principles; and
· Encourage the improvement of existing bilateral cooperation between member
governments, particularly at the provincial and local levels.
Global environmental objectives
This project is a result of the participating countries' commitment to address the threats
to prevent damage to the transboundary environmental resources. The global
environmental objective being pursued is to improve sectoral policies and activities that
are responsible for the most serious root causes of priority transboundary environmental
concerns of the Tumen River Basin. There is also globally significant biodiversity that is
of transboundary nature, such as the migratory gazelles that range from Russia through
Mongolia through to China. There are other endemic and endangered species that are
likely to be affected, such as the Siberian Tiger, Amur Leopard and several species of
crane. This project will create the necessary conditions and framework for concerted
actions to protect globally important environmental resources. This project falls under
the GEF integrated land and water multiple focal area operational programme No. 9.
The protection of the Tumen River Economic Development Area and the Northeast
Asian environs requires the integration of sound land and water resource management
strategies. In order to achieve this objective, biodiversity conservation beyond the
Tumen River Basin must also be addressed. This and the unique transboundary
biodiversity that is tied to the Tumen River Basin demonstrate the strong ties to the GEF
biodiversity focal area, and in particular the coastal, marine and freshwater ecosystem
operational programme No. 2.
GEF project activities
Under the alternative GEF scenario, the development processes and forces are re-shaped
in order to safeguard the globally important environment. The two main reports of this
project would be a) the preparation of a Transboundary Diagnostic Analysis (TDA) to
address the globally significant biodiversity issues within the system boundary of the
project and b) the preparation of a Strategic Action Programme (SAP) for the protection
of the Tumen River Basin.
In particular, the project will provide technical assistance to strengthen both national
and regional capacities for the preparation of the TDA and SAP and even more
importantly to implement the SAP. The SAP will ensure the cost-effectiveness of joint
efforts made by the participating countries. In addition, cooperative programmes in
19
data sharing and legislative reforms will be conducted to enhance regional collaboration
to implement the SAP.
The incremental cost of alternative activities of this project will ensure that all plans and
investments will be designed with global environmental considerations in mind. For
example, trans-frontier railways will be re-designed or re-located so as not to threaten
biodiversity, and industrial zones will be re-designed or re-located so as to minimize
impact on globally important environmental resources. The database will enable
planners at all levels to clearly establish global priorities for action and prepare plans
accordingly. A common database covering all the participating countries will also
ensure that regulators and investors have the data to undertake full EIAs, accounting for
globally important environment resources residing in neighbouring countries. For
example, investors/designers of a power plant will have the data available to avoid
degrading the global environment.
A better understanding of environment-economy link will allow for improved strategic
EIA in the region. Henceforth, economic policies, programmes and sector plans will
adequately account for globally important environmental resources. For example the
cross-border transport development plan can be strategically assessed, and its impact on
global environment mitigated. Standardizing EIA guidelines and procedures will mean
that EIAs in each country in the region would cover globally important environmental
resources. Through this project, there should also be a strong incentive in each country
to fully enforce the guidelines, a reduced danger of environmentally unsound projects
implemented in one of the participating countries.
This project has leveraged approximately US$ 2,000,800 from governments to finance
the identification of GEF/SAP focal points, provide logistical support and personnel,
set-up institutional arrangements, sourcing of information, and support for
consultations, meetings and missions. The participating states have provided estimates
of their in-kind contribution to the project as follows:
China
US$ 450,000
DPRK
US$ 400,000
Mongolia US$
350,800
Russia
US$ 450,000
ROK
US$
350,000
Total
US$
2,000,800
System boundary
The area of intervention is the hydrological catchment basin of the Tumen River as
regards the international waters component, and beyond this catchment basin to the
include the Tumen River Economic Development Area and its Northeast Asian Environs
as regards biodiversity. The participating countries include Russia, DPR Korea and
China, which are riparian states of the Tumen River Basin, and Mongolia and RO Korea
which are participating states of the TREDA. The area of intervention specifically
includes the international waters of TREDA which are the Tumen River and all of its
20
tributaries, and Peter the Great Bay. Analysis and remedial actions will also be
associated with land-based activities of the participating countries. Please see map.
21
Incremental cost matrix
Costs -
Baseline (B)
Alternative (A)
Increment (A B)
Benefits
Domestic
1. National action plans
1. Coordinate
national
1. National
Benefits
and strategies are not
efforts to conduct
environmental
sufficient to meet
collaborative activities in
endeavors will
regional priorities for
the region for
facilitate
environmental protection
environmental
environmental
within the TREDA
protection consistent
protection consistent
region.
with regional
with regional
development plans.
development
2. Countries' capacity in
priorities.
environmental
2. Conduct training and
management is weak.
exchange experience
2. Capacities
to
among countries in
formulate and
3. Countries are bearing
environmental
implement
increasing socio-
management.
environmental
economic costs from
management strategy
depletion of natural
3. Identify root causes of
will be strengthened.
resources and pollution
environmental
of the catchment area in
degradation and design
3. Root causes of
the TREDA.
action programme to
environmental
remove them.
degradation
identified and action
programme to
remove them
designed.
22
Global
1. Community and general
1. Raise awareness of the
1. Improved
awareness
Regional
public participation in
decision-makers and all
built among all
Benefits
planning process is
stakeholders in
stakeholders,
limited.
transboundary
facilitating an
environmental issues.
adequate planning
2. A Memorandum of
process and wider
Understanding on
2. Compile
a
public support to
Environmental Principles
comprehensive database
implement the SAP.
Governing the TREDA
covering international
signed by all five
waters and biodiversity, 2. Improved
database
participating countries.
with a focus on regional
that facilitates the
and transboundary
development of a
3. Understanding
of
issues; coordinate
general agreement on
linkages between
consultations among
future regional
environmental protection
countries to facilitate the
cooperative plans in
and economic
implementation of the
international waters
development in the
MOU.
and biodiversity
region is limited.
protection and
3. Assess the impacts of
implementation of
economic growth on
the environmental
globally important
MOU.
environmental resources
in the region
3. Understanding of the
environmental
situation and
requirement for
environmental
protection and
biodiversity
conservation in the
region will be
improved. This will
facilitate more
effective planning
and sensitized
decision-makers.
23
Global
Regional
Benefits
4. Regional
cooperative
4. Study
environmental
4. Technical basis for
(cont.)
mechanism of scientific
research systems and
regional cooperation
data sharing in
information systems in
on international
environmental resource
the area; prepare
waters and
protection is weak.
common programme for
biodiversity
data analysis and
protection will be
5. Existing
legislation
dissemination, and
established.
relating to EIAs and
design related financial
environmental standards
5. Legislative basis will
plan.
are inadequate.
be strengthened, and
5. Develop proposals to
where necessary
6. Finance for global
harmonize EIA among
established to
environmental initiatives
the participating
enhance cooperation
are limited in the region.
countries and prepare
for the
guidelines for
implementation of
conducting EIAs.
SAP.
6. Estimate the required
6. Cohesive
strategy
financial resources and
developed to ensure
prepare a strategy to
the financial needs
mobilize these
for the
resources.
implementation of
the SAP.
Costs (US$)
Baseline Costs
Alternative Costs
Incremental costs
Component 0:
Mobilize resources and harmonize
1,704,600 1,704,600
0
cross-border activities
Component 1:
Reinforce capacities to prepare a
1,443,400 2,808,400 1,365,000
SAP for the protection of
international waters
Component 2:
Prepare the TDA and SAP, including
689,600 2,569,600 1,880,000
the identification of the baseline and
alternative/incremental actions
Component 3:
Design and implement an
689,600 1,569,600 880,000
awareness-raising programme with
particular focus on transboundary
environmental issues
Component 4:
Strengthen national and regional
939,600 1,404,600 465,000
capacities to jointly implement the
SAP.
Sub-total (US$)
5,466,800
10,056,800
4,590,000
Project support services (US$)
0
367,200 367,200
Total (US$)
5,466,800
10,424,000
4,957,200
Preparatory funds (US$)
242,271
242,271
Total Project Cost (US$)
10,666,271
5,199,471
24
Annex 2: Logical Framework Matrix
Intervention Logic
Indicators of Performance
Source of Verification
Risks and Assumptions
(qualitative and quantitative)
The long-term objective of the
Maintenance of species and ecosystem
Surveys of numbers and ranges Continued economic development of
project is to protect globally
diversity in the project sites
of key species (animals and
the 5 member countries
important environmental resources
birds)
in the Tumen River Area, its related
Maintained or improved levels of key
Sustainable development at the
coastal areas and its Northeast Asian pollutants
Measurements from local
national level continues
environs through the preparation of
laboratories
a SAP for International Waters and
Maintained or improved levels of key fish
Biodiversity Protection.
species
Local measuring stations
Objective 1 Reinforced Capacities
Governments take joint decisions regarding
Minutes of meetings
Continued good political relations in
to prepare an Environmental
approaches/activities for environmental
the region
Strategic Action Programme (SAP)
management
Press releases; governmental
for Protection of International
decisions
Waters and Biodiversity
Regular transborder cooperation by local
governments
Interviews
Output 1.1 Mechanisms for regional
Efficient project management framework (road
Executing agency reports
All information is available; it is not
cooperation in environmental
map prepared)
Project records
sensitive for military or political
management at regional, national
Comprehensive and accessible database for the Internet
reasons
and local levels.
project area
Output 1.2 National TRADP Teams
Trained cadres in the five countries
Reports of working groups
Good trainers can be identified
and the Environmental Working
Effective Working Groups
Interviews
Suitable study tours can be arranged
Groups equipped with skills to
1 equipped laboratory serving all five countries Site visit, laboratory publishes
Suitable mechanisms to share the
prepare and implement the SAP.
results
laboratory resources can be found
Output 1.3 Cooperation and
Database covering all related projects
Internet
Other projects cooperate
coordination with other programmes Results and findings of all projects are
Project records
Other projects allocate necessary
and projects for environmental
exchanged
Interviews with staff of other
resources to cooperation.
protection are established.
projects
Objective 2 Preparation of a Trans-
Full consensus on the programme to protect the Project records
Continued political development in
Boundary Diagnostic Analysis
global environment resources in the region.
Records of official agreements
the area.
(TDA) and of an Environmental
to support SAP projects
The SAP's financing strategy is
Strategic Action Programme (SAP)
The SAP receives full support from the five
Local government budgets
successful and meets no unforeseen
governments and all concerned stakeholders
Interviews with local
obstacles.
community representatives
25
Intervention Logic
Indicators of Performance
Source of Verification
Risks and Assumptions
(qualitative and quantitative)
Output 2.1 An agreed
Full understanding and agreement to the
Minutes to consultation
All governments, national and local,
methodological approach and scope
planning methodology, work plan and
meetings
accept the proposed participatory
for the preparation of the TDA and
organizational structure.
approach.
the SAP
Workshop reports
Local communities have necessary
Interviews with local
skills to participate in planning
population
process.
Output 2.2 Area-based Environmental For each country, a Government approved,
Project records; reports
Full involvement and support of
Report prepared in each participating technically sound, report covering all project
publicly available
governmental, scientific, academic
country.
zones.
and local communities.
Interviews
Local community support for the report
All necessary information is
obtainable in an up-to-date, usable
format.
Output 2.3 Sector Study Reports
For at least 10 economic or environment sub-
Project records; reports
Full involvement and support of
prepared, edited and printed.
sectors, a comprehensive, technically sound
publicly available
governmental, scientific, academic
report covering the total project area, and
and local communities.
approved by all five countries
Interviews
All necessary information is
Local community support for the report
obtainable in an up-to-date, usable
format.
Output 2.4 A Transboundary
The TDA covering all five countries, approved
Project records
No major disagreements between
Diagnostic Analysis (TDA) (in line
by all Governments
participating governments regarding
with GEF requirements for a TDA).
Interviews
sources and impacts of environmental
Local community support for the TDA
degradation.
Output 2.5 A regional Strategic
SAP, based on comprehensive and scientific
Press releases, signed
Current government commitment is
Action Programme (SAP) edited and TDA, approved by all five member
documents
maintained
printed (in line with GEF
governments
requirements for a TDA).
Support for the SAP from the local and
Interviews
international communities
Baseline and additional action identified and
Donors expressing interest in
financially quantified
supporting the SAP in writing
Objective 3 Design and
Investors and decision makers in TREDA
Surveys?
Suitable awareness raising techniques
Implementation of an awareness
understand environment-economy links, and
can be adapted to local conditions
raising programme (ARP) with
the impact of TREDA development on global
Findings from project
particular focus on Trans-boundary
environment
evaluation of programme
environmental issues.
26
Intervention Logic
Indicators of Performance
Source of Verification
Risks and Assumptions
(qualitative and quantitative)
Output 3.1 A programme for
ARP, matched to local conditions, approved by Project records
Continued support and commitment
environmental awareness raising
national and local governments
from local and national governments
targeting country specific issues and
Signed financial agreements
target groups.
Non-project resources mobilized to support the
with other financiers
ARP
Output 3.2 The ARP is implemented ARP is successful
Project records
Donors to the ARP can efficiently
at local and national levels and the
mobilize resources
results of the pilot phase are
Recommendations for improving awareness
Evaluation report
analyzed.
raising techniques
Output 3.3 The implementation of a
Small grants fund established and supporting
Project records
An effective way to manage the Fund
Small Grants Programme for
projects
can be found, and a competent fund
community based environmental
Records of the Small Grants
manager identified
protection reinforces public
$400,000 allocated to awareness raising
management committee
awareness raising activities and
activities through Small Grant Funds
participation.
Objective 4 Strengthened national
Strong cooperative mechanisms amongst expert Project records
Agreement can be quickly reached
and regional capacities to jointly
communities and local officials on EIA,
across all five countries
implement the Strategic Action
research and data management.
Programme (SAP)
Output 4.1 An environmental
Jointly research mechanisms operationalized
Project records
Cooperation from existing research
research and information system for
Comprehensive information sources compatible Internet
and environmental information
TREDA, its related coastal areas and and accessible across all borders
centres
its Northeast Asian environs
Output 4.2 Technical and legal
Harmonized EIA procedures and standards in
Legislation
No major disagreements on standards
conditions for environmental impact
the project area covering all five countries
Project records
amongst the five countries develop.
assessment (EIA) appropriate to the
Existing EIA procedures are
regional context are applied.
comparable
Activities :
1.1.1. Recruit technical assistance team.
1.1.2. Establish GEF-SAP Coordination Unit, including purchase of equipment;
1.1.3. Establish a SAP Planning Unit in each country under the national TRADP Coordinating Offices, including purchase of equipment;
1.1.4. Identify existing sources of information and compile a comprehensive environmental database.
1.1.5. In close cooperation with all stakeholders, compile roster of national experts from the region.
1.2.1. Draft Training Programme for the members of the National TRADP Teams and Environmental Working Groups, including details of training institutions;
1.2.2. Hold orientation courses in each participating country concerning the methodological approach and the planning system for preparing the TDA and the SAP;
1.2.3. Organize study tour(s) to other related projects concerning biodiversity protection and international waters management;
1.2.4. Procure equipment (measuring/laboratory equipment) to conduct complementary field investigation concerning water pollution and biodiversity issues.
27
1.3.1. Prepare database on all ongoing, related programmes, projects and activities in the region and in other comparable regions;
1.3.2. Establish links and exchange information (e.g., through Internet) with related programmes, projects and activities;
1.3.3. Organize joint workshops to exchange information and to develop common strategies for environmental management and problem solving
1.3.4. Invite identified institutions and projects to participate in the SAP planning activities to be supported by the project.
2.1.1 Identify all stakeholders concerned with the SAP and provide them with relevant information on biodiversity and international waters in the project area;
2.1.2.Draft and distribute guidelines on Target Oriented Planning2 workshops to governments, NGOs, donors and other stakeholders;
2.1.3.Invite participants from national and local government, international organizations and other key stakeholders to participate in a planning workshop ;
2.1.4.Hold the planning workshop, using Target Oriented Planning methodology, to: determine the participatory approach for area-based planning and sector planning;
define the scope of work and areas of intervention; define the work plan and the institutional arrangements for undertaking preparing the TDA and SAP.
2.1.5.Disseminate the Target Oriented Planning workshop report, including agreed work plan and agreed organizational structure for planning activities at all levels ;
2.1.6. Organize a consultative Donor Conference to present approach and work plan for preparing the TDA and the SAP;
2.2.1. Recruit national/local consultant teams to prepare background papers addressing particular area-related environmental issues in the project area;
2.2.2. On a country basis, when requested by the government, sub-contract an NGO to organize Consultation Meetings at the national or local level with participation from
government (regional and local) and key stakeholders (NGOs, professional associations, scientific institutions, etc.) in order to discuss environmental issues related to
particular ecological zones or regions.
2.2.3. Hold national Target Oriented Planning Workshops to analyze environmental problems of specific ecological zones and to determine strategies and actions for
sustainable environmental management of local ecosystems and resources.
2.2.4. For each zone, draft a Portfolio of projects of global importance. The proposed portfolio should identify priorities, it should take into account estimation of baseline
and incremental cost, as well as a description of projects which may be eligible for GEF small grants programme or other sources of financial assistance (45 m/m of
national/local consultancy, 2 m/m of international expertise);
2.2.5. Finalize and distribute Area-Based Environmental Reports.
2.3.1. Write terms of reference and hire international and national consultants to prepare, organize and conduct trans-boundary and sector studies.
2.3.2. Elaborate transboundary and sector studies which may cover the following fields of immediate environmental concern: Analysis of forest, wetland and grassland
resources, their sustainable management and protection of biodiversity; Protection of endangered species and management of protected areas; Protection and management of
inland waters and its resources (water supply and demand forecasting, pollution control, sedimentation, flooding, catchment area degradation); Protection of coastal and
marine ecosystems and management of its resources; Evaluation of specific strategic opportunities concerning promotion of waste minimization, promotion of ISO 14000,
broad screening of waters to detect hazardous substances, etc.; Environmental issues in urban development (solid and liquid waste disposal, sanitation, etc.) and their
effects on biodiversity and international waters; Environmental issues in relation to economic development (degradation and pollution of soil, water and air caused by
industry, mining, transport, energy, agriculture, forest exploitation, etc.).
2.3.3. Elaborate sector studies assessing the impact of the following on the environment and natural resources (16 m/m national/regional consultancy and 4 m/m of
international expertize): population growth and urban development; global and national economic condition; infrastructure, transport and communication development,
drinking water and energy demand and supply, agriculture (food supply) and forest management; the legal and institutional framework at national and regional levels.
2.3.4 Organize 7 sector workshops to involve the public and all key stakeholders in the preparation of sector studies, e.g., on water and/or air pollution due to industrial,
mining, transport and agricultural activities, urban development, etc.
2.3.5. Edit and print Sector Study Reports
2.4.1. Based of the Area-Based Environmental Reports and the Sector Study Reports, draft the TDA taking into account the following analytical steps: identification of
issue; assessment of transboundary effects; assessment of effects and identification of problems related to transboundary management of biodiversity and natural resources
2 ) The methodological approach relies on equal participation of all members of the workshop and uses visualization as an element for consensus building. The workshop activities follow a logical frame of analysis,
identifying causes and effects of environmental problems, determining objectives and corresponding actions to solve problems and/or to assure sustainable development of resources. Ideally 25 professionals from
government and civil society with specific knowledge on environmental issues would participate for about 6 days. Methodological and technical guidance will be provided by planning specialists. The result of the
workshop depends on the quality and the attention of the participants.
28
in the Tumen River Area, its related coastal regions and its Northeast Asian environs.
2.4.2 Hold workshop to evaluate the TDA, wide range of participants to include observers from national and international organizations, universities, research institutions,
and technical cooperating agencies.
2.4.3 Identify a list of transboundary project profiles addressing global environmental issues.
2.4.4. Finalize and distribute Transboundary Diagnostic Analysis
2.5.1 Review proposed project Portfolios (see Activity 2.2.4 and 2.4.3) and prepare a compilation of proposed investments by sector and country, identify baseline
contribution and assess incremental cost for projects eligible for GEF financial support, identify other sources of financial support
2.5.2 Review possible financial mechanisms, including private sector, governmental, ODA and other innovative mechanisms, for supporting SAP.
2.5.3 Organize Regional Planning Workshop for preparation of SAP, focusing on policies, strategies and actions, using a participatory logical framework approach (LFA).
2.5.4 Draft the SAP report and investment programme and submit it to participating governments, donors and cooperating agencies for review and comments. The SAP
should include: An assessment of priority problems and concerns relating to international waters and biodiversity; An identification of the interventions likely to be most
effective in addressing the problems and concerns; A strategy for financing SAP implementation covering ODA, domestic governmental, community-based, private sector
and other sources of funding.
2.5.5 On a country basis, when requested by the government, contract an NGO to organize Consultation Meetings at the national or local level with participation from
government (regional and local) and key stakeholders (NGOs, professional associations, scientific institutions, etc.) to discuss the draft SAP.
2.5.6 Hold Intergovernmental Consultation Meeting to review and approve the regional SAP
2.5.7 Hold International Donor Conference to present the TDA and SAP.
3.1.1 Hire specialists to study awareness raising with particular attention to transboundary problems, considering general and country specific issues and target groups;
3.1.2 Recruit national consultants, including specialists in communication and social behaviour, to work on the preparation of the awareness raising programme.
3.1.3 Prepare programme for environmental awareness raising to be implemented at local, national and regional levels.
3.2.1 Circulate the awareness raising programme (from 3.1.3) to various donors for additional funding;
3.2.2 Identify national institutions for programme execution (educational institutions, mass media, NGOs, professional association, people's governments and groups, etc.);
3.2.3 Produce awareness building materials in local languages for decision makers and for the common users of the environment;
3.2.4 Disseminate materials and launch education and awareness building campaigns ;
3.2.5 Analyze results of pilot phase, propose adjustments when necessary and make recommendations for future awareness raising activities.
3.3.1 Establish management structure and define criteria of project selection (including contribution to global environment) for the Small Grants Programme.
3.3.2 Select projects eligible for funding taking into account recommendations from National Planning Workshops (2.2.3);
3.3.3 Release funds to support selected activities, evaluate activities and results in terms of technical gains and increased public awareness and participation;
3.3.4 Analyze results of pilot phase, propose adjustments when necessary and make recommendations for future Small Grants Programmes.
4.1.1 Identify government focal points for the environmental research and information systems; hire consultants and initiate studies on research and information systems;
4.1.2 Carry out, in each participating country, a study on environmental research systems, assess role and contribution of scientific research in environmental protection and
management of resources, identify existing research capacities, develop operational research programme, harmonize research activities and identify measures to strengthen
research and environmental technology development.
4.1.3 Carry out, in each participating country, a study on environmental information systems, identify needs and potential users of information, identify sources of
information and establish appropriate system for collection, analytical processing and circulation of information to users in government and private sectors.
4.1.4 Establish environmental information system, connect to international sources (Internet) and make information system operational at all levels of countries.
4.1.5 Determine financial mechanisms for the long term financing of the environmental research and information system.
And in collaboration with TRADP:
4.2.1 Write TORs and identify national and international consultants for a study on harmonization of EIA standards and procedural arrangements;
29
4.2.2 Conduct study in each participating country on EIA. The study should: analyze existing legislation for conduct of EIA and relative environmental standards in
participating countries; elaborate proposals for harmonization or equivalent indicators; prepare recommendation for certification of firms to conduct EIA, propose effective
control mechanisms;
4.2.3 Under TRADP initiative, organize one regional workshop with private sector participation to review findings of 4.2.2;
4.2.4 Submit proposed standards and regulations for conduct of EIA to governments of participating countries.
30
Preparation of a Strategic Action Programme (SAP) for the Tumen River Coastal Area and
related Northeast Asian Environs. Proposed UNDP/GEF Biodiversity/International Waters
project
STAP-Roster Independent Technical Review undertaken by
Dr Gunilla Björklund
Marmorvägen 16A
S-752 44 Uppsala, SWEDEN
------------------------------------------------
1. Overall impressions
The overall impressions of the project are very positive. The area is in the early stages of a large-
scale development that will pose severe threats on the environment, its unique biodiversity,
including several endangered species, both in terrestrial and aquatic ecosystems and its
transboundary river basin area and the nearby coastal and marine areas. As is stated in the
documentation this gives a unique possibility as the SAP therefore can be design to prevent
rather than cure the area, which would in the long-run mean a less costly procedure.
As the project also to a large extent will take advantage of an existing institutional structure the
provisions for a less costly and more efficient structure are good. This will also imply a good
basis for co-operation between participating governments and other stake-holders.
A SAP for the area should give the means for future interventions to be undertaken within a
more integrated framework, which is necessary in obtaining global benefits.
2. Relevance and priority
The project would be of great importance as it relates to the
a/i/ International Waters Operational Strategy as the SAP clearly would increase the possibilities
to prevent the area from degradation of the quality of the transboundary water resources; as
well as prevent from physical habitat degradation of coastal and near-shore marine areas and
watercourses;
a/ii/ Biologic Diversity Operational Strategy as the SAP would increase awareness of the
ecosystems including the unique species and the possibilities to protect them. With a carefully
developed SAP, any project undertaken within its framework would also contribute to the
sustainable use of biodiversity. The project description emphasizes biodiversity conservation
but according to the GEF Operational Strategy and the CBD, sustainable use is as important. It
is important that the SAP also includes options for the sustainable use of the biodiversity, not
least to convince local people that this would imply protecting ecosystems including their
endangered species, while serving human interests.
b/ The main relevant international environmental convention is the Convention on Biological
Diversity (CBD), and as the GEF operational strategy in biological diversity incorporates the
policy guidance of the COP to the CBD (a/ii/) is relevant also under this item.
Another international environmental convention of relevance for this project is the Ramsar
Convention on Wetlands, that has initiated collaboration with the CBD in the implementation of
31
CBD activities related to wetlands. As wetlands are important parts of the downstream area of
the Tumen catchment area it is important to relate to that convention in undertaking the project.
c/ National/regional priorities are likely to be appropriately regarded in the TDA and SAP
processes as the national governments as well as local representation will be actively
participating. It is important that national as well as local representatives are also actively
participating both in designing and implementing the SAP.
3. Project approach
The approach of the project is in general appropriate, taking advantage of the ongoing UNDP
project and to a large extent emphasising capacity building among the people involved by
conducting several workshops. It is important that the procedure strives at involving national
and local representatives in every step, as they are the ones, who will implement the strategy.
The approach to collect relevant information on sectors of society, on economic sectors and on
different aspects of the environment, different aspects of water management (water availability
and use for different sectors, water demand and demand forecast of unsustainable use, water
quantity and water quality) and on different ecosystem is valuable. It is however important to
clearly define the purposes of the data collection. A distinct plan ("road map") for the data
needed and the purpose should be drawn. This plan would be the framework for the SAP. The
project brief is somewhat unclear on the criteria to be used to specify the data needed, both
when describing the "Area-based" studies and the "sector" studies. This needs to be specified
both in the project document and in the SAP.
Nowhere in the project brief is any cross-sectoral analysis described as part of the SAP. The SAP
need to include a discussion, analysis and conclusion on the inter-linkages between water-
related environmental issues and the root causes behind different concerns. This might be
included in the "causal chain analysis" but needs to be emphasized as key part of the approach
of the SAP. If an integrated approach to the concerns caused by different sectors is not applied a
full analysis of the causal chain is not possible and the Strategic Action Programme might lose
part of the long-term strategic approach.
4. Objectives
a/ The objectives, to reinforce capacity to prepare a SAP, to prepare a TDA and a SAP, to design
and implement an awareness raising programme, and to strengthen national and regional
capacities to jointly implement the SAP, are very relevant, particularly as they are addressing
the national capacities.
b and c/ The objectives are focused and would be able to achieve given the outlined activities
even though the time indicated looks too short, particularly as it is somewhat unclear to what
extent relevant and compatible data can be obtained.
d/ See partly above. I also have difficulties in seeing the relevance of study tours to the projects
in the Danube River Basin etc. even though TDA:s and SAP:s are prepared for those project
areas. A thoroughly prepared training programme is of more relevance.
5. Background and justification
32
The background and justification for the project is part of the ongoing UNDP Tumen River Area
Development Programme and otherwise well provided in the documentation. Nothing of great
importance for the justification has been omitted and it is most certainly more detailed in the
actual project proposal. The presentation of the current situation, threats, global environmental
benefits, incremental costs, degree of threat, likelihood of success, cost-effectiveness, existing
institutional capacity and needs are all clearly and compellingly presented. To this is also added
terms for Monitoring and Evaluation, which is a necessary part of a project. The presentation is
partly short, due to the nature of the document, but anyhow compelling.
6. Critical analysis of the situation
The situation has been analyzed, although some of the details are most probably contained in
the existing results of the ongoing UNDP programme and therefor just briefly stated in this
document. This include the analysis of the system effects and externalities. Root causes and
symptoms are addresses but not in any detail.
7. Activities
As commented above I do question the relevance for the study tours to European project sites.
Otherwise the activities seems relevant to achieve the objectives, which are in a logic sequence.
I am, however, missing an important activity. When preparing a TDA and an SAP it is
important not just to hold workshops with local participation on transboundary and sector
studies with reference to environment and to the impact of different sectors (as specified) on the
environment and natural resources. It is as important to address the cross-sectoral approach,
both at local and national/regional level. The people concerned need to be aware of the causal
chain behind different concerns to act accordingly. This needs to be emphasized in the
document.
Also, of course a more detailed analysis on how to obtain relevant and compatible data needs to
be presented.
8. National priorities and community participation
To the extent it is possible to see from existing documentation the activity is consistent with
existing national environmental strategies. The countries proposed for participation are the
relevant ones. The social, cultural and community livelihood concerns need to be taken into
account in establishing the SAP. The population concerned will according to the description be
involved to a large extent.
9. Institutional arrangements
The institutional arrangements to be used to undertake the project would initially be the ones
used for the UNDP project, which would ensure a continuity and efficiency. The institutional
arrangements will evolve with the project.
33
10. Time frame
The time frame for the project seems to be too short, in particularly as a stepwise approach
including capacity building is presented. To be able to achieve the objectives in such a short
time assume that capacity building for the project is already a part of the ongoing UNDP
project.
11. Funding
The proposed GEF funding level seems to be appropriate but might need to give flexibility for
some reallocation among the different items. The proposed co-financing contributions would be
realistic.
12. Innovative features/replicability
As the project is aiming at establishing a SAP in order to prevent environmental stress in areas at
a beginning of an industrial and economic expansion the project will have unique opportunities
and would thus likely be useful as a demonstration project. This is a further reason that an
integrated approach of the SAP is absolutely necessary.
13. Sustainability
If the awareness-raising and capacity building objectives of the project are fully achieved the
project would certainly provide for sustainability after completion as it should then be able to
demonstrate the need for the approach taken for the SAP and for its implementation.
14. Development dimensions and rationale for GEF Support
A SAP in a region at a beginning of an industrial and economic expansion, with unique
terrestrial and aquatic ecosystems and a threatened transboundary river/coastal zone system
has important development dimensions as well as an important rationale for GEF involvement.
For the GEF to be able to prevent threats to exclusive biodiversity and international waters,
along the lines described in the document, with some modifications, merits for funding,
undertaking and implementation of the project.
11 November, 1997
Gunilla Björklund