PROJECT BRIEF
1.
Identifiers
Project Name:
Building Partnerships for the
Environmental Protection and Management
of the East Asian Seas
Duration:
Five years, 1999 - 2003
Implementing Agency:
United Nations Development Programme
(UNDP)
Executing Agency:
International Maritime Organization
Requesting Countries:
Cambodia, China, DPR Korea, Indonesia,
Malaysia, Philippines, Republic of Korea,
Thailand and Vietnam
Other participating countries:
Brunei Darussalam, Japan, and Singapore
Eligibility:
Eligible under para. 9(b) of the GEF
Instrument
GEF Focal Area:
International Waters
GEF Programme Framework:
Operational Programme No. 9: Integrated
Land and Water
2.
Summary
The East Asian Seas Region faces serious transboundary environmental
challenges to the sustainable development of its coastal and marine areas. Existing
national management approaches are still sectoral and actions tend to focus on
problems that are visible and of immediate concern, and are geared towards responding
to environmental crises. Regional action plans have yet to be effectively implemented.
This project attempts to reduce or remove the critical barriers (e.g., inadequate policy;
limited investment; disparate institutional capacity) to effective environmental
management. The project design is based on two management frameworks tested in
the GEF pilot phase, namely: a) integrated coastal management, which addresses land-
water interactions and the negative impacts of human activity; and b) risk
assessment/risk management which focuses on human activities and their impact in
sub-regional seas. The project integrates these two management frameworks, thereby
providing comprehensive coverage of the marine and coastal environment, and the
related land- and sea-based environmental issues. These activities, reinforced with
appropriate coastal/marine policy and environmental investment options, will enable
the deployment of a strategic approach to address multi-focal environmental concerns
through a sustainable regional mechanism, especially transboundary environmental
issues arising from population pressure and national economic development. This
project is part of a GEF programmatic approach to the East Asian Region where
multiple international waters projects are being targeted to reverse transboundary
environmental degradation of the shared waters. The global environmental benefits to
be derived from the project are the cumulative environmental improvements at the site,
national and regional levels that will be achieved mainly through intergovernmental,
interagency and inter-sectoral partnerships.
3.
Costs and Financing (Million US$):
GEF:
-Project
:
USD$15.306 m
-Administrative costs :

USD$ 0.918 m

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-PDF :

USD$ 0
-Sub-total GEF
:
USD$16.224 m
Co-Financing:--Sida :

USD$ 3.91 m
-UNDP
:

USD$ 3.148 m
-IMO :

USD$ 0.72 m
-NOAA (in-kind)
:

USD$ 0.26 m
-Private
:

USD$ 0.3 m
-National Governments
:

USD$ 3.313 m
-In Kind
:

USD$ 0.67 m
Total Project Cost
:
USD$28.545 m
4.
Associated Funding (Million US$): :
USD$439.899 m
5.
Operational Focal Point Endorsement:
Organization: Ministry of
Cambodia (24 November 1997)
Science, Technology and
Name: H.E. Dr. Mok Mareth
Environment
Title: Minister
Organization: Ministry of
Philippines (28 November 1997)
Environment
Name: Mr. Victor O. Ramos
Title: Secretary
China (06 August 1998)
Organization: Department of
Name: Mr. Chen Huan
Environment and Natural
Title: Deputy Division Chief
Resources
Organization: Ministry of
Finance
Republic of Korea (2 June 1998)
Name: Mr. Choi Soek Young
DPR Korea (5 June 1998)
Title: Director of Environment
Name: Mr. Ri Pung Sik
Organization: Ministry of Foreign
Title: Secretary General
Affairs and Science Division
Organization: National
and Trade
Coordinating Committee for
UNDP
Thailand (16 February 1998)
Name: Mr. Saksit Tridech
Indonesia (27 February 1998)
Title: Secretary General
Name: Mr.
Sarwomo
Organization: Office of
Kusumaatmadja
Environmental Policy and
Title: Minister
Planning (OEPP)
Organization: State Ministry of
Environment
Vietnam (15 December 1997)
Name: Prof. Chu Tuan Nha
Malaysia (14 March 1998)
Title: Minister
Name: Mr. Hiswani Bt. Harun
Organization: Ministry of
Title: (for) Secretary General
Science, Technology and
Environment

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6.
IA Contact:
Tim Boyle, GEF Regional Coordinator
Tel: (212) 906-6511
Regional Bureau for Asia and the Pacific
Fax: (212) 906-5825
DC1-2368, One United Nations Plaza
e-mail: tim.boyle@undp.org
New York NY 10017

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List of Acronyms
ADB
Asian Development Bank
APOC
Asian-Pacific Ocean Cooperation Programme
ASEAN
Association of South East Asian Nations
ASEM
Asia-Europe Meeting
ASOEN
ASEAN Senior Officers on Environment
BCRMF
Batangas Bay Coastal Resources Management Foundation
BOT
Build operate and transfer
CBOs
Community-based organizations
CIDA
Canadian International Development Agency
CITES
International Trade of Endangered Species of Wild Fauna and Flora
CLC
Civil Liability for Oil Pollution Damage
COBSEA
Co-ordinating Body on the Seas of East Asia
COD
Chemical oxygen demand
EIA
Environmental impact assessment
ESCAP
Economic and Social Commission for Asia and the Pacific
FUND
Establishment of an International Fund for Compensation for Oil
Pollution Damage
GDP
Gross domestic product
GEF
Global Environment Facility
GIS
Geographic information systems
GIWA
Global International Water Assessment
GNP
Gross national product
IA
Implementing agency
ICM
Integrated coastal management
IDRC
International Development Research Centre
IEIA
Integrated environmental impact assessment
IFC
International Finance Corporation
IIMS
Integrated information management systems
IMO
International Maritime Organization
IOC/WESTPAC
Inter-governmental Oceanographic Commission/Subcommission for
the Western Pacific
ISO
International Standardization Organization
LMEs
Large marine ecosystems
MARPOL
International Convention for the Prevention of Pollution from Ships
MEH
Marine electronic highway
NGOs
Non-government organizations
NOAA
National Oceanic and Atmospheric Administration
OECF
Overseas Economic Cooperation Fund
OPRC
Oil Spill Response and Coordination
PDF
Project Development Facility
Pos
People's organizations
PPP
Public-private partnerships
RBAP
Regional Bureau for Asia and the Pacific (UNDP)
Sida
Swedish International Development Agency
SMEs
Small and medium-size enterprises
TTEG
Tripartite Technical Expert Groups
UNCLOS
United Nations Convention on the Law of the Sea

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UNDP
United Nations Development Programme
UNEP
United Nations Environment Programme
UNESCO
United Nations Educational, Scientific and Cultural Organization

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1
PROJECT DESCRIPTION
Background and Context
1.
The East Asian Seas Region faces serious national and transboundary
environmental challenges to the sustainable development of its coastal areas.
Globalization of the economy and changes in production and consumption patterns
not only have had a profound impact on the growth of the region, but also have
emphasised the interdependency of countries of the region on the welfare and health
of the people and their environment, as evidenced by the recent haze emergency and
currency crisis in Southeast Asia.
2.
These environmental problems are further aggravated by the predicted
increased population and economic pressures towards the 21st century. The region has
already the world's largest population of 1.8 billion, 60% of which live in the coastal
areas. Three hundred million people currently live in coastal urban areas and cities and
many more in the coastal rural areas. These residents, more than half of which are
women and children, largely depend on the sea for food and employment, especially
those in islands of the archipelagic states. A large number of rural coastal population
are still living below the poverty line.
3.
The East Asian Seas are made up of five sub-regional sea areas/large marine
ecosystems (LMEs) having a total area of about 5.9 million km2 and producing about
40% of the world's fish catch. The region has the world's richest biodiversity and
supports one-third of the world's coral reefs and mangroves. Unfortunately, these
valuable resources are seriously threatened by pollution and other economic activities.
The region produces about 60 million tons of hazardous waste and 30 billion tons of
sewage annually, most of which are discharged directly into the sea. The region is also
a major hub of maritime trade, with a significant number of international and domestic
seaports situated along the 150,000 km coastline. Operational discharges and maritime
accidents occur, and have resulted in oil and chemical contamination that further
degrades the marine and coastal environment.
4.
Environmental degradation in the region is already threatening food security,
reducing employment opportunities, creating social unrest and offsetting past economic
gains. This will affect the sustainable development of the coastal and marine areas,
which currently contribute no less than 40% of the total GNP of the region. The
situation highlights the urgent need for a collective regional programme to address
marine and coastal environmental problems that have transboundary implications.
Because of the significance of the threats and the globally significant biodiversity, a
programmatic approach is being followed by the GEF with the project being arrayed
with several others in the region for a strategic focus.
5.
In the last two decades, countries in the region have set up central environment
agencies; a number have developed national environment and sustainable development
action plans; a few have developed national Agenda 21 action plans; and increasing
numbers have ratified major international conventions. At the regional level, a number

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of regional action plans have been formulated (e.g., East Asian Seas Action Plans,
ASEAN Strategic Plan of Action on the Environment, ASEAN Cooperation on
Transboundary Pollution, Regional Action Programme for Environmentally Sound and
Sustainable Development, 1996-2000). Other regional action programs for land-based
sources of marine pollution are currently being developed.
6.
Unfortunately, coastal and marine environmental problems are still not on the
priority agenda of most countries. Management approaches by various resource
governing and environment management agencies are still sectoral and mostly
limited to regulatory control. Government actions tend to focus on problems that are
visible and of immediate concern, and are thus geared towards responding to
environmental crises. Regional action plans have yet to be effectively implemented. As
a result, pollution loading in the East Asian Seas, especially the coastal waters, is in fact
increasing instead of decreasing. Consequently, the existing national and regional
efforts are not adequate or effective in arresting the continued deterioration of the
marine environment.
7.
The major environmental problems and issues which are common to the region
are listed in Annex 1 (Incremental Cost Matrix), including the baseline and the
alternative courses of action proposed for this project. The corresponding analysis of
proximate and root causes is indicated in Annex 6 (Root Causes and Expected Actions)
and approaches to mitigating them are dealt with in greater detail in a forthcoming
document entitled "The East Asian Seas: Environmental Challenges of the 21st
Century", which is scheduled for publication in 1998 (Annex 7).
8.
The proposed GEF intervention implies a longer-term, strategic, programmatic
approach to environmental management in the region in recognition of the geographic
coverage and the magnitude and complexity of environmental problems in such a
diverse socio-economic, cultural and political setting. The approach involves removing
or reducing management barriers, facilitating improved policy and encouraging
investment so that the environmental issues confronting each country, and the region as
a whole, can be systematically addressed over time. Because of the semi-enclosed
nature of the East Asian Seas, the project's focus on sub-LME areas, such as the Gulf of
Thailand and Bohai Sea, will provide valuable insight into the management of much
larger bodies of water (e.g., the five LMEs). Significant measurable regional and global
environmental benefits will only be achieved over the longer term, when the basic
requirements and management modalities are effectively in place.
9.
The proposed project is designed to build upon the approaches, methodologies,
networks and working models of the GEF pilot phase project. These experiences and
lessons learned, and the opportunities identified for advancing inter-governmental and
inter-sectoral partnerships, will be the new project's foundation. The work will
promote closer collaboration among the various stakeholders, including central and
local government, the private sector, non-government and peoples organizations,
donors and the international community to address environmental problems of the East
Asian Seas.

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10.
The GEF intervention is expected to lead to a major paradigm shift in the
concept, approach and methodologies for addressing environmental and sustainable
development problems of the coastal and marine areas, thus removing or lowering
critical policy, investment, capacity and other related barriers to environmental
management. There will be a major build-up of environmental management capacity
in the region, an increase in national efforts to undertake a more holistic and integrated
approach to addressing environment/resource management problems, an increase in
investment opportunities and more effective use of scientific resources and information
technology for addressing management "bottlenecks" and transboundary issues. There
will be stronger national and regional commitments to the implementation of
international conventions, which will be enhanced with the development of national
coastal and marine policies. In summary, the role of the new GEF initiative is to
consolidate the many ongoing activities in the region, providing an inter-sectoral and
holistic management approach to marine and coastal resource management that is
currently lacking in existing baseline initiatives (Table 1).
11.
The project will mobilize external resources and effectively co-ordinate the
above-mentioned national and international efforts through stronger partnerships with
governments, stakeholders and the international agencies, and serve as a catalyst for
enhancing marine environmental protection and management of the East Asian Seas. A
functional and sustainable regional mechanism will be established as a cornerstone of
environmental management of the East Asian Seas. The regional mechanism will
provide the framework and instruments to assist the participating governments to
continue the exemplary environmental practices developed during the project, thereby
bringing together and enhancing national and regional efforts to protect the coastal and
marine environment of the East Asian Seas.
12.
A number of socio-economic and environmental factors favouring GEF
intervention will contribute to the successful implementation of the proposed activities
and the attainment of the project goals. First, the economy of the region is closely
linked with the sea. Secondly, the economic conditions of many countries have
improved with a number of countries having attained the status of developed
economies, thus enabling them to mobilize national resources, though still limited, for
addressing environmental issues. Thirdly, there are increased public pressures for a
cleaner environment and safer seas as a result of an improved standard of living and
increased understanding that protecting the marine environment is in their own
interest. The timely GEF intervention will help arrest the continued decline of
environmental quality, followed by steady progress towards recovery, at least in
areas where management interventions are in place. The pollution monitoring results
of Xiamen demonstration site under the pilot phase (see 1997 annual report, Annex 8)
have proven that this is possible. The proposed regional mechanism will set in place
the necessary institutional arrangements and regional commitment to the replication
and expansion of effective management models and initiatives, through institutional
networking and inter-governmental collaborative programmes. The incremental but
cumulative, exponential environmental benefits will contribute substantially to the
global improvement of the marine environment.

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13.
The project will be complementing rather than substituting baseline activities
and other existing regional or international GEF projects. In fact, the project supports
the Washington declaration on land-based pollution by demonstrating comprehensive,
integrated coastal management working models for marine pollution prevention and
management. It also complements the recently approved GEF/GIWA project, as
demonstrated through the work of the pilot phase (Annex 8).
14.
The project puts emphasis on the demonstration of actual management actions
on the ground, the success of which will strengthen government confidence and
increase the commitment and investment in addressing environmental problems.
The project provides an opportunity for the exchange of staff among participating
countries to learn from each other. In this connection, the project will also participate
in, complement or even strengthen the proposed activities under the UNDP-GEF
International Waters (IW) Learn Project through information exchange and lessons
learned with other GEF projects.
Rationale and Objectives
15.
The lack of environmental and ecosystem management capacity, especially at
the local level, is an impediment to the effective resolution of multiple use conflicts,
resource overexploitation and other environmental threats related to biodiversity, sea
level rise and marine pollution. Most national policies are not keeping pace with the
fast-developing maritime economy. For example, conventional, resource-dependent,
economic development planning stops at high water mark, and thus is ineffective in
addressing many marine and coastal development problems. In addition, most
countries lack the financial resources and technical know-how to mitigate and manage
the adverse impacts of coastal development. Although many countries are parties to a
number of important environment-related international conventions, difficulties in
effectively meeting the stipulated obligations are a common problem.
16.
The GEF/UNDP/IMO Regional Programme for the Prevention and
Management of Marine Pollution in the East Asian Seas (Annex 8) was designed to
address a number of the above-mentioned inadequacies. The Programme focused on
developing and proving a number of innovative approaches for preventing and
managing pollution in marine and coastal areas, including the application of integrated
coastal management (ICM) at pilot sites in Batangas Bay (Philippines) and Xiamen
(China). It adopted a pollution risk assessment/risk management strategy and
developed a management framework for dealing with marine pollution arising from
both land- and sea-based sources (including transboundary issues) in the Straits of
Malacca. It integrated environmental monitoring into the local management
framework, harmonized legislative conflicts, explored sustainable financing
mechanisms and involved stakeholders, especially the private sector and the local
communities, in the development and execution of site-specific or issue-related action
plans. Through networking of environmental legal personnel, the Programme was able
to create better awareness of the benefits, rights and obligations of international
conventions.

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17.
The major challenge for the countries in the region is to develop the necessary
management capacity to apply the tested working models, approaches and typologies
of the pilot phase project for the planning and management of their coastal areas, as
well as sub-regional seas. This will, however, require stronger national commitment in
terms of policy and financial allocation to strengthen the environmental management
functions of the local governments, implement international conventions, create
environmental investment opportunities and increase confidence and cooperation
among stakeholders.
18.
The GEF pilot project provided timely opportunities for developing stronger
and effective inter-sectoral partnerships to address site-specific environmental issues.
It further established multi-country partnerships to address transboundary issues that
reinforced the GEF programmatic approach for resolving cross-country
environmental problems.
19.
Major international and regional initiatives in the past years have definitely
contributed to increased public awareness and national attention on marine
environmental problems. Most activities focused on improving the knowledge base on
the ocean and ecosystems, increasing efficiency in resource exploitation, improving
technologies in fish farming, as well as enhancing capacity in marine science research.
Together with national efforts, over the years these initiatives have laid a sound
foundation and created the opportunity for putting together the various sectoral and
interdisciplinary programs to systematically and collectively address environmental
challenges of the region.
20.
The general objective of the project, therefore, is to enable the East Asian Seas
Region to collectively protect and manage its coastal and marine environment
through inter-governmental and inter-sectoral partnerships. This entails collective and
systematic modes of addressing environmental challenges, and the implementation of a
series of well-coordinated, thematically integrated, issue-driven programmatic
activities. Through partnership building, the project will help countries to develop
scientifically-based environmental management strategies and action plans to deal with
land-based pollution, promote closer regional and sub-regional collaboration in
combating environmental disasters arising from maritime accidents, and increase
regional commitments in implementing international conventions which they ratify
(e.g., Climate Change, Biodiversity, CITES, London, Basel, UNCLOS, CLC/FUND,
OPRC and MARPOL). The integrated management approach also ensures that the
socio-economic and cultural concerns of the coastal population are important
considerations in any environmental management intervention.
Project Activities/Components and Expected Results
21.
The key results of the project include: a network of various national and sub-
regional integrated environmental management programs throughout the East Asian
Seas; viable financing mechanisms for enhancing environmental investment from
multilateral banking and financial institutions and the private sector; a critical mass
of national and regional multidisciplinary technical expertise in environmental and

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marine and coastal management; a pool of local NGOs, religious groups and
environmental journalists to champion and reinforce environmental protection
initiatives; a structured, integrated information management system (IIMS) that
accelerates the delivery of environmental management objectives, including EIA
processes; and a sustainable and effective regional mechanism to co-ordinate and
mobilize resources for effective implementation of international conventions and
promote sub-regional cooperation, especially on priority transboundary issues.
22.
Project activities are centred around seven major strategic components:
1. build capacity to effectively manage the coastal areas and sub-regional sea areas;
2. increase environmental investments in coastal and marine projects and
initiatives;
3. advance scientific inputs to coastal and marine environmental management
decision-making;
4. establish integrated information management systems for coastal management
and integrated environmental impact assessment;
5. enhance collaboration of local NGOs, community-based organizations, religious
groups and environmental journalists in marine environmental protection and
management;
6. facilitate the formulation or strengthening of national coastal and marine policies
and strategic action programs; and
7. support a sustainable regional mechanism to augment the regional commitment
for implementing international conventions, and to serve as a regional catalyst
for the protection and management of the coastal and marine environment of
the East Asian Seas.
23.
The logical framework in Annex 2 provides an analysis of the outputs, methods
used, verifiable indicators to measure impacts and the assumptions made.
Component 1-- Build capacity to effectively manage the coastal areas and sub-
regional sea areas.
24.
The main outputs shall be a critical mass of expertise in the participating
countries, that will link-up through regional networks of local governments
implementing ICM programs and multidisciplinary experts participating in
environmental risk assessment and management of sub-regional seas, especially at
pollution hot spots. The dual thrusts of the project, namely building regional capacity
in ICM and environmental risk assessment and management, and forging cross-
linkages between the practitioners and the experts in these two areas, ensure
comprehensive coverage of regional land-water interaction issues, including
transborder and open ocean environmental concerns. While the project will establish a
critical mass of expertise and mechanisms in support of longer term national and
regional programs, a regional mechanism (Component 7) will be set in place to
safeguard the replicability and sustainability of such initiatives.
1.
Establish national ICM demonstration sites, ICM parallel sites and develop fast
track ICM programs.

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25.
Based on the working models of Xiamen and Batangas Bay, countries are
encouraged to establish at least one national demonstration site for the application of
ICM. ICM is recognized as a management framework that effectively addresses
environmental and resource management issues of regional and global significance. In
order to maximize the regional and global benefits to be derived from the project, the
selected national demonstration sites (i.e., in Cambodia (Sihanoukville), Indonesia
(Java/Sumatra), Malaysia (Selangor), Thailand (Chonburi), DPR Korea (Nampo) and
Vietnam (Danang/Nha Trang)) will be employed to illustrate the resolution of major,
cross-cutting environmental and sustainable development issues, such as: sustainable
fisheries/aquaculture development; sustainable coastal tourism; habitat protection
(biodiversity); port and harbor development; transboundary marine pollution; multiple
use conflicts; and sea-level rise. The project will highlight application of ICM as a
technique for multiple-focal environmental issues, both within and between
demonstration sites. The sustainable development goals of ICM will also ensure the
socio-cultural and economic benefits of the indigenous coastal people as essential
considerations in the overall management framework. The Xiamen and Batangas
demonstration sites will be further strengthened to serve as ICM training centers for the
region.
26.
Based on the experience of the pilot phase, the ICM planning and information
gathering processes for such activities can be shortened to about 18-24 months, instead
of the conventional cycle of 5-8 years. This fast track ICM approach shall be refined for
replication.
27.
The project will also encourage coastal countries to develop ICM parallel sites to
implement national ICM programs. At least 10 parallel ICM sites shall be developed
with national funding or co-financing from other donors. With a regional mechanism in
place and the establishment of a marine resource facility (Component 7), the
replicability and sustainability of ICM sites will be safeguarded.
2.
Develop regional capacity to implement environmental risk assessment and
management programs in sub-regional sea areas/large marine ecosystems
(LMEs).
28.
Environmental risk in one sub-area (e.g., Gulf of Thailand) of an LME (i.e., South
China Sea) and two national, cross-boundary pollution hot-spots (e.g., Bohai Sea;
Manila Bay) will be assessed and the appropriate management programs will be
developed. This approach will enable the concerned sites or the various administrative
units bordering the semi-enclosed sea areas to collectively develop and implement
environmental risk management measures that go beyond recognized administrative
boundaries. Examples of such cooperation include implementing oil spill contingency
plans, executing Port State Control, strengthening Flag State Control, enhancing aids to
navigation, protecting sensitive sea areas, conserving marine and coastal habitats,
promoting sustainable fisheries, coodinating pollution monitoring programs and
sharing monitoring data and information on coastal and marine resources. Linkages
between ICM initiatives and risk assessment and management programs will result in a

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holistic environmental management action program, with comprehensive coverage of
human activities, both on land and in the sea.
3.
Organize a special training programme for upgrading technical skills.
29.
The programme shall include specialized short-term training courses, through
co-financing, on concepts and strategy development, analytical tools and
methodologies, risk assessment and good practices... all of which are related to
integrated management of the coastal and marine environment. These specialized
training courses complement existing environmental training efforts and are largely
based on the experience and outcomes of the pilot phase. Major training courses will
include Practical ICM training, Integrated Environmental Impact Assessment, Oil Spill
Response and Coordination (OPRC), Port State Control, implementation of
international conventions (e.g., Civil Liability for Oil Pollution Damage (CLC);
Establishment of an International Fund for Compensation for Oil Pollution Damage
(FUND)), Environmental Risk Assessment and Management and Natural Resource
Evaluation and Damage Assessment. In addition, special attention will be placed on
the training of trainers.
30.
In an effort to incorporate social and gender analysis and techniques into project
planning and implementation, a workshop will be held, focused on national project and
programme managers, technical personnel and stakeholders in the private sector. The
workshop will draw on existing knowledge and networks within the region, including
initiatives within the UNDP, ADB and CIDA/IDRC, and will adapt such approaches to
the ICM context.
31.
Fellowships will be awarded for internships and postgraduate degree training in
essential environmental management skills, such as maritime law, resource valuation,
environmental accounting and environmental management. Efforts will also be
devoted to networking of centers of excellence in the region, which can contribute to
human resource development, especially in the field of marine environmental
management.
4.
Build capacity through regional networks and task forces.
32.
Existing regional networks established through the GEF pilot phase will be
maintained and further strengthened to provide a pool of expertise to support regional
activities. A multidisciplinary task force will also be established to provide prompt
response to governments requesting technical assistance in environmental
management.
Component Two-- Increase environmental investments in coastal and marine projects
and initiatives.
33.
The main focus of this component is to increase environmental investment from
multilateral banking and financial institutions (e.g., World Bank; ADB; IFC) and the
private sector. The project shall promote regional transformation, from a highly public
sector-driven environmental management regime, to a public and private sector-driven

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environmental industry. The private sector, which includes large, medium and small
enterprises, cooperatives and associations, as well as local in-country financial
institutions (e.g., rural banks), will be encouraged to invest in a wide range of facilities,
services and technologies including waste management facilities, ISO certification and
cleaner production technologies. A pragmatic approach will be employed, including
packaging environmental management action programs into discernible, bankable
projects, identifying potential opportunities for partnership, preparing profiles of
appropriate partners and delineating procedures and criteria to be met in developing
and negotiating partnerships. The initiative will foster greater business linkages and
technology transfer between the public and private sectors, among countries within the
region, and across regions, through South-South and North-South collaborations.
1.
Promote public-private partnerships (PPP).
34.
The lessons from the GEF pilot phase will be applied in the development of
PPPs within the new project. Specific activities include: delineation of environmental
management options; technical and financial feasibility studies on identified options;
and the preparation of "opportunity briefs" which detail the potential viability of
financial mechanisms such as joint ventures, commercialization and public-private
corporations. Many of the environmental facilities (e.g., sewage treatment plants),
environmental services (e.g., training and certification) and information management
systems (e.g., database management and distribution network) are areas where public-
private partnerships can be developed. For example, the establishment of a marine
electronic highway (MEH), i.e., an electronic information system for use on board ships,
consisting of electronic navigational charts in combination with real-time data on a
ship's movement, other traffic, tides, currents, weather conditions, etc., contributes
directly to maritime safety. Indirectly, it is a preventive measure to minimize pollution
arising from vessel groundings, collisions and other mishaps. The MEH is, therefore,
an investment project that can be established initially to cover a small area within a sub-
regional sea, such as a port-to-port sea-lane within the Strait of Malacca. Eventually the
technology may be expanded to cover both the Malacca and Singapore Straits, and then
gradually covering the entire East Asian Seas Region. The MEH is a pipeline project of
the World Bank. The project will complement World Bank's efforts by setting the
ground for MEH investment, contributing to the environmental aspects of the MEH
during project implementation (i.e., implementation by others) and assisting in linkages
with environmental agencies of the region.
35.
In order to demonstrate the feasibility of public-private partnerships, efforts will
be made to draw financial investments to bankable projects, as per the Batangas Bay
demonstration site. Profiles of prospective partners/investors will be prepared, based
upon project feasibility analyses. Because of the variety of opportunities, prospective
partners in the private sector may range from large multinational companies, to
medium-sized domestic enterprises, to small-scale local financial institutions, industry
and associations, such as rural banks, fishermen's cooperatives and tourism
associations. Prospective partners from the public sector will include local government
units, central government agencies and authorities, donors, international agencies and
inter-governmental financial institutions. The GEF initiative will serve as a catalyst and
broker in forging partnerships between interested parties in the two sectors, by

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preparing and promoting project development procedures and partnership agreements
which are transparent, fair and sustainable.
2.
Package and expedite project proposals.
36.
The project shall play a strategic and catalytic role in helping participating
countries to package technically sound and financially convincing proposals that will
attract environmental investments from donor agencies, lending institutions and the
private sector. A pool of technical experts will be drawn from the regional networks to
package such proposals in collaboration with the sub-regional resource facility of
UNDP. A trust fund will be set up and sustained via revenues generated through
service fees. A regional mechanism for establishing and managing the trust fund will
be developed and implemented as part of Component 7 of the project.
Component Three-- Advance scientific inputs to coastal and marine environmental
management decision-making.
37.
The main outputs will be sources of scientifically sound information that can be
used to strengthen coastal and marine policies and management interventions. The
component will focus on the application of scientific methods and approaches to
generate reliable socio-economic, ecological, and technological information that can be
used for policy and management interventions. The project shall undertake and/or
package carefully designed, issue-oriented, interdisciplinary scientific investigations to
resolve outstanding common information gaps which are "bottlenecks" to policy or
management decision-making. Specifically, the project shall provide scientific
information and tools pertaining to: (a) the determination of ecosystem carrying
capacity; (b) trade-offs between development and ecological benefits; (c) impacts of
maritime trade on endangered species; (d) benefit-cost appraisals and models of
management interventions; and (e) socio-economic and ecological impacts of ICM. The
major topical issues are included in Annex 2 (Log Frame Matrix).
Component Four-- Establish integrated information management systems (IIMS) for
coastal management and integrated environmental impact
assessment.
38.
The major output is a microcomputer-based integrated information
management system within the ICM framework at each national demonstration site.
By taking advantage of recent advances in information technology, an environmental
knowledge base can be more effectively compiled, managed, disseminated and applied.
IIMS will combine baseline information (ecological, socio-economic, geographic, legal
and institutional) with environmental quality monitoring information. The IIMS will
incorporate a geographic information system and a database management system, thus
enabling storage, editing and retrieval and facilitate analysis and presentation of
information to a mix of stakeholders within and outside of the region. The validated
version of the IIMS shall be incorporated as planning and management software at each
ICM demonstration site. Each site-specific database can be used for management and
regulatory control functions, especially for integrated environmental impact assessment
(EIA) greatly reducing the time and resources for undertaking the conventional EIA.

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11
The value added is the establishment of intra- and inter-country networking of IIMS at
each ICM demonstration site, leading to a more systematic exchange of information at
the ground level. The ICM/risk assessment process will used to identify critical
indicators at each site of application. By monitoring and evaluating these indicators, the
effectiveness of interventions will be determined and transferred. On a regional scale,
the Malacca Straits Environmental Information System, the sub-regional GIS and
database developed for the Malacca Straits during the GEF pilot phase, will be
employed as a working model for other sub-regional sea areas.
Component Five-- Enhance collaboration of non-government organizations,
community-based organizations, religious groups and
environmental journalists in marine environmental management.
39.
The main outcomes are more environmentally committed interest groups to
work together with the local government in addressing coastal and marine
environmental problems. The project shall strengthen the knowledge and technical
skills in marine environmental management of the interest groups. This will enable
them to be more effective in championing and advocating the cause for environmental
protection, and to serve as a catalyst for affecting the government and people to work
together. It also serves as an instrument for ensuring transparency and objective
assessments of the project during the planning, implementation and evaluation phases
of the work. Religious groups and environmental journalists will also be targeted, in
recognition of their effectiveness in influencing the general public and policy-makers.
The project will also provide the means for establishing a "media resource information
network", ensuring that credible information is accessible by interest groups, thereby
enabling greater and more meaningful participation in the management of the coastal
and marine environment by a larger number of sectors.
40.
Established non-government organizations, such as the International Federation
of Environmental Journalists, Global Village (China) and the Foundation for the
Philippine Environment (Philippines), will be invited to participate in the planning and
implementation phases of this component of the project. Their experience, particularly
with regard to the operationalization and sustainability of awareness building and
training programs at the local community level and the preparation and dissemination
of information on coastal and marine issues for target audiences such as the general
public, students and decision-makers, is a vital aspect of the planning process.
41.
Annex 10 outlines the proposed involvement of non-government organizations
and other stakeholders. Detailed descriptions of the identified activities will be
developed during the project formulation stage, at which time a social scientist will be
contracted to participate in the planning process. The social scientist will identify and
assess the social, cultural, and economic issues at the selected national ICM sites and in
the sub-regional sea areas, thereby ensuring that the interests of the communities are
adequately considered in the project design, implementation and evaluation.
Component Six-- Facilitate the formulation or strengthening of national coastal and
marine policies and strategic action programs.

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12
42.
The essential policy elements in coastal and marine environmental management
will be evaluated in the context of their importance and effectiveness in relation to the
socio-economic, political and cultural characteristics of the countries. Critical domestic
issues, such as increasing population pressures in coastal areas, migration from rural to
urban centres and poverty in coastal areas, give rise to transboundary impacts as a
result of pollution, destruction of marine and coastal habitats, overfishing, etc. In
addition, various global ocean issues, such as exploitation of seabed resources, involve
difficult and important transborder considerations. These elements, and others, shall be
verified and incorporated into guidelines that can be used for developing national
policy. Strategic approaches and mechanisms to be considered in the development of
generic policy guidelines include: the integration of sea-use planning into the physical
framework plans at national and local levels; allocation and use of marine resources;
harmonization of legislative conflicts; obligations under international conventions;
seabed biodiversity and exploitation of seabed resources; monitoring and surveillance;
environmental risk assessment and management responses; the role of local
governments; resource management approaches; advancement of marginalized groups;
retraining; and job creation. Model coastal and marine policies will be developed based
on examples from the region.
43.
National workshops will be organized to increase political and public awareness
of the benefits of coastal and marine management, including benefits arising from
international conventions related to the marine environment and a better understanding
of government obligations and commitments.
Component Seven-- Support a sustainable regional mechanism to augment the regional
commitment for implementing international conventions and to
serve as a regional catalyst for the protection and management of
the coastal and marine environment of the East Asian Seas.
44.
The purpose of a sustainable regional mechanism is to assist interested
governments to achieve the net benefits of global agreements such as UNCLOS,
London, Basel, MARPOL, OPRC, Fund, CLC, Climate Change, CITES and Biodiversity.
In part due to the efforts of the GEF pilot phase project, most countries in the region
will have already ratified these conventions. At present, however, each country is
addressing implementation separately. The cumulative economic and environmental
benefits can be expected to be several fold greater when reinforced with the help of a
regional mechanism. The mechanism will serve as the regional focus for mobilizing
external resources to support national efforts in implementing global conventions and
to undertake collaborative programs to address transboundary issues. In addition, it
serves as a regional framework within which national obligations to regional or global
agreements can be enhanced.
45.
The major thrust of the project component is: a) to facilitate debate on the
concept, functions, establishment and sustainable operation of a regional mechanism,
including possible expanded functions of existing regional bodies, through technical
workshops and policy forums; b) to establish a regional marine environment resource
facility within the context of the regional framework, to provide information and
technical assistance services, to enhance public awareness, to develop and maintain

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regional networks, to mobilize external resources in support of national efforts in
implementing global conventions and to formulate collaborative programs for
addressing transboundary pollution issues; and c) to explore and develop sustainable
financing instruments and administrative and operational procedures, setting in place
practical tools to sustain the regional mechanism beyond the life of the project. The
project will explore financial instruments, such as environmental trust funds, revolving
funds and/or endowment funds, supported by donor contributions, revenues from
information management services (e.g., the marine electronic highway), fees for
expert/technical assistance services, and so on. Collaboration with existing relevant
regional mechanisms (e.g., APEC, ASEAN, ASEM, COBSEA, ICLARM, and SEAFDEC)
is important and will be undertaken, particularly with regard to the eventual formation
of a regional mechanism.
46.
The regional mechanism will develop and strengthen multi-country
collaboration in protecting and managing the LMEs that make up the East Asian Seas,
namely the Yellow Sea, East China Sea, South China Sea, Sulu-Celebes Seas and the
Indonesian Seas. The project will establish close linkages with the GEF Yellow Sea SAP
(UNDP), the South China Sea SAP (UNEP), the Mekong River Initiatives (World Bank
and UNDP) and other LME initiatives in the region, which constitutes GEF
programmatic approach in this area. A working group, comprised of project leaders
from ongoing GEF, bilateral and multilateral international waters initiatives in the
region, will be created to coordinate proposed activities and to promote strategic and
complementary approaches to resolve priority environment and resource management
problems of the international waters. The LMEs of the East Asian Seas provide a
unique opportunity for countries to work collectively, enhancing the effectiveness of
available resources and expertise for the sustainable use of common marine resources
and protection of a shared environment.
Risks and Sustainability
47.
The possible political risks are greatly minimized as the present political climate
and economic achievements in the region are in favour of environmental protection and
sustainable use of the marine and coastal resources. The project, in fact, responds to the
common environmental concerns of the countries in the region.
48.
The project is built upon the technical achievements and methodologies
developed during the GEF pilot project and other past projects and programs, thus
ensuring technical soundness and reducing vulnerability during project
implementation. Sustainability of the project initiatives is viewed from two premises,
namely: 1) the success of the GEF pilot phase, and the lessons, networks, awareness and
momentum that has been derived therefrom among the participating countries, as is
evident by their endorsement of the project; and 2) the setting up of a regional
mechanism, which will have the necessary support, instruments and capacities to
sustain the initiatives of the GEF project. The principal risk is that the countries will not
support a regional mechanism as described. However, as presented in Table 1 and
Annexes 1 and 4, significant financial commitments are being made among the
countries of the region for marine and coastal resources and environmental protection.
The regional mechanism will provide a focus and means for coordinating national

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14
efforts, thereby enhancing the efficiency and effectiveness of individual country
undertakings, and overall impact on the East Asian Seas. Annex 9 provides an
overview of the GEF pilot phase achievements and limitations, which guided the
evolution to this new project proposal. However, the success of implementing such a
complex project depends a great deal on a strong and dynamic project leadership and
flexibility given to its management. In this manner, the risks associated with political,
economic, institutional and technical constraints are greatly reduced. This issue will be
addressed in detail during the project design phase.
49.
The GEF pilot phase project has provided proof that increased government
investment can be leveraged for baseline actions, when potential opportunities and
benefits to be derived are clearly defined. For example, at the two pilot phase ICM
demonstration sites, local and central government units committed financing and
human resource allocations to the development and eventual institutionalization of the
local ICM management systems. In addition, potential capital investments identified in
Xiamen (a sewage treatment facility, with an estimated investment of US$200 million),
Batangas Bay (a solid waste management/recycling facility, US$30 million) and the
Straits of Malacca (the marine electronic highway, US$50 million) are being developed
through the public-private partnership (PPP) financing mechanism. PPP involves
financial commitments by local and central governments, the private sector and
investors, including WB/IFC, ADB and IDRB, for the development and operation of
sustainable facilities and services.
50.
With the proposed GEF initiative, the methodologies, lessons learned and
approaches developed during the pilot phase will be replicated at ICM sites throughout
the region. The issues to be addressed will be extended beyond marine pollution, into
sustainable fisheries and aquaculture, sustainable tourism, port and harbour
development, multiple use conflicts and sea-level rise. The continued operation of the
various regional networks shall enable the dissemination, improvement and
consolidation of project results. The regional network of educational and research
institutions will be able to continue the role of building national and local capacity in
each participating country. Each participating country will have acquired the basic
capacity to design, develop and implement ICM programs effectively. Inter-
governmental co-operation at regional and sub-regional levels shall be greatly
strengthened through an efficient regional mechanism, to more effectively address
transboundary issues. These activities have built-in policy and sustainable financing
mechanisms, such as public-private partnership arrangements, user fee schemes and
integration of the ICM system into local government mechanisms, among others. The
above policy, financing and capacity building arrangements, as well as the regional
mechanism, will provide a strong foundation and a regional institutional framework for
replicating the integrated management working models and for disseminating sound
environmentally sustainable practices.
Stakeholder Participation and Implementation Arrangements
51.
There have been a number of stakeholders, with a variety of interests, involved
in the early conceptualization stages of this GEF regional initiative. Still, further efforts
are required to involve other stakeholders as the project moves through the planning

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15
and implementation phases. It is apparent that the key stakeholders are the national
governments of the East Asian Seas Region. Among the requesting countries, it is
recognized that each may have (a) priority concern(s) which need to be covered in an
integrated fashion when addressing environmental management and resource use in a
regional sea. A few examples are:
Shipping/maritime trade: China; Japan; RO Korea; and Singapore.
Oil exploration: Brunei Darussalam; China; Indonesia; Malaysia; Vietnam.
Fisheries: China; Indonesia; Malaysia; Philippines; Thailand; Vietnam.
Tourism: all countries of the region.
52.
Overall, developing countries of the region increasingly recognize the value of
goods and services provided by coastal and marine resources of the East Asian Seas as a
springboard to sustainable economic development. To this end, inter-governmental
cooperation and collaboration is essential in a situation where sustainability will be a
consequence of a number of interdependent economic activities.
53.
Within each country, the scale and characteristics of stakeholders is disparate.
For example, there are more than 5 million people employed in the fisheries sector
throughout the region and their contributions to the economy range in scale from large
commercial enterprises to subsistence family operations. Meaningful inputs by non-
governmental organizations will be sought throughout the planning and
implementation phases of the project to give voice to this sector, as well as to other
sectors of the economy and community. These include small, medium and large-sized
industry, tourism associations, academia, scientific/technical institutions and
associations, community-based organizations, people's organizations and religious
groups.
54.
It is envisioned that the majority of project components are designed to ensure
self-reliance and sustainability, through the development of policies and long-term
action programs, institutional arrangements, capacity building, strengthening of local
NGOs and the promotion of the involvement of civil society. More importantly, the
project promotes environmental investments and encourages the private sector to share
the responsibility of environmental management. A summary plan of public
involvement is given in Annex 10.
55.
Extensive consultation and collaboration has already been undertaken with
stakeholders in the region. The draft concept brief was discussed and endorsed at an
experts' workshop in Subic, Philippines in July 1997. Eminent marine scientists from 10
countries of East Asia, a number of whom are current or former members of GESAMP,
attended the workshop. The concept proposal was later presented by the delegation
from the Philippines at the ASOEN meeting in Cebu, Philippines in August 1997.
Subsequently, a draft project brief was presented and discussed at the regional
workshop on "Partnerships in the application of integrated coastal management" on 12-
15 November 1997 in Chonburi, Thailand, attended by government officials, NGOs,
scientists, management practitioners and representatives of international agencies.
Finally, the project brief was discussed and endorsed at the 4th Programme Steering
Committee of the GEF pilot phase project in Hanoi, Vietnam, in December 1997.

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16
56.
The project places also considerable emphasis on the application of appropriate
indigenous and emerging technologies by local, national and regional stakeholders.
The various technologies considered include information management, remote sensing
and geographical information systems (GIS), which can improve project performance,
user efficiency and reliability of information. An indication of how indigenous and
emerging technologies may be applied in relation to the proposed component activities
is given in Annex 11.
57.
Many UN agencies, including FAO, WMO, UNESCO and UNEP to name a few,
are operating in the East Asian Seas region. However, there is no single regional
organization that provides coverage of the 12 East Asian Seas nations. IMO is a
specialized UN agency that is exclusively focused on the oceans. IMO has traditionally
played a critical role in developing many of the marine related international
conventions that most countries of the region have ratified. IMO is the "competent
technical agency" of the UN system with respect to marine matters, as identified in
numerous provisions of the UN Convention on the Law of the Sea (UNCLOS). In
addition, IMO has successfully executed the GEF pilot phase project and thus has
demonstrated the necessary experience and technical capability to execute a very
complex and multi-faceted project, as proposed herein. Over the years, IMO has
collaborated extensively with other UN agencies on ocean issues, and as Executing
Agency will continue this effort throughout the project.
Incremental Costs and Project Financing
58.
In accordance with GEF Procedures on Incremental Cost Assessment, most of
the proposed activities fall under complementary activities. The main focus of the
project is to enable the region to undertake integrated programmatic management
activities when addressing environmental problems. This will be accomplished through
specialized skills training, regional networking and demonstration projects, as well as
forging inter-governmental and inter-sectoral partnerships to achieve cost-effective
environmental management at the local and sub-regional levels. The project does not
replace or substitute baseline activities, recognizing that existing national marine
environmental activities are sectoral in approach, while existing regional environmental
programs remain at the planning or information gathering stage.
59.
This project proposal is focused on removing or lowering policy, investment,
capacity and other environmental management barriers which otherwise impede the
application of innovative and pragmatic management interventions. Countries of the
region have made a substantial investment to address marine pollution and other
environmental problems, including combating pollution, habitat rehabilitation, cleaning
of rivers, pollution monitoring, resource management, etc. With the support of donors
and international agencies, they continue to undertake projects and programs to
address these issues. Baseline costs that are relevant to the proposed project
components are estimated to be about US$440 million over the period from 1999 to 2003
(please see Annex 5 for details). This estimate, which is based on approved projects and
programs submitted by governments as well as information from donors, is by no
means absolute, but reflects the levels of effort and commitment of the participating

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17
countries and bilateral and multilateral donors. The proposed project activities which
build upon the baseline efforts aim to improve efficiency and cost-effectiveness in
achieving target objectives, by lowering or reducing barriers and constraints to effective
environmental management. The incremental costs for the proposed project are shown
in Annex 1. Brunei Darussalam, Japan and Singapore have expressed interest in
participating in the regional project, but are not eligible to receive GEF funding.
Table 1. Incremental cost
(Please see Annexes 1 and 5 for details)
Baseline
Alternative
Increment (Alternative - Baseline)
Global Environmental Benefits
150,881,971
167,105,971
16,224,000
Domestic Benefits
289,017,380
301,338,380
12,321,000
Cost: (US$)
439,899,351
468,444,351
28,545,000
Table 2. Activity/Component Financing
Activity
GEF
Co-Funding
Total
Component 1: Building capacity
7,657,000
8,638,000
16,295,000
Component 2: Increasing environmental investments
1,263,000
789,000
2,052,000
Component 3: Advancing scientific inputs
1,378,000
909,000
2,287,000
Component 4: Establishing IIMS
2,082,000
803,000
2,885,000
Component 5: Enhancing collaboration with NGOs/other
1,273,000
309,000
1,582,000
interest groups
Component 6: Formulating national coastal and marine
1,333,000
189,000
1,522,000
policy
Component 7: Supporting a sustainable regional mechanism
1,238,000
684,000
1,922,000
Total
16,224,000
12,321,000
28,545,000

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Table 3. Implementation Plan (endorsement only)
Activities
Amount
Project Life (Months)
(US$)
Completion of project activities
6
12
18
24
30
36
42
48
54
60
1. Start up phase (6 months)
500,000
2. Building capacity (48 months)
6,607,000
3. Inc. environmental investments
1,263,000
(38 months)
4. Advancing scientific inputs (48
1,378,000
months)
5. Establishing IIMS (24 months)
2,082,000
6. Enhancing collaboration with
1,273,000
NGOs/other interest groups (48
months)
7. Formulating national policy (42
1,333,000
months)
8. Regional mechanism (36 months)
1,238,000
9 Wrap up of the project (6 months)
550,000
Total
16,224,000
Table 4. Project Financing per Expenditure Category (endorsement only)
Component
GEF
Co-funding
Project Total
Personnel:
US$
US$
US$
International consultants
708,000
930,000
1,638,000
Local consultants
2,170,000
3,246,000
5,416,000
Project Management
3,480,000
0
3,480,000
Administrative
528,000
56,000
584,000
Subcontracts:
4,042,000
2,542,000
6,584,000
Workshops:
822,000
642,000
1,464,000
Training:
679,000
2,515,000
3,194,000
Equipment
1,644,000
2,010,000
3,654,000
International Travel
400,000
0
400,000
Other Travel
150,000
260,000
410,000
Evaluation mission(s)
120,000
0
120,000
Programme Steering Committee
200,000
60,000
260,000
Miscellaneous
363,000
60,000
423,000
Project sub-total US$
15,306,000
12,321,000
28,545,000
Project Support Services:
918,000
Total project cost (US$)
16,224,000
Monitoring, Evaluation and Dissemination
60.
The project monitoring and evaluation plan includes milestones for each major
activity to be completed within a specific timeframe. Project outputs and impacts by
each component, and the project as a whole, will be evaluated in accordance with key
performance indicators against each objective of the project.
In addition, GEF
international waters indicators will be established for each demonstration area.
Consisting of process indicators, stress reduction indicators, and environmental status
indicators, the array of indicators will be utilized as part of evaluation of the
programmatic approach to this region. Please see Annex 2, logical framework matrix,
for a more detailed description of key performance indicators.

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61.
The milestones and performance indicators will be evaluated each year through
an annual Project Steering Committee (PSC) meeting. The PSC meeting will consist of
two parts, namely a technical session to discuss the progress and achievements of the
project and a tripartite review (TPR) session to assess the project performance, to
approve annual work plans and budgets and to provide policy and management
guidance to the executing agency. In addition to the participating governments, the
technical session will be open to representatives from concerned NGOs, the academic
community, and collaborators from the private sector and scientific and technical
institutions. The TPR session will be attended by the participating governments and
the implementing and executing agencies. The project will also participate in the
annual GEF Project Implementation Review (PIR) and be subject to an independent
Mid-term Evaluation and a Final Evaluation Report.
STAP Technical Review (please see Annex 3a for further details)
62.
The project brief has been revised to incorporate the comments provided by the
STAP technical review. To this end, the brief has been revised to increase the emphasis
on transboundary pollution has been incorporated into the brief and CITES has been
included as one of the key international conventions requiring regional commitment.
The brief now clarifies the extent to which project activities and supporting strategies
will be implemented. The brief identifies the manner in which the project will provide
coverage of the major environmental and sustainable development issues of the region,
as well as outlines the procedures to be applied to overcome barriers to effective
management of sub-regional sea areas and environmental hot spots.
63.
The brief has also been revised to emphasize the steps that will be implemented
in order to identify, and gain support for "bankable" projects. The brief has been
revised to clarify the objective, scope and rationale in establishing a regional mechanism
and includes the critical assumptions concerning risks to investors, the existence of
NGOs in participating countries and the development of coastal policy.
64.
The brief has also been revised to outline the general efforts undertaken and
their focus, and contains information on the various regional environmental issues and
concerns. The brief has been revised to include a list of ICM sites that provide the
broad spectrum of environmental issues and conflicting uses of resources that are
characteristic of the region. The brief has also been revised to reflect the varying
principal concerns and perspectives of participating countries.
65.
The brief has also been revised to highlight elements that require backstopping
by the region's scientific institutions. Further, as part of the regional mechanism, the
brief refers to a regional marine resource facility that will serve as a node for regional
networks, including a network of scientific and technical institutions. To this end, the
brief further clarifies the establishment and scope of the regional mechanism.
*********

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Annexes
Required:
I.
Incremental Cost Matrix
II.
Logical Framework Matrix
III.
STAP Roster Technical Review
Optional Annexes, available upon request:
III a. Revisions to the Project Brief per STAP Reviewer's Comments
IV.
Final independent evaluation of the GEF pilot phase project
V.
Baseline activities and investments in requesting countries of the East Asian Seas
Region
This annex provides further details on the environmental management projects and
programmes undertaken in the region that the present project builds upon. The annex
is provided in tabular form, providing information on the intervention's total budget,
broken down by source of funds (whether national or international) and identifies the
project component to which it relates. These baseline interventions and investments are
identified by the requesting country in which they are implemented.
Annex VI:
Root Causes and Expected Options
This annex outlines a number of issues and problems facing the East Asian countries,
along with proximate causes and possible solutions or courses of action to help resolve
these dilemmas. Symptoms, immediate root causes, scale and severity of issues and
threats are described.
Annex VII:
The East Asian Seas: Environmental Challenges of the 21st Century
This annex is the table of contents of a document expected to be published later this
year entitled "The East Asian Seas: Economic Growth and Environmental Challenges"
by Dr. T. E. Chua. This document presents an overview of the current state of the
marine environment of the East Asian Seas, the pollution hot spots, environmental
changes, national and regional environmental initiatives, and solutions to correct
environmental problems.
Annex VIII:
Pollution Prevention and Management in the East Asian Seas: A
Paradigm Shift in Concept, Approach and Methodology
This annex outlines the document, "GEF/UNDP/IMO Regional Programme for the
Prevention and Management of Marine Pollution in the East Asian Seas 1997." This
document summarizes mechanisms and instruments to help reduce and avoid further
pollution of the East Asian Seas, as well as taking a look beyond 1997 and financial
commitments of the Regional Programme for the Prevention and Management of
Marine Pollution in the East Asian Seas.

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Annex IX:
Identification of Project Activities for GEF Interventions Based on the
Outputs and Limitations of the Pilot Phase Project
This annex describes the activities of the proposed project based on the achievements
and limitations of the Pilot Phase Project. In matrix form, this table outlines how the
pilot phase project will be replicated through the proposed ICM framework, capacity
building activities, private-public partnership building, among others.
Annex X:
Public Involvement Plan Summary
This annex defines the categories of stakeholders that will be involved in this project,
and in particular on their role in the project's implementation. It also attributes
performance indicators to stakeholder involvement and project implementation in a
participatory manner.
Annex XI:
Opportunities for Indigenous and Emerging Technologies
This annex explains the indigenous and emerging technologies, procedures and
processes in environmental management. It charts out a number of the new
technologies that may be applied to various components of the project.
Annex XII:
GEF Pilot Phase Project Mid-term Review
This annex summarizes the formal external evaluation that the East Asia Seas GEF pilot
phase project underwent and the key recommendations made to the GEF, the
Implementing Agency and the participating governments.
Annex XIII:
Copies of GEF Country Operational Focal Point Endorsements

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Annex I:
Incremental Cost Matrix - Building Partnerships for the Environmental Protection and Management of the East Asian Seas.
Costs/Benefits
Baseline (B)
Alternative (A)
Increment (A-B)
Domestic Benefits
1. National initiatives on coastal and marine
1. Build capacity at national and local levels to
1. Ten ICM parallel sites established; training on fast
resource and environmental management are
undertake a more holistic and integrated
track ICM programs, integrated EIA, damage
implemented on a sectoral basis and under a
management approach to the development and
assessment and project development and
variety of management strategies that have
use of the coastal and marine environment and
management conducted and postgraduate degree
marginal impact and limited sustainability.
resources.
training activities to upgrade national capabilities
in ICM supported.
2. Competing priorities of the governments of
2. Create opportunities for partnerships with the
2. Working models of public-private partnership at
the region represent a barrier to the extent and
private sector by shifting national policies and
ICM parallel sites replicated by developing
effectiveness of existing national programs
strategies in environmental management and
bankable project proposals and by implementing
addressing pollution issues in coastal and
sustainable development, thereby transforming
national environmental management projects,
marine areas. Available financial resources
an environmental management regime that is
such as environmental facilities and services at
are being further stretched to cover an ever-
highly driven by the public sector into a public-
ICM parallel sites.
increasing number of other priorities as a
private sector environmental industry.
consequence of rapid population growth and
economic development in the coastal and
marine areas of countries.
3. Non-government organizations are frequently
3. Enhance collaboration between non-government
3. Training of non-government organizations and
perceived by government agencies as
organizations, community-based organizations,
interest groups on coastal and marine
antagonists in many national and local
religious groups and environmental journalists
environmental management implemented;
projects. The value-added qualities of non-
and local and national levels of government to
consultative and participatory processes for
government organizations, particularly with
collectively address marine environmental
project review, approval, implementation and
regard to building consensus and awareness at
management by strengthening the knowledge
monitoring formulated among the various
the community and national levels, are largely
and technical skills of the interest groups and
stakeholder groups at the local and national
lost as a result of this perception.
institutionalizing participatory measures
levels, and especially in the affected communities.
throughout the planning, development and
implementation stages of a project.
4. There is increased awareness of the need and
4. Strengthen national and local capacities to
4. National capacities and bottlenecks in ratifying
benefits of global instruments, especially
appreciate and fulfill the obligations of
and implementing international conventions
related to marine pollution prevention and
international conventions by providing the
assessed; national workshops to build national
management, but ratification and
necessary combination of institutional
awareness, technical and legal capacities
implementation are constrained by inadequate
arrangements, legal framework, technical know-
conducted; and ministerial and senior officials
national capacities.
how and financing mechanisms at the local and
meetings organized to garner support for action
national levels.
plans to strengthen national efforts to address the
obligations of international conventions.

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21
Annex 1:
Baseline (B)
Alternative (A)
Increment (A-B)
Costs/Benefits
Global/Regiona
1. Existing coastal and marine environmental
1. Develop a regional capacity to address
1. National ICM demonstration sites developed in 6
l Benefits
management programs in most East Asian
transboundary concerns, particularly marine
countries in the region. Working models for
countries provide limited consideration for
pollution in sub-regional seas/large marine
management of land-based sources of marine
transboundary issues and the potential
ecosystems and cross-boundary pollution hot
pollution, fisheries, aquaculture, biodiversity,
implications of rapid industrial and economic
spots.
ports and harbours and tourism established.
development throughout the region.
Environmental risk assessment and risk
management programs implemented on a sub-
regional sea/LME scale. Regional training
initiatives implemented. Regional networks and
pools of expertise strengthened.
2. Sub-regional and regional environmental
2. Create opportunities and initiatives that will
2. Sub-regional and regional environmental
initiatives in the East Asian Seas region are
foster greater business linkages, technology
management action programmes packaged into
limited mainly to problem assessment and
transfer between North and the South and
discernible, bankable projects, such as oil spill
planning. Little headway is being made in the
among countries in the region, and increase
response centers, shore reception facilities, marine
development of facilities and services which
investment by government, donors, financial
electronic highway, training and information
address transboundary issues, due primarily to
institutions and private and foreign investors.
management; benefits derived through multi-
the lack of investment by government, the
stakeholder involvement and/or investment in
private sector and multilateral and financial
projects and environmental facilities and services
institutions in such works and services.
identified.
3. National governments have made large
3. Strengthen local, national and regional
3. Issue-oriented interdisciplinary monitoring
investments of time and resources in marine
monitoring programs through a more focused,
programs which directly support ongoing or
pollution monitoring and research, but the
management-oriented approach, which
planned management programs in marine and
resulting knowledge base and expertise is
specifically addresses bottlenecks and
coastal areas undertaken/packaged, including
having limited impact in the decision-making
outstanding information gaps for policy
those implemented in ICM demonstration sites,
processes for development and management
development and decision-making in coastal
ICM parallel sites, pollution hot spots and sub-
of the marine and coastal environment.
and marine environmental management.
regional sea areas.
4. National and local agencies mandated to
4. Establish a region-wide integrated information
4. Planning and management software package set
protect, manage and monitor the coastal and
management system which links ICM sites in
up, emphasizing the use of local information for
marine environment do not have ready access
each country via a micro-computer based
regulatory and management control functions,
to information on strategic, technical and
network, to communicate experiences and
and especially for application in the preparation
financial options, experiences and lessons
approaches in site management and to include
and assessment of EIAs; ICM sites linked into a
learned outside of their jurisdiction, for
data on the ecological, physical, demographic
regional network.
addressing similar problems. This results in
and socio-economic characteristics of each
duplication of effort, inefficient use of limited
participating site along with information
resources and steady deterioration of the
derived from environmental quality monitoring
environment.
programs.
5. Non-government organizations and interest
5. Identify non-government interest groups within
5. Opportunities for NGOs, CBOs, religious groups
groups are involved in numerous
the region who are dealing with coastal and
and environmental journalists to participate in
environmental initiatives in the region, ranging
marine environment issues, including socio-
regional programs and environmental issues

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22
from biodiversity conservation to the legal
economic aspects, and promote consultative and
identified and promoted; training and awareness
aspects of marine pollution, but their
participatory mechanisms which provide a voice
building activities for these groups implemented;
contributions are neglected or downplayed by
to these groups in regional forums and
reference and educational materials provided.
regional bodies.
programs.
Annex 1:
Baseline (B)
Alternative (A)
Increment (A-B)
Costs/Benefits
Global/Regiona
6. Few countries in the region have policies and/or
6. Adopt innovative and workable approaches to
6. Strategic elements of coastal and marine
l Benefits
action programs on the development and
managing marine and coastal areas, such as the
environmental management (e.g., integration of
cont'd
management of coastal and marine areas.
integrated coastal management (ICM) and risk
sea-use and land-use planning; allocation and use
Countries with coastal policies are somewhat
assessment/risk management, to serve as the
of marine resources) and their application under
constrained because of their limited capacities in
framework for formulation of coastal and
various conditions in the region evaluated.
integrating land, coastal and marine management
marine policies and strategies.
Guidance provided to national authorities on the
into a single workable framework.
inclusion of essential components into national
policies and action programs for enhancing the
management of the coastal and marine areas.
7. Increased awareness of the objectives and benefits of
7. Develop and enhance mechanisms for
7. Options for strengthening and/or establishing a
international conventions has resulted in a
coordinating the efforts of countries in the region
sustainable regional mechanism evaluated. A
substantial increase in the number of conventions
to implement international conventions and
draft regional convention embodying the most
related to marine pollution being ratified. The
other baseline commitments related to the
effective and cost-efficient options drafted and
ability of countries to fully comply with the
coastal and marine environment, thereby
promoted to serve as a catalyst for
obligations of these conventions is constrained by
amplifying the effectiveness and impacts
implementation of international conventions.
the lack of capacity in individual countries and by
generated by individual country initiatives.
Working models, instruments and networks for
the absence of a regional mechanism/approach to
advancing regional capacity to protect and
collectively addressing the requirements of the
manage the coastal and marine environment of
agreements.
the East Asian Seas developed.
Baseline (B)
Alternative (A)
Increment (A-B)*
COMPONENT 1:
·
US$ 385,970,982
·
US$ 402,265,982
·
US$ 7,657,000 (GEF)
Build capacity
·
US$ 8,638,000 (non-GEF)
COMPONENT 2:
·
US$ 400,000
·
US$ 2,452,000
·
US$ 1,263,000 (GEF)
Increase environmental investments
·
US$ 789,000 (non-GEF)

COMPONENT 3:
·
US$ 43,746,500
·
US$ 46,033,500
·
US$ 1,378,000 (GEF)

Advance scientific inputs
·
US$ 909,000 (non-GEF)
COMPONENT 4:
·
US$ 948,369
·
US$ 3,833,369
·
US$ 2,082,000 (GEF)
Establish integrated information management systems
·
US$ 803,000 (non-GEF)
COMPONENT 5:
·
US$ 5,112,500
·
US$ 6,694,500
·
US$ 1,273,000 (GEF)
Enhance NGO collaboration
·
US$ 309,000 (non-GEF)
COMPONENT 6:
·
US$ 1,899,000
·
US$ 3,421,000
·
US$ 1,333,000 (GEF)
Facilitate national coastal/marine policies
·
US$ 189,000 (non-GEF)
COMPONENT 7:
·
US$ 1,822,000
·
US$ 3,744,000
·
US$ 1,238,000 (GEF)

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23
Support a sustainable regional mechanism
·
US$ 684,000 (non-GEF)
TOTAL
·
US$ 439,899,351
·
US$ 468,444,351
·
US$ 16,224,000 (GEF)
·
US$ 12,321,000 (non-GEF)
*Please note that the GEF contribution to the incremental cost of the proposed project is US$ 16,224,000, to be supplemented by
other sources of funding to the order of US$ 12,321,000, for a total project cost of US$ 28,545,000.

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24
Annex II
Log Frame Matrix
Narrative Summary
Key Performance Indicators
Monitoring and
Critical Assumptions and Risks
Supervision
Overall Objective
To enable the
? Ground work for a regional inter-
? Quarterly progress
Risk is minimized as a consequence of the
participating countries of
governmental mechanism developed
reports
following critical assumptions:
the East Asian Seas
and adopted by the participating
? Annual reports
? The East Asian Seas are critical to the
Region to collectively
governments;
? Annual Programme
economic development of the coastal
protect and manage the
? Multi-sectoral participation in the
Steering Committee
countries, therefore mutual benefit may
coastal and marine
management of coastal areas and sub-
(PSC) and Tripartite
be achieved through cooperation;
environment through
regional seas evidenced through
Review (TPR)
? Countries are already investing in
inter-governmental and
institutional arrangements and
assessments
environmental programs indicating a
inter-sectoral
activities.
willingness to address the problem;
partnerships.
? The GEF pilot phase established
working mechanisms and regional
networks which can be developed and
extended to other countries in the
region.
Project Development Objectives
Build capacity to
? Operationalization of national ICM
? same as above
· Build upon the ICM working model
effectively manage the
demonstration sites
which was verified in Xiamen and
coastal areas and the sub-
? Replication and adoption of ICM
Batangas Bay during GEF pilot phase;
regional seas
methodology and working model at
· There are existing national investments
parallel sites in each participating
in training;
country;
· Regional train-the-trainer programmes
? Operalization of risk assessment and
enhance national capacities;
management in sub-regional seas

? Regional train-the-trainer programs

implemented; National training

? The risk is limited.
programs initiated.

Increase environmental

? Replication of working models of

? same as above
· Private sector exists within the country
investments in coastal
public-private partnerships, through
and/or is able to invest within the
and marine projects and
implementation of mixed ownership
country;
initiatives.
companies;
· Private sector has the resources and

? Change in perception by the private
increasing awareness of investment
sector, and a commitment to play a
opportunities in the environmental
stronger role in environmental
sector;
management and related investment
· Risk is associated with the degree to
which cooperation and trust can be
nurtured between the public and private
sectors within and among participating
countries;
· Private investors concur that financial
risks and potential returns on
investment are within acceptable limits.

Advance scientific inputs

? A suite of proven approaches,

? Peer review of

? Ongoing studies and use of scientific
to coastal and marine
methodologies and processes,
approaches,
information in participating countries
environmental
including indigenous and emerging
methodologies , etc.;
imply recognition of need for scientific
management decision-
technologies, for reducing and

? Scientific and
input to decision-making.
making
avoiding bottlenecks to policy and
technical reports;

management interventions, such as

? Scientific workshops

? Risk is limited.
ecosystem carrying capacity,
and seminars
economic valuation of marine and
coastal resources and habitats, etc.

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25

Establish integrated

? Integrated information management

? Progress reports;

? A regional network of ICM sites is in the
information management
systems used by local and national

? PSC and TPR;
interest of LGUs;
systems for coastal
agencies for environmental

? Milestone reports;

? Substantial holistic information is
management and
management and EIA, within the ICM

? Effective use of IIMS
available on ICM sites and is being
integrated environmental
framework
assessed
gathered for new sites;
impact assessment

? There is common interest among
participating countries in EIA;

? IEIA will become an important
instrument in environmental and
ecosystem management.

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26

Annex II cont'd

Narrative Summary

Key Performance Indicators

Monitoring and

Critical Assumptions and Risks
Supervision

? Enhance collaboration of

? Key officials of NGOs,

? Prepare reports;
· NGOs, CBOs, POs and/or religious groups
non-government
CBOs, POs and religious

? PSC and TPR;
exist in the country and are interested in
organizations,
groups trained;

? Milestone reports.
environmental protection and management;
community-based

? NGOs, CBOs and POs
? Increased understanding and interest in
organizations, religious
incorporated into local and
environmental issues by all sectors
groups and
national institutional
environmental journalists
arrangements and activities
? Risk is limited.
in marine environmental
in ICM and sub-regional
management
seas management.
? Facilitate the formulation
? More countries develop
? same as above
? Increasing recognition of use conflicts and
or strengthening of
coastal policies and
environmental degradation warrants
national coastal and
programmes, using the
countries to develop national coastal
marine policies and
guidelines and models
policies and programmes;
strategic action
provided during training
? Recognition that existing multiple use
programmes
sessions and seminars
conflicts and multi-agency conflicts cannot
under the project.
be resolved by individual sectors and
therefore there is a need for improved
coordination among agencies working in the
marine and coastal environment.
? Support a sustainable
? Groundwork for the
? same as above
? Most countries have already signed
regional mechanism to
establishment of a regional
international conventions concerning
augment regional
mechanism in place,
marine pollution prevention;
commitment for
through workshops,
? Countries realize the common benefits and
implementing
seminars and regional
increased effectiveness through cooperation
international conventions
networking, focusing on
in implementing international conventions;
and to serve as a regional
policy analysis,
? A number of existing regional mechanisms
marine resource center
international conventions,
are in place (e.g., ASEAN; COBSEA).
for the protection and
national enforcement,
management of the
financial sustainability,
coastal and marine
public awareness and
environment of the EAS
education, etc.
Project Output
? Establish national ICM
? 8 national ICM
? Training programme
? Training courses developed during GEF
demonstration sites, ICM
demonstration sites
reports
pilot phase will be employed;
parallel sites and develop
operationalized;
? Strategy management
? Experience developed in Xiamen, Batangas
fast track ICM programs.
? 10 national ICM parallel
plans
Bay and Malacca Straits are transferable.
? Develop regional
sites operationalized;
? Action plans
capacity to implement
? 3 sub-regional sea
? Participants' assessments
environmental risk
areas/LMEs implementing
of training programmes
management programs in
risk assessment/risk
sub-regional sea areas of
management programmes;
LMEs.
? 15 regional training courses
? Organize special training
completed;
programme for
? 500 regional personnel
upgrading of technical
receive special training
skills.
? Build capacity through
regional networks and
task forces.
Set up a series of public-
? At least US$600 million in
? Reports, opportunity
? Sustainable financing mechanisms
private investments.
investment opportunities
briefs, project proposals,
developed during GEF pilot phase will be
Package project proposals,
identified;
voluntary agreements and
employed.
especially for priority
? At least 10 project
other project milestones.
pollution "hot-spots".
proposals for parallel sites
Create voluntary
and 2 proposals for LMEs
agreements and promote
developed;
ISO certification.
? Voluntary agreements
established as appropriate

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27
Annex II cont'd
Narrative Summary
Key Performance Indicators
Monitoring and
Critical Assumptions and Risks
Supervision
? Project Output
Use verified scientific methods
? GIS used at all national
? Reports and case
? Indigenous and emerging techno-
and approaches, as well as indi-
demonstration sites;
studies and other
logies are available and accessible;
genous and emerging techno-
? Appropriate remote sensing
project milestones.
? Emerging technologies have
logies, to generate reliable socio-
technologies tested at selected sites
recognizable benefit to environmental
economic, ecological and tech-
within the region;
management system.
nological information for policy
? Other technologies applied and
and management interventions.
tested as identified in Annex 10.
Establish integrated information
? Each national ICM demonstration
? An electronic IIMS
? A marine pollution monitoring
management systems (IIMS)
site will have an IIMS;
with a functional
programme will be put in place at
within ICM sites.
Each national ICM site will be
environmental
each ICM site in the regional network;
linked to a regional network
database;
Practitioners at ICM sites are
through Internet; the ICM database
? Milestone reports.
interested and willing to share
will be employed for EIA
information Countries have access to
development and review.
Internet.
Increase the knowledge and
? Effective participation as active
? Reports and other
? NGOs are active in participating
technical skills in marine
members of ICM councils or similar
project milestones.
countries
environmental management of
bodies for ICM and environmental
NGOs, CBOs, POs and religious
management;
groups.
? Active participation in environ-
Strengthen environmental
mental impact assessment process
advocacy through enhanced
such as during public hearings and
coordination of the responsible
other deliberations including
advocacy groups.
public awareness activities;
? Active participation in
environmen-tal management,
serving as "envi-ronmental
watchdogs" on manage-ment,
monitoring and enforcement of
environment-related activities,
working closely with relevant
agencies and the local ICM council;
? Conduct of training courses, work-
shops and conferences to improve
such groups' skills and knowledge
on environmental issues.
Develop guidelines and
? Technical assistance through
? Reports and other
? Incremental benefits of national
framework for the formulation of
works-hops, seminars and training
milestones
marine and coastal policies are
coastal and marine policies and
to local and national governments
recognized by participating countries.
environmental management
on ICM and action plans, fulfilling
programmes.
obligations of international
conventions, etc.
? Increase in the number of countries
with national coastal policies and
programmes over 1998 levels.
Assist interested governments to
? Increase in number of ratifications
? Milestone reports
? Recognition among participating
realize the net benefits of
of international conventions over
countries that it is desirable to
implementing global instruments.
1998 levels;
collaborate when addressing
Set up a regional mechanism
? Studies and reports on policy issues
increasing pollution and
which strengthens technical
completed;
transboundary issues;
capacity of participating
? Conduct of workshops, seminars
? Existing regional mechanisms can be
governments and promotes
and regional forums;
used as starting points.
greater cooperation in
? Marine resource center established;
implementing global instruments.
Networks on ICM, marine
pollution monitoring and legal
advisors sustained
? Sustainable financing mechanisms
verified

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28
Annex II cont'd
Narrative Summary
Key Performance Indicators
Monitoring and
Critical Assumptions and Risks
Supervision
Project Components
Programme planning
? Programme Steering Committee
? Annual PSC technical
? Countries participate on the
development and management
(PSC) established to oversee
sessions; Annual
PSC;
planning, implementation and
Tripartite Review;
? PDMO established on basis of
assessment of project management
? Quarterly, annual and
experience and lessons learned
and policy issues;
terminal reports
during GEF pilot phase.
? Programme Development and
completed by PDMO;
Management Office (PDMO)
? External review on
established to execute the project;
performance of PDMO;
? Annual work plan and budget
? Annual internal and
prepared;
external audit of project
? Programme monitoring and
budget
evaluation procedures established
Build capacity to effectively
? Local government units make
? Progress reports;
? Local government units are
manage the coastal areas and the
commitments to participate in ICM
? PSC and TPR.
interested in improving
sub-regional seas
at national demonstration sites;
management of their coastal
? Central and regional governments
areas;
undertake collaborative efforts in
? Nat'l and reg'l governments are
risk assessment/risk management
concerned of trans-boundary
of sub-regional sea areas;
pollution issues;
? National and regional institutions
? Higher academic institutions
and centers of excellence
and centers of excellence are
collaborate with donors and
willing to play a positive role
international agencies in the
in environmental management
conduct of training courses
training.
Increase environmental
? Mixed ownership companies are
? same as above
? Private sector realizes the
investments in coastal and
established, comprised of public
investment and marketing
marine projects and initiatives.
and private sector investors and
opportunities associated with
investment and lending institutions
the environmental industry.
such as World Bank, the IFC,
commercial banks, etc.
Advance scientific inputs to
? National and regional scientific
? same as above
? Opportunity provided for
coastal and marine
institutions and international
interaction between North and
environmental management
expert groups collaborate on
South in order to transfer
decision-making.
technological advances and share
technology and effective use of
experiences and methodologies
resources
Establish integrated information
? Collaboration and transfer of
? Technical review and
? Information technology (IT) is
management systems for coastal
information technologies from
evaluation reports on
accessible from developed
management and integrated EIA.
developed countries to the region;
information technologies
countries and Participating
? Use of information technology to be
countries are willing to use IT
verified and used at the local level;
to enhance efficiency and effec-
? Information technology is
tiveness of environmental
transferred within the region, to all
management programmes.
operating sites.
Enhance collaboration of non-
? Appropriate NGOS selected to
? Progress reports;
? NGOs and environmental
government organizations,
participate in training programmes;
? Milestone reports.
journalists are interested in
community-based organiza-tions,
Collaboration established with the
enhancing their capacity and
religious groups and envi-
International Association of
network
ronmental journalists in marine
Environmental Journalists.
environmental management.
Facilitate the formulation or
? Collaboration established with
? same as above
? Policy-makers in the region are
strengthening of national coastal
concerned central agencies of
concerned about sustainable
and marine policies and strategic
participating countries;
development and use of coastal
action programmes.
? Working groups/workshops
and marine resources
organized to produce policy
guidelines and to review policy
and management issues;
? Awareness building such as
seminars and workshops
organized.

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29
Annex II cont'd
Narrative Summary
Key Performance Indicators
Monitoring and
Critical Assumptions and Risks
Supervision
? Project Output
Support sustainable regional
? Marine resource center established;
? same as above
National governments
mechanism to augment regional
? Workshops and seminars
recognize the benefits of
commitment for implementing
conducted;
collaborating on marine
international conventions and to
? Consultations with national
pollution and transboundary
serve as a regional marine
governments completed;
issues in the East Asian Seas
resource center for the protec-tion
? Existing regional mechanisms such
Region.
and management of the coastal
as ASEAN, COBSEA, APEC and
and marine environment of the
ASEM consulted
East Asian Seas.

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30
Annex III
.
STAP Roster Technical Review
The following appraisal is based on the Generic Criteria for Independent
Technical Review of Project Proposals provided by UNEP/GEF. Since the appraisal's
main purpose is to draw attention to weaknesses in the proposal (to facilitate remedy)
rather than to its strengths, the following observations are inevitably in a negative tone;
questions are occasionally put, to draw attention to doubts (as to feasibility etc.).
Overall, the project is worthwhile, and builds on the good long-term work of the UN
system and other organizations in the East Asian region
1.
OVERALL IMPRESSIONS
The project idea is highly desirable but very ambitious. Environmental
management of any kind is hard to impose, even under the best of real circumstances,
and the results are almost invariably less clear-cut than those such ambition seeks. This
project proposal attempts to operate on a wide front, presumably because the objectives
and the execution are complex and complicated. If nothing is ventured nothing is
gained, however, and I support the principles embodied in this project, and consider
the means adequate in the context of initiatives of this type in the UN system.
The importance of transboundary pollution is given very little importance in the
proposal, although it is very difficult to think of any form of pollution, especially
marine pollution, that is not, in the long run, transboundary; in any case, it would
underlie the creation and effective operation of the proposed regional mechanism,
which seems to be the cornerstone of the project's purpose.
Eleven countries apparently participated in the pilot phase, but in this follow-up
phase only eight seem to have signed up; this tends to compromise the regional scope
desired for this project.
2.
RELEVANCE AND PRIORITY
a)
This project falls clearly within the scope of GEF objectives in the context of
International Waters, although the proportion corresponding to national activities and
that corresponding to international (especially regional) activities are not really clear
from the brief provided; the transboundary issue has been either fudged or left on the
edge of the main thrust, whereas it is, fundamentally, central to this type of project.
b)
Several of the international conventions relevant to the project have been
mentioned, but it seems that, since coastal management very much includes the local
flora and fauna, CITES should have been mentioned (many animals and plants that are
"exotic" to Europe and North America are traded in major quantities between these two
regions and East Asia). Needless to say, all the major conventions (mostly deposited
with IMO) on marine pollution from shipping and offshore platforms should be

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31
included in the scope of the project objectives aimed at promoting their application in
the region.
c)
The project subject area is clear relative to the regional priorities: cleaner seas, to
promote the living resources, notably fisheries; better controlled shipping, to reduce
illegal discharges of wastes (toxic or not, oil or not); and better managed coastal zones,
to reduce discharge of land-based pollutants onto the beaches and into the sea. I doubt,
however, that the very important problem of atmospheric pollution (source of one third
of marine pollution) is yet being addressed effectively in the region; it should not,
however, be added to this project.
3.
PROJECT APPROACH
It is rather easy to think that the project has set itself all the obviously important
objectives, so the approach can hardly fail to be appropriate; but the questions of
coastal-zone management, marine pollution reduction and rational living marine
resource exploitation really require the coastal zone to be considered in terms of its
hinterland drainage basin (not only rivers, but also natural run-off and rainfall
patterns), the coastal zone proper and the coastal sea out to, say, 100km. Although the
concept of Large Marine Ecosystems is mentioned "en passant", it does not fit the
description just given, nor has any one or more been specifically identified in the
proposal (South China Sea is really too vague). The idea of pilot coastal-zone
management areas improves the manageability of the project at the expense of the
desirable holistic approach, called for in the brief, but only on the project's own terms.
It seems to boil down to whether you do what you can or you do it right; and the
project perhaps falls between these two stools.
The building of technical capacity and services and of popular participation
through NGOs and private groups are good approaches and, to a greater or lesser
degree, feasible. The idea of increasing environmental investments is more dubious: the
link to the other project objectives is unclear, and investors usually have to be shown
the financial advantages, first, the environmental (ie, "public") advantages, second.
4.
OBJECTIVES
a)
The general objective (to enable the East Asian Seas Region to collectively
protect and manage its coastal and marine environment...) depends probably far too
heavily on the acceptance, establishment and effective operation of the proposed
regional mechanism; this is not likely to be fully achieved (it is after all, almost a mini-
ASEAN that is required).
Certain of the project development objectives also tend to be over-ambitious or
somewhat vague:
-
build capacity to effectively manage the coastal areas and sub-regional seas: who
defines "effectively manage"? And why sub-regional seas (are these to be considered the
"private" domains of different subsets of the participating countries)?

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-
increasing investment was already mentioned; in Annex 2, the critical
assumptions and risks do not include the financial risks to investors, their awareness of
environmental opportunities, notwithstanding; moreover, in a number of the countries
participating, the line between the public and the private sectors is very vague or there
is virtually no private sector at all.
-
scientific input and information management systems are always valid
objectives
-
the involvement of various types of non-governmental and civil bodies, religious
groups and environmental journalists is laudable and necessary, but, in a number of the
countries, they are very thin on the ground or carry no great socio-political weight;
organizing them collectively could be difficult or ineffective.
-
policy formulation or strengthening is desirable, but the implied "training" of
politicians is not clearly specified; this is the policy for resolving coastal zone use
conflicts, but Annex 2 says this resolution is not possible, and proposes co-ordination as
a substitute: but co-ordination of what?
-
supporting a sustainable regional mechanism is valid, but no appropriate one
exists, apparently; it is not clear whether the support would be for an existing body
(such as ASEAN, COBSEA, but ill-adapted to the task envisaged by the project) or for
the creation of a new body: here we go again.
b)
Are the objectives propoerly focused? As is often the case, [most of] the
objectives are valid, but the way to achieving them is blurred (for example, there is no
attempt to identify the national and regional institutions likely to be able to contribute
to achieving them; nor is the "Groundwork [project task] for the establishment [second
task, to be carried out by whom?] of a regional mechanisms), so the proposal seems
nearly always to be one or two steps away from the real action needed to be taken. This
is "usual" in proposals of this type, but still gives it a "tentative" quality falling between
the wish and the feasibility. In contrast, the project output (Annex 2), notionally the
farthest away, is much more specific.
c)
Can the objectives be achieved through the proposed activities? Probably not
entirely, because the admirable ambition has yet to face up to the realities of execution:
a regional mechanism is still a long way off, and it is impossible really to say that the
proposed project activities, however useful they may (and probably will) prove to be,
will ensure the creation and subsequent effective and sustainable operation of the
mechanism.
d)
Opportunities or problems overlooked? Although it is hard to see how it could
be fitted into this project, the role of air pollution in the coastal zone environment is not
given any consideration; such pollution is "par excellence" a regional question, and ,
apart from the capacity-building, the overall and long-term objective is regional, more
than national, in nature.
5.
BACKGROUND AND JUSTIFICATION
The background is rather thin in the sense that it concentrates largely on the
outcome of the preceding pilot phase, but ignores a great deal of relevant work done

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over the last three decades by the UN system (notably the Inter-governmental
Oceanographic Commission, UNESCO, WMO) and others in the field of marine
pollution research and monitoring, and by UNEP itself through the East Asian Regional
Seas programme. A number of key regional environmental concerns, such as
mangroves, sea-bed mining (including offshore petroleum exploration and exploitation)
are mentioned only in passing or not at all. On the other hand, the underlying reasons
for the project are clear: there is a problem (of coastal-zone and marine environmental
degradation) that is causing socio-economic harm or loss to local populations, and that
must be addressed now by concerted regional effort.
6.
CRITICAL ANALYSIS OF THE SITUATION
For a project proposal, the analysis of the situation is probably adequate; but this
analysis is too light for the project itself; something more detailed is required. This finer
analysis is not foreseen within the project, however. The increasing level of economic
activity (intensive agriculture, industry, mining, urbanization, forestry, fishery and
aquaculture etc.), due in part to population growth, hence increasing land-use conflicts,
not only in the coastal zone, with the corresponding increase in international trade
based still mainly on shipping, is leading to reduced environmental and economic
yields in the coastal zone; but the quantitative relation between the causes and the
effects is not considered in any detail at all in the proposal. The "size" of the problem is
vital to the effort considered necessary to solve it, and these do not appear to measure
up. The funding seems adequate for the activities envisaged, but the not for solving the
main problem: marine pollution control and reduction throughout the region. Nor has
the wide variety of national situations been gone into in any detail; all participating
countries seem to be treated as "equals", even if reference is made to various socio-
cultural and political systems. Also, the Malacca Strait seems to present a special
problem within the overall problem, but this is not specifically addressed.
There seems to be no real justification for paying any attention to sea-level rise
(mean sea level understood) since this is a very slow process to which adaptation is
feasible over a long period of time, if indeed it occurs; the coastal-zone population is
already experienced in dealing with far greater daily variations in real sea level due to
tides, storm surges and typhoons. Creeping mean-sea-level increase is on a time scale
rarely considered by politicians or even populations (unless they are strongly involved
in land ownership or exploitation).
7.
ACTIVITIES
a)
The proposed activities are appropriate to the actual practical aims of the project.
However, little is said about how the ICM sites are to be chosen and by whom. There
seem to be two dangers: that countries designate sites to ensure "successful pilot
management" limited to a very restricted area perhaps not likely to be affected by
serious pollution from elsewhere nor by serious use conflicts; and that sites are chosen
to deal with only one or two ICM problems, whereas, more often than not, several
problems are always present, especially where the need for management is most

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evident. The first problem of integrated coastal-zone management is resolution of
conflicting uses, so the sites perhaps ought to be chosen to deal with that, above all.
b)
I would be tempted to say that the objective of increasing investment in the
coastal zone is the "odd man out". If effective integrated coastal-zone management can
be achieved, and so seen to be, the investment will probably flow in, but would then be
obliged to take into account the management set-up already in place.
The idea of sharing pollution monitoring data is a good thing, but there are
serious difficulties of inter-comparability of data from different sources, for fine
analytical data (because of the need for inter-calibration, itself difficult) and for crude
measurement (e.g., oil in the sea) which is necessarily imprecise.
c)
The scheduling of activities seems all right, even if reality will probably decide
things otherwise. The regional mechanism will be the most difficult to schedule, in
practice.
8.
NATIONAL PRIORITIES AND COMMUNITY PARTICIPATION
a)
Is the proposed activity consistent with the present national plans etc.? There is
a longstanding recognition in the region of the need to deal effectively with marine and
coastal zone pollution. However, there is a very wide range of national capabilities and
infrastructure in the region to address the problems. There is significant capability in
the Philippines, China, Malaysia, Republic of Korea, but probably less in Indonesia and
Thailand, and less still in Vietnam and Cambodia. Yet all have largely similar or
comparable problems in the project's field of action. Japan's marginal role may mean
that its incomparably greater experience in the field of integrated coastal-zone
management and coastal-zone pollution will not be brought to bear on the project,
especially the regional mechanism.
b)
Are the countries proposed appropriate for the project? For the regional
mechanism to be truly representative, it would have been useful to see Singapore
involved, as a major port of call for shipping; and, as noted, the greatest possible
involvement of Japan, especially in the capacity-building and scientific/technical
aspects, would be highly desirable.
c)
Although the social, cultural and livelihood concerns have been generally
considered, there are two main categories of countries, which has not been stressed
enough: there are the countries, such as Vietnam and Cambodia, whose main concerns
are fishery and coastal zone agriculture; and the others, which have a substantial
industrial component as well, including significant involvement in aquaculture. Of the
latter group, Thailand and Indonesia, in particular, also have substantial tourist
industries. The coastal-zone use-conflict patterns must therefore be significantly
different in these various groups. Since use conflicts tend, in practice (whatever the

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sustainable development theory behind the project ), to be resolved in favour of the
financially and/or politically powerful, this "fact of life" must be addressed sooner or
later; there is nothing to indicate that the project will be able to do so; this might
compromise the outcome.
d)
The proposal to involve a number of the major components of the local
population in the promotion of some of the ideas behind the project is a very good one.
It is not practical to try to involve everybody, so careful choices of participant groups
must be made. For local fishing communities, the experience of ICLARM (Philippines)
and of SEAFDEC (Thailand) should be enlisted; and, more generally, so should that of
the UNESCO Regional Office for Science and Technology (Indonesia). Perhaps the
project should consider further the value of working with schools, at least at the
secondary level. Thailand, the Philippines, Indonesia, China, Republic of Korea,
Malaysia, at least, have well evolved secondary education systems.
9.
INSTITUTIONAL ARRANGEMENTS
More should be done than is apparent in the proposal to involve the relevant
University departments and institutions. The University of the Philippines has a very
good Marine Science Centre (possibly involved in the Batangas Bay case study).
Chulalongkorn University (Bangkok) has a good marine science department; China has
a National Research Centre for Marine Evironment Forecasting (Beijing), an
Environmental Science Research Centre (Xiamen, probably already involved in the case
study there), and a National Marine Data and Information Service (Tianjin), among
others (perhaps including the University of Hong Kong). Korea has the excellent Korea
Ocean Research and Development Institute. The Universiti Sains of Malaysia has a
strong biology department that could be involved. Obviously, the relevant Japanese
academic institutions could be an enormous source of scientific and technical
information and data, and most Japanese Prefectures have strong integrated coastal-
zone management units. The regional mechanism should be based on these and other
comparable institutions in the region, with key governmental institutions.
10.
TIME FRAME
Can the objectives be achieved in the time frame? Probably not, but this is
"normal" in all development projects; by the same token, any practical adjustment
would not change this experience. This "fact of life" explains why efforts to introduce
operations research methods into this type of project in the 1970s and 1980s failed
miserably. Perhaps the amount of time (24 months) assigned to establishing the IIMS is
over-optimistic; in any case, the considerable experience of the IOC in international
oceanographic data and information exchange should be brought to bear on this
activity. The time allowed for establishing the regional mechanism might be adequate
set it up in name, but not enough to ensure that it could work on a sustainable basis.
11.
FUNDING

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a)
Is the proposed GEF funding level appropriate? Probably yes, provided the
project's "coat" is cut from the funding "cloth".
b)
Are proposed co-financing contributions realistic? Overall, yes; but it is
surprising to see that the co-funding, which I take to include national "contributions", is
inexistent for international travel. If such travel includes travel of national experts and
others within the region, particularly in the promotion of the regional mechanism, there
should be more national support for it. If it means only for travel (but of whom?)
between the region and elsewhere, the foregoing argument is less weighty, but not
negligible if national experts are involved in the interest of achieving project objectives.
As a general observation, the $400,000 for international travel means $80,000 per year
(of project life) or about 250-300 travels per year: this seems on the high side. Likewise,
for the regional travel. Who is travelling, where to and what for? Such questions are
never raised in project proposals.
12.
INNOVATIVE FEATURES/REPLICABILITY
What aspects of the project are innovative? There is not much that can be called
strictly innovative; the idea to involve the local populations in some way, although a
good idea, is not new. Training, scietific input, data management, institution-building,
case-studies etc. are all commonplace, however necessary. The most nearly innovative
aspect is the idea to increase investment in "environmental" projects, but it is probably
also the aspect with the unsurest basis; as noted, it might be more likely to happen if the
basic objective of the project is achieved: to establish working integrated coastal-zone
management and an effective regional mechanism. It is less likely to happen simply as
a result of encouragement, if the likelihood of financial gain is not clear.
13.
SUSTAINABILITY
Does the project provide for sustainability after GEF funding has ended? It is
hard to say whether any institutional structure will survive once the impulse from the
project ceases to apply. The capacity-building achieved will fade away, or turn into
other channels, if the framework for its application is not maintained by national
governments. The public, even if well involved in promoting the aims of the project,
will not maintain its involvement, much less any enthusiasm, if the coastal zone
problems are kept below a certain level of seriousness; in that sense, even partial
success may be enough to seriously weaken public concern, which is why an attack
through the schools seems desirable at as early a stage (in time, if not in age of pupils)
as possible. The compromises necessary to solve multiple-use conflicts must be shown
to bring substantially increased general public benefit, if old local "power wars" are not
to return to the surface. The aim is sustainability, and that is worthy enough in itself.
14.
DEVELOPMENT DIMENSIONS AND RATIONALE FOR GEF SUPPORT

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Any change in social structures that effectively increase well-being in general
and over the long term is a viable objective of development. Changes that merely add
to "bureaucracy", public costs and administrative inefficiency obviously represent
failure. GEF is pursuing the former, and this project is following. Nevertheless, it is
proposing, among other things, the creation of a regional mechanism (without saying
clearly what the nature of that mechanism is). If it works, the aims of development will
have been served; but has the success of other regional mechanisms, in general (eg,
ASEAN, SEAFDEC, COBSEA), been evaluated. The region is a culturally and socio-
economically diverse one, so are such mechanisms a reasonable bet? On the more
restricted level of the mechanism proposed by this project, can any comparison be made
with a similar type of body in this region or in another? Apparently not; in any case, the
more restricted the field covered, the more restricted is the number of population
components that can become effectively involved. To achieve the multiple aims set for
the project, a regional mechanism qualitatively comparable with ASEAN, perhaps, may
be necessary; this goes well beyond what is envisaged by the project or by GEF. Yet,
the idea of a highly technical mechanism providing a very specific service, as a small
but useful part of a wider development matrix, also seems excluded by the project and
by GEF. Development may therefore be both served, partially, and disserved, partially.
I regret I do not have any easy answer to this dilemma.
15.
ADDITIONAL COMMENTS OR QUESTIONS
I have nothing else to add at this stage, except to stress the view that, from the
standpoint of experience in integrated coastal-zone management and of the relevant
science and technology, the involvement of Japan seems essential, even if there are
other reservations as to its participation.

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