PROJECT BRIEF
1. IDENTIFIERS
PROJECT NUMBER
PROJECT NAME
Regional (China, Republic of Korea): Reducing
Environmental Stress in the Yellow Sea Large
Marine Ecosystem
DURATION
5 years
IMPLEMENTING AGENCY
UNDP
EXECUTING AGENCY
UNOPS
REQUESTING COUNTRY
People's Republic of China and Republic of Korea
ELIGIBILITY
Eligible to receive UNDP technical assistance and
participation in the restructured GEF:
PRC - 16 May 1994; ROK - 3 May 1994;
GEF FOCAL AREA
International Waters
GEF PROGRAMMING FRAMEWORK
GEF Operational Strategy for International Waters, as
well as for the Waterbody Based Operational
Programme (#8), Large Marine Ecosystem component
2. SUMMARY
Is:Among the 50 large marine ecosystems (LMEs) in the world ocean, the Yellow Sea LME has
been one of the most significantly affected by human development. Today the Yellow Sea faces
serious environmental problems, many of a transboundary nature, that arise from anthropogenic
causes. Approximately 600 million people (nearly 10% of the world's population) live in the
basins that drain into the Yellow Sea. Large cities near the sea having tens of millions of
inhabitants include Qingdao, Tianjin, Dalian, Shanghai, Seoul/Inchon, and Pyongyang-Nampo.
People of these large, urban areas are dependent on the Yellow Sea as a source of marine
resources for human nutrition, economic development, recreation, and tourism. The Yellow Sea
receives industrial and agricultural wastes from these activities.
The Yellow Sea LME is an important global resource. This international waterbody supports
substantial populations of fish, invertebrates, marine mammals, and seabirds. Many of these
resources are threatened by both land and sea-based sources of pollution and loss of biomass,
biodiversity, and habitat resulting from extensive economic development in the coastal zone, and
by the unsustainable exploitation of natural resources. Significant changes to the structure of the
fisheries has resulted from non-sustainable fisheries, reducing catch-per-unit effort. A fisheries
recovery plan is essential to the continuation of the exploitation of this important resource.
The three littoral countries, with their massive populations living in the Yellow Sea drainage
basin, share common problems with pollution abatement and control from municipal and
industrial sites in the Yellow Sea basin, as well as contributions from non-point source
contaminants from agricultural practices. All of the littoral countries are urgently seeking to
address problems of reduced fish catch and shifts in species biomass and biodiversity (caused in
part by overfishing), red tide outbreaks, degradation of coastal habitats (caused by explosive
coastal development), and effects of climate variability on the Yellow Sea Large Marine
Ecosystem.
The objective of the project is: Ecosystem-based, environmentally-sustainable management and
use of the YSLME and its watershed by reducing development stress and promoting sustainable
exploitation of the ecosystem from a densely populated, heavily urbanized, and industrialized
semi-enclosed shelf sea.
3. COSTS AND FINANCING (US$)
GEF:
- Project
13.328
[administrative cost is:]
1.066
- PDF
.350
Subtotal GEF
14.744
Co-Financing:
Government
8.914
UNDP
1.388
Subtotal Co-financing
10.302
Total Project
25.046
Cost:
4. Associated Financing (US$)-BASELINE: $162,063,857
5. GEF Operational Focal Point Endorsement(s)
People's Republic of China
Mr. Yang Jin Lin
GEF Operational Focal Point
Ministry of Finance
Dated: 5 March 2000
Republic of Korea
Mr. Choi Jai-Chul
Director of Environment Cooperation Division
Ministry of Foreign Affairs and Trade
Dated: 6 March 2000
6. Implementing Agency Contact
Tim Boyle, GEF Regional Coordinator
Regional Bureau for Asia and the Pacific
DC1-2368, One United Nations Plaza
New York NY 10017
Tel: (212) 906-6511
Fax: (212) 906-5825
e-mail: tim.boyle@undp.org
List of Acronyms/Abbreviations
ADB
Asian Development Bank
APEC
Asia-Pacific Economic Cooperation Forum
CD
Compact
Disc
CCRF
Code of Conduct of Responsible Fisheries
DIM
Data and Information Management
DPRK
Democratic People's Republic of Korea
EAS
East Asia Seas GEF Project
EIA
Environmental Impact Assessment
FAO
Food and Agricultural Organization
GEF
Global Environment Facility
GIS
Geographic Information System
GOOS
Global Ocean Observing System
GPA
Global Programme of Action for the Protection of the Marine Environment from Land-
based Activities
HAB
Harmful Algal Bloom
IMO
International Maritime Organization
IOC
Intergovernmental Oceanographic Commission
IW
International
Waters
LEARN
Learning Exchange and Resource Network
NEAP
National Environmental Action Plan
NFP
National Focal Point
NGFPA
National Government Focal Point Agencies
NGOs
Non-Governmental Organizations
NYSAP
National Yellow Sea Action Plans
NOWPAP
Northwest Pacific Action Plan
PCU
Project Coordination Unit
PDF
Project Development Fund
PIP
Priority Investment Portfolio
PIR
Project Implementation Review
PPER
Project Performance and Evaluation Review
PRC
People's Republic of China
QA
Quality Assurance
QC
Quality
Control
ROK
Republic of Korea
SAP
Strategic Action Programme
SC
Steering
Committee
SGP
Small Grants Program
SMC
Strategic Management Advisory Committee
SOA
State Oceanic Administration
TDA
Transboundary Diagnostic Analysis
TOR
Terms of References
TPR
Tri-partite
Review
TRADP
Tumen River Area Development Project
UNCLOS
United Nations Convention on Law of the Sea
UNDP
United Nations Development Programme
UNEP
United Nations Environment Programme
UNOPS
United Nations Office for Project Services
WWW
World Wide Web
YSLME
Yellow Sea Large Marine Ecosystem
TABLE OF CONTENTS
BACKGROUND AND CONTEXT............................................................................................................................1
INTRODUCTION ..........................................................................................................................................................1
ENVIRONMENTAL ISSUES...........................................................................................................................................1
SOCIAL AND ECONOMIC ISSUES ................................................................................................................................5
LEGISLATIVE ISSUES..................................................................................................................................................7
INSTITUTIONAL ISSUES ..............................................................................................................................................7
RATIONALE AND OBJECTIVES ...........................................................................................................................8
LONG-TERM OBJECTIVES ..........................................................................................................................................8
RATIONALE FOR GEF FINANCING.............................................................................................................................9
RISKS AND SUSTAINABILITY.............................................................................................................................14
GOVERNMENT COMMITMENT ..................................................................................................................................14
FINANCIAL SUSTAINABILITY....................................................................................................................................15
STAKEHOLDER PARTICIPATION AND IMPLEMENTATION ARRANGEMENTS...............................................................15
PROGRAMME IMPLEMENTATION AND INSTITUTIONAL FRAMEWORK .......................................................................16
Regional Institutions ..........................................................................................................................................16
National Institutions...........................................................................................................................................17
Project Implementation......................................................................................................................................18
INCREMENTAL COSTS AND PROJECT FINANCING....................................................................................18
MONITORING, EVALUATION AND DISSEMINATION..................................................................................21
LIST OF ANNEXES ...................................................................................................................................................1
BACKGROUND AND CONTEXT
INTRODUCTION
1.
For millennia the Yellow Sea ecosystem provided food and livelihood to the civilizations in East
Asia. Shallow but rich in nutrients and resources, the Yellow Sea is most favorable for coastal and
offshore fisheries, and its waters are the highway for vast international shipping activity.
2.
Three countries (Democratic People's Republic of Korea - DPRK, People's Republic of China -
PRC, and Republic of Korea - ROK) share the natural heritage of the Yellow Sea. Despite their political
and social diversity, the people of the region express a common concern for the Yellow Sea. Today the
Yellow Sea faces serious environmental problems, many of a transboundary nature, that arise from
anthropogenic causes. The three countries of the region are confronting difficult economic and
administrative adjustments that complicate environmental management and natural resource protection
efforts. The three littoral countries share common problems with pollution abatement and control from
municipal and industrial sites in the Yellow Sea basin, as well as contributing non-point source
contaminants from agricultural practices. All of the them are urgently seeking to address problems of
reduced fish catches (caused in part by overfishing), red tide outbreaks, degradation of coastal habitats
(caused by intensive coastal development), and effects of climate variability on the Yellow Sea Large
Marine Ecosystem (YSLME).
3.
In few other enclosed or semi-enclosed seas are multilateral measures for marine pollution
control so deficient as in the Yellow Sea. However, there now are opportunities for improvement. Both
ROK and PRC acknowledge that threats to the commons from pollution and overexploitation of living
resources could have serious, perhaps irreversible, economic consequences. China, DPRK, and ROK
have to decide how to adjust national initiatives to be compatible with emerging international legal and
technical obligations, or, conversely, the extent to which each state wishes to ignore or deviate from
international practice.
4.
There is also a lack of a formal infrastructure to bring about international collaboration and
cooperation in monitoring and research activities on YSLME shared marine resource issues. The lack of
a formal structure prevents the development of well-coordinated cooperative resource assessments,
baseline studies and coordination in emergencies (such as a massive mammal die-off, or a spill of oil or of
other toxic hazardous materials). Monitoring and research programs are not as effective as they should be
because they stop at disputed governmental borders rather than at some ecosystem or natural boundary.
Effective studies of transboundary contamination and living marine resource assessments require
excellent coordination, cooperation, and synchronization of sampling, analysis, and interpretation to
enable integration of data across the region.
5.
An objective of the project is to implement an ecosystem-based management approach to reduce
development stress on the ecosystem, and to initiate recovery actions leading to the long-term
sustainability of the environment and resources of the YSLME.
ENVIRONMENTAL ISSUES
6.
The Yellow Sea is the semi-enclosed body of water bounded by the Chinese mainland to the
west, the Korean Peninsula to the east, and a line running from the north bank of the mouth of the
Yangtze River (Chang Jiang) to the south side of Cheju Island. It covers an area of about 400,000 km2
and measures about 1,000 km (length) by 700 km (maximum width). The floor of the Yellow Sea is a
geologically unique, post-glacially submerged, and shallow portion of the continental shelf. The seafloor
- 1 -
has an average depth of 44 m, a maximum depth of about 100 m, and slopes gently from the Chinese
continent and more rapidly from the Korean Peninsula to a north-south trending seafloor valley with its
axis close to the Korean Peninsula. This axis represents the path of the meandering Yellow River (Huang
He) when it flowed across the exposed shelf during lowered sea level and emptied sediments into the
Okinawa Trough. The Sea annually receives more than 1.6 billion tons of sediments, mostly from the
Yellow River (Huang He) and Yangtze River, which have formed large deltas.
7.
The Yellow Sea is connected to the Bo Hai Sea in the north and to the East China Sea in the
south, thus forming a continuous circulation system. Major rivers discharging directly into the Yellow
Sea include the Han, Yangtze, Datung, Yalu, Guang, and Sheyang. The Liao He, Hai He, and Yellow
River around the Bo Hai have important effects on salinity in the western Yellow Sea, whereas the
Yangtze River exerts strong influence on the hydrography of the southernmost part of the Sea. All rivers
have peak runoff in summer and minimum discharge in winter.
8.
Biotic communities of the south-eastern Yellow Sea are complex in species composition, spatial
distribution, and community structure possibly due to the complicated oceanographic conditions of the
area. Faunal communities are composed of various taxonomical groups of warm and cold water species
as well as cosmopolitan and amphi-Pacific ones. Yet the diversity and abundance of the fauna are
comparatively low. Marked seasonal variations are the main characteristics of all components of the
biotic communities. Turbidity and sediment type appear to be the major parameters that affect the
distribution of planktonic and benthic organisms in the coastal waters of the Yellow Sea.
9.
Although primary productivity is important as a fundamental property of an ecosystem, no
reasonable large-scale estimates are available for the Yellow Sea. Existing estimates based on local
measurements vary from 68~320 g C m-2 yr-1 (Yang, 1985; Choi et al, 1988; Chung and Park, 1988). The
primary productivity of the Yellow Sea seems to vary widely depending on the location and season.
10.
The phytoplankton populations are composed mainly of neritic diatoms. The dominant species
are Skeletonema costatum, Coscinodiscus, Melosira sulcata, and Chaetoceros. Their composition shows
a distinct seasonal shift. Blooms occur in late winter to early spring, and summer to early autumn, and
are concentrated to the southern coast of Liaoning and Shandong and the coast of Jiangsu. The bio-mass
in the northern region and the southern region in the sea is 2460 x 103 cells m-3 or cells/m3 and 950 x 103
cells m-3 or cells/m3, respectively, lower than that of the Bo Hai and East China Sea .
11.
The benthic bio-mass in the northern Yellow Sea Cold Water Mass and the southern Yellow Sea
is 41 g/m2 and 20 g/ m2, respectively. Out of the total benthic bio-mass, mollusks are most important
(about 50 percent), echinoderms second (about 20 percent), polychaetes third (about 11 percent), and
crustaceans fourth (about 9 percent). Among these bottom animals, most are important food sources in
the Yellow Sea ecosystem, and some are commercially important species (e.g., fleshy prawn, southern
rough shrimp, and Japanese squid).
12.
The fauna of resource populations in the Yellow Sea are composed of species groupings
associated with various ecotypes, such as warm water species, warm temperate species, cold temperate
species, and cold water species. Warm temperate species in the Yellow Sea fauna are the major
components of the bio-mass and account for more than 70 percent of the total abundance of resource
populations; warm water species and boreal species account for about 10 percent. The fauna in the
Yellow Sea are recognized as a sub-East Asia province of the North Pacific Temperate Zone. Because
most of the species inhabit the Yellow Sea year round, the resource populations in the fauna have formed
an independent community.
13.
Fish are the main living resource and 276 fish species are found. Of these, 45 percent are warm
water forms, 46 percent warm temperate forms, and 9 percent cold temperate forms. The number of
species of crustaceans is relatively small--only 54 species--of which warm water and boreal forms
- 2 -
account for 65 and 35 percent, respectively. Because of the cold temperature, some warm water shrimps
do not enter the northern Yellow Sea (e.g., Metapenaeus joyneri, Parapenaeopsis tenellus), while some
cold water shrimps are not found in the northern East China Sea (e.g., Crangon affinis, Crangon orangon).
14.
The species structure of the fish component of the ecosystem changed during the past 30 years.
Overfishing of high quality bottom fish species has led to their replacement by lower value, smaller
pelagic species. The project will develop a recovery strategy for depleted fish stocks based on an
ecosystem-based perspective.
15.
The cephalopods are composed of only 14 species. Warm water forms and warm temperate
forms account for 65 and 35 percent, respectively; there are no cold water species. Of the warm
temperature species, Sepia andreana and Euprymna morsei are endemic to the Yellow Sea and do not
appear in the East China Sea. Of about 11 mammal species (e.g., minke whale, sperm whale, humpback
whale, fin-less porpoise), most are cold temperate forms (e.g., harbor seal, northern fur seal, Steller's sea
cow lion, fin whale, blue whale, right whale, and gray whale). Of these, fin whale and right whale
migrate into the northern Yellow Sea to 39°N in winter and spring, and harbor seal migrate into the
northern Bo Hai in winter and spring for reproduction.
16.
The Yellow Sea, the East China Sea, and the East Sea/Sea of Japan were seasonally occupied by
some of the large whales: fin whale (Balaenoptera physalus), humpback whale (Megaptera
novaeangliae), and grey whale (Eschrichtius robustus). The grey whale may be part of a nearly extinct
northwest Pacific population that summers in the Okhotsk Sea. If any of these species are seen in these
waters now, they represent just a remnant of the pods that used to migrate and breed there. ROK has
designated the grey whale as one of its national treasures. Other endangered marine mammals that live in
the region are the black right whale (Eubalaena glacialis), whitefin dolphin (Lipotes vexillifer), Kurile
harbor seal (Phoca kurilensis), and Japanese sea lion (Zalophus californianus japonicus). The striped
dolphin (Stenella coeruleoalba, northwest Pacific stock) is believed exploited beyond sustainable yield.
17.
The habitats of resource populations in the Yellow Sea can be divided into two groups--
nearshore and migratory. Nearshore species include skates, greenline, black snapper, scaled sardine, and
spotted sardine. These species are mainly found in bays, estuaries, and around islands, and they move to
the deeper waters in winter. The migratory species (e.g., small yellow croaker, hairtail, and Pacific
herring) have distinct seasonal movements and some (e.g., chub mackerel, Spanish mackerel, and filefish)
migrate out of the Yellow Sea to the East China Sea in winter. The distribution of these two groups often
overlap, especially in over-wintering and spawning periods.
18.
When water temperatures begin to drop significantly in autumn, most resource populations
migrate offshore toward deeper and warmer waters and concentrate mainly in the Yellow Sea depression.
There are three over-wintering areas: The mid-Yellow Sea, 34 to 37°N, with depths of 60 to 80 m; the
southern Yellow Sea, 32 to 34°N, with depths about 80 m; and the northern East China Sea. The cold
temperate species (e.g., eel-pout, cod, flatfish, and Pacific herring) are distributed throughout these areas,
and many warm temperate species and warm water species (e.g., skates, gurnard, Saurida elongata,
jewfish, small yellow croaker, spotted sardine, fleshy prawn, southern rough shrimp, and cephalopods)
are also found there from January to March. In the southern Yellow Sea, all species are warm temperate
and warm water species (e.g., small yellow croaker, Nibea alibiflora, white croaker, jewfish, Septipinna
taty, red seabream, butterfish, and chub mackerel). Their main over-wintering period is from January to
April. The deep water areas of the central Yellow Sea and northern East China Sea are the over-wintering
grounds for most species that migrate over long ranges.
19.
Little information is available about the distribution of seabirds in the Yellow Sea area and off the
east coast of China, but it is believed not many birds are in the area. Two known birds are the streaked
shearwater (Calonectris lecomelas) and the Bulwer's petrel (Bulweria bulwerii), both of which breed off
- 3 -
the coast of eastern China. Of the endangered (or possibly extinct) seabirds of China, two live in the
Yellow Sea region. 1) The relict gull (Larus relictus), which was collected for its breeding plumage. It
used to breed near Sogo Nur, Gansu (1931 sightings), and Tanggu, Tianjin (1935 sighting and
specimens). There have been no recent sightings. 2) The Chinese crested tern (Sterna bernstein), which
was last sighted at Qingdao in 1937. It may be extinct but an unconfirmed sighting of 10 to 20 birds on
Thailand in 1980 has raised hopes that it might still be extant. In the Republic of Korea, a total of 116
species of waterbirds and 17 species of falconiformes were recorded during 1994-1997. The total peak
number was 550,000 for wintering waterbirds and 140,000 for migrating waders from 11 bird census sites
on the west coast of Korea.
20.
The dalmatian pelican (Pelecanus crispus) is bred inland at Lop jur, Xinjiang Uygur Zizhiqu, but
no recent information is available. The saunders' gull (Laurua saunders) breeds in the north of China and
Mongolia where its breeding grounds are unknown. However, it winters in the southern estuarine areas
of Ningho, Zhejiang, and Shanghai. Of 370 bird species identified in ROK, 112 breed there and 17
localities have been designated breeding grounds.
21.
The Yellow Sea LME is an important global resource. This international water-body supports
substantial populations of fish, invertebrates, marine mammals, and seabirds. Many of these resources are
threatened by both land and sea-based sources of pollution and habitat loss resulting from extensive
economic development in the coastal zone, and by the unsustainable exploitation of natural resources
(primarily overfishing). Additionally, there is significant international shipping traffic through the waters
of the Yellow Sea, with associated threats from spills and collisions with marine mammals.
22.
In the western Yellow Sea, pollution sources include industrial wastewater from Qingdao, Dalian,
and Lianyungang port cities; oil discharged from vessels and ports; and oil and oily mixtures from oil
exploration. More than 100 million tons of domestic sewage and about 530 million tons of industrial
wastewater from coastal urban and rural areas are discharged into the nearshore areas of the Yellow Sea
each year. The major pollutants carried by sewage and wastewater are oils, mercury, cadmium, lead,
COD, and inorganic nitrogen.
23.
The eastern Yellow Sea has bad pollution in the shallow inlets of its southern coastline where the
many islands prevent mixing with open ocean water and red tides persist. The chaetognatha (Sagitta
crassa and S. enflata) and the copepods (Acartia clausi, Paracalanus parvus, and Centropages
abdominalis) decreased significantly in 1981 compared with 1967 figures due to an increase of marine
pollution levels in Jinhae Bay. The area affected included several famous swimming beaches, tourist
hotels, and places of interest. Mass mortalities of the hard clam Meretrix lusoria populations in the
Jeonbug Farming Area of Gyewhari and Naechodo, in the western region of ROK, were coincident with
high densities of the pathogenic bacteria Vibrio anguillarum, the parasitic cercaria Bacciger harengulae,
and a high concentration of pesticides.
24.
Harmful Algal Blooms (HAB) occurring in the coastal waters off southern and eastern ROK have
caused loss to the aqua-culture industry and probably large-scale mortality of natural fin- and shellfish.
However, the frequency and the area of the outbreak of HABs in the coastal waters off western ROK
(Yellow Sea) are lower than those off southern and eastern ROK. High turbulence intensity and turbidity
caused by strong tidal currents might inhibit the growth of HAB organisms.
25.
Recently, however, the frequency and the area of the outbreaks have increased in the Yellow Sea
coast, particularly, in the area where huge artificial constructions such as an underwater dam or dike were
built. The constructions might restrict the circulation of water masses and reduce the turbulence intensity
and turbidity. Under this circumstance red tide organisms grow fast and form red tide patches. The
number and frequency of the trade ships between western cities in ROK and eastern cities in China have
continuously increased. Therefore, the transport of red tide organisms in ballast waters might be partially
responsible for the increase in the frequency and the area of red tides. Huge discharge from the
- 4 -
Changjiang River during the summer monsoon season sometimes reach the southern end of the Korean
peninsula, thereby, and might carry the seed organisms or somehow inoculate existing spores.
SOCIAL AND ECONOMIC ISSUES
26.
The Yellow Sea is a classic example of a semi-enclosed area, but remarkable for its massive
population and increasing anthropogenic pressure. Shallow but rich in nutrients and living resources, it is
favorable for coastal and offshore fisheries, and its waters are a highway for international shipping.
27.
Approximately 600 million people live in the area that drains into the Yellow Sea. Large cities
near the sea with tens of millions of inhabitants include Qingdao, Tianjin, Dalian, Shanghai,
Seoul/Inchon, and Pyongyang/Nampo. People of these large, urban areas are dependent on the Yellow
Sea as a source of marine resources for human nutrition, economic development, recreation, and tourism.
28.
Throughout the millennia of civilization in East Asia, periods of prosperity have been those in
which the nations bordering the Yellow Sea have used the Sea cooperatively and efficiently. Such was
certainly the case in the Tang dynasty of China, the Silla dynasty of Korea, and the Nara period of Japan.
Conversely, when there was bad or inefficient use of this resource, all the coastal nations suffered. As the
Yellow Sea coastal countries strive to develop and improve the welfare of their people, an optimal use of
Yellow Sea resources could be the beginning of a new era of cooperation.
29.
The commercial utilization of the living resources in the Yellow Sea dates back several centuries.
With the introduction of bottom trawl vessels in the early twentieth century, many stocks began to be
intensively exploited by Chinese, Korean, and Japanese fisherman and some economically important
species such as the red seabream declined in abundance in the 1920s and 1930s (Xia 1960). The stocks
remained fairly stable during World War II . However, due to a great increase in fishing effort throughout
the entire Yellow Sea, nearly all the major stocks were being heavily fished by the mid-1960s. Since
then, the composition of the fish catch has changed greatly , and the catch-per-unit-square kilometer has
decreased to 2.3 MT in recent years.
30.
The Yellow Sea is one of the most intensively exploited areas in the world. The number of
species commercially harvested is about 100 including cephalopods and crustacea. The abundance of
most species is relatively small, and only 23 species exceed 10,000 MT in annual catch. These are the
commercially important species and account for 40 to 60 percent of the annual catch. Demersal species
used to be the major component of the resources and accounted for 65 to 90 percent of annual total catch.
The resource populations of demersal species such as small yellow croaker, hairtail, large yellow croaker,
flatfish, and cod declined in bio-mass by more than 40 percent when fishing effort increased threefold
from the early 1960s to the early 1980s.
31.
Overfishing has also caused a decline in stock abundance for searobin, red seabream, Otolithoides
mijuy, Nibea albiflora, and white croaker. However, under the same fishing pressure, the abundance of
some species such as cephalopods, skates, and daggertooth pike-congers appears to be fairly stable. This
may be due to their scattered distribution or their tolerant nature.
32.
Shifts in species dominance in the Yellow Sea are outstanding. The dominant species in the
1950s and early 1960s were small yellow croaker and hairtail, while Pacific herring and chub mackerel
became dominant during the 1970s. Some smaller-bodied, fast-growing, short-lived, and low-value fish
(e.g., Setipinna taty, anchovy, scaled sardine) increased markedly in about 1980 and have taken a
prominent position in the ecosystem resources thereafter. As a result, some larger-sized and higher
trophic level species were replaced by smaller-bodied and lower trophic level species, and the resources
in the Yellow Sea declined in quality. About 70 percent of the bio-mass in 1985 consisted of fish and
invertebrates smaller than 20 cm, and the mean body length in the catches of all commercial species was
only 12 cm while the mean body length in the 1950s and 1960s exceeded 20 cm. The trophic levels in
- 5 -
1985 and in the 1950s were estimated to be 3.2 and 3.8, respectively. Thus it appears that the external
stress of fishing has affected the self-regulatory mechanism of the Yellow Sea ecosystem.
33.
Aquaculture is a major use of the coastal waters of the Yellow Sea. Mariculture is commonly
practiced in all coastal provinces of China, and it is most advanced in Shandong and Liaoning provinces.
In both the Qingdao and Dalian regions the same fishery communes that culture invertebrates also
cultivate seaweed. The major species of invertebrates cultured are oysters, mussels, razor clams, cockles,
short-necked clams, pearl oysters, scallops, and hard clams. The area in mariculture in 1978 was 1.48 x
105 ha, and 5.4 x 105 ha in 1997. The yield of fresh flesh from bivalves was 2.0 x 105 t, 44 percent of the
total mariculture yield in 1978; in 1997 it was 3 x 105 t. Scallops (Chlamys farreri) are luxurious seafood.
Sea cucumbers (Stichopus japonicus) live below Laminaria and/or Mytilus and are harvested by divers
after two years' growth. Meretrix meretrix, Mactra antiquata, Brachydontes senhousei, and Aloidis sp.
are also cultured in some regions, and the large Chinese shrimp (Penaeus orientalis) also grows
successfully in the coastal regions of the Yellow Sea.
34.
The total yield of invertebrate mariculture of ROK in 1997 was 301,873 metric tons (MT)
representing 29.7% of ROK's total mariculture production (1,015,134 MT), including 200,973 MT of
oysters (20 percent) and 63,572 MT of mussels (6.3 percent) (MOMAF (Ministry of Maritime Affairs &
Fisheries), 1998. Annual Report of Fisheries Trend. 286pp.). Major species of mariculture include oyster,
mussel, abalone, hard clam, short-necked clam, Cyclina, Mactra, ark shell (Anadara broughtonii), pen
shell (Atrina pectinata), and hen clam (Mactra sulcataria). Various abalones (Haliotis discus hannai, H.
discus, H. sieboldi, H. gigantea, H. japonica) are in high demand.
35.
Seaweed is an important crop in the Yellow Sea. Seaweed grows naturally on the lower rocks of
the intertidal/sub-intertidal region; most prefer subtropical conditions. Sargassum pallidum is dominant
and Plocamium telfairiae is common in the west Yellow Sea. There, Pelvetia siliquosa is locally
abundant. Bryopsis plumosa is a minor species, and Dictyopteris undulata is rare. Pelvetia siliquosa is
found on the Shandong Peninsula, the Liaodong Peninsula, and the Korean Peninsula. The seaweed
grows more luxuriantly in the Korean waters, and for hundreds of years the Koreans have exported large
quantities of this seaweed to China. It was sold in North China markets under the name of deer-horn
vegetable. The seaweed's availability has declined, and now the seaweed Ishige okamurai and seaweed
Sargassum (Hizikia) fusiforme are marketed as substitutes--also called Lujiaocai.
36.
The most important cultivated seaweed in China is the brown Laminaria japonica introduced
from Hokkaido, Japan. The cold water kelp is now grown in more than 3,000 ha of China's coastal
waters, with a production of 10,000 dry tons/year. Half of this is consumed directly and half is used for
extraction of alginates. There are 15 hatcheries on the north China coast, and the young plants are
transferred to the growing frames in the sea when the seawater temperature drops below 20°C. L.
japonica grows 3-m fronds at Quingdao and 5-m fronds at Dalian where the water cools down more
quickly in fall and the growing season is longer. The respective yields are 30 and 50 dry tons/ha/year.
37.
Oil exploration has been successful in the Chinese and DPRK portions of the Yellow Sea. In
addition, the sea has become more important with the growth in trade among its bordering nations. The
main Chinese ports are Shanghai, Lu-ta, Tientsin, Qingdao, and Ch'in-huang-tao; the main TOK port is
Inch'on, the outport of Seoul; and that for DPRK is Namp'o, the outport for P'yongyang.
38.
Tourism is an industry in its infancy in both China and Korea. Several sites of picturesque beauty
around the coastlines of these countries could be promoted as tourist attractions. As access to China and
Korea becomes easier for foreign visitors, the tourist industry will expand. The Karst coast near Dalian,
the granite mountains of the western Liaoning coast in China, and the islands and swimming beaches of
ROK, in particular Cheju Island, will be in even greater demand.
- 6 -
LEGISLATIVE ISSUES
39.
The Yellow Sea is an international water-body and many of its problems can be solved only
through international cooperation. The management of the Yellow Sea is especially complicated in that it
is surrounded by nations that share some aspects of their historical and cultural background, but differ in
internal political systems, external political and economic alignment, and levels of economic
development.
40.
For the future of the Yellow Sea, it is thus imperative for the coastal nations to realize the
importance of regional cooperation. There are currently several agreements for bilateral regulation or
development of the Yellow and East China Seas, but none of them are binding on all the coastal nations;
nor is any nation a party to all the agreements. This means that there are insufficient consultations among
the coastal nations. In addition, many of the existing national management policies or bilateral
management programs for the Yellow Sea have been designed and carried out with insufficient attention
to the transnational nature of the resources and industries that the Yellow Sea harbors and supports.
41.
Of course, cooperation among the countries in the region is possible only when each nation in the
region is convinced that it will be at least no worse off by cooperating than by going its own way. In the
case of the Yellow Sea, it would appear that all nations bordering it would gain more from cooperation
than they would without it.
42.
The PRC, ROK, and DPRK already cooperate in many regional initiatives such as NOWPAP,
TRADP, the Asia-Pacific Economic Cooperation Forum (APEC), Fisheries Marine Resources
Conservation Working Groups, and the GEF/UNDP/IMO East Asia Seas project. These pre-existing
institutional structures will play a crucial role in the development of a SAP, by providing the umbrella
agreements between the countries under which specific cooperative activities may be planned and
implemented.
INSTITUTIONAL ISSUES
43.
The present project will build upon the institutional and programmatic framework put in place by
the UNEP Regional Seas Programme's Northwest Pacific Action Plan (NOWPAP) and the environmental
Memorandum of Understanding between the five member countries of the Tumen River Area
Development Project (TRADP). The project supports and operationalizes, for the Yellow Sea, several
elements of NOWPAP. The NOWPAP Action Plan states, "The implementation of the Action Plan will
comprise a number of projects running in parallel." In essence, the present GEF Project can be
considered as one of these parallel projects, as can the East Asia Seas GEF Project (EAS), which focuses
on demonstration projects for Coastal Zone Management. The present GEF project can contribute to and
benefit from several of the NOWPAP proposed regional activity centres, including Regional Marine and
Coastal Information System; Monitoring and Assessment of Marine, Coastal and Associated Freshwater
Environments; and the Biodiversity and Specially Protected Areas. The present project has little focus on
Marine Pollution Preparedness and Response, so NOWPAP will have the lead here. The East Asia Seas
GEF Project has two demonstration projects in the YSLME: one in the Bohai Sea of PRC, and one at
Nampo in DPRK. The YSLME GEF Project will retain close contacts with each of these existing
programmes, perhaps sharing some common Steering Committee members. In addition, the present
project will liaise closely with other regional efforts, including the proposed GEF Project on Wetland
Biodiversity Conservation and Sustainable Use in China (one site of which, Yancheng Coast, is on the
Yellow Sea), the existing GEF Project on the Tumen River (Preparation of Strategic Action Programme
(SAP) and Transboundary Diagnostic Analysis (TDA) for the Tumen River Area, its coastal regions and
related Northeast Asian Environs), and the GEF Ballast Water Project (which has a Pilot Demonstration
Project In Dalian, PRC, within the YSLME). Other related projects include the NEAR-GOOS (North-
east Asian Region Global Ocean Observing System), and other IOC/WESTPAC activities. Finally, the
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project will have close cooperation with the proposed Medium-sized project Biodiversity Management in
the Coastal Area of DPRK's West Sea, which has been submitted for approval.
44.
Though the DPRK presently has declined full participation in the YSLME GEF project, efforts
will continue to incorporate their participation when the DPRK elects to join in the activities. Meanwhile,
the DPRK MSP provides a complementary activity that will benefit the YSLME.
45.
The focus of the YSLME project on sustainable fisheries management and reducing stress to the
ecosystem provides an opportunity for exploring how this GEF project can further national and regional
commitments to certain international conventions and agreements, such as the United Nations Convention
on the Law of the Sea (UNCLOS), the FAO Code of Conduct for Responsible Fisheries, and the Global
Programme of Action for the Protection of the Marine Environment from Land based Activities (GPA).
RATIONALE AND OBJECTIVES
LONG-TERM OBJECTIVES
46.
The long-term development/environment objective (Level 1) of the project is: ECOSYSTEM-
BASED, ENVIRONMENTALLY-SUSTAINABLE MANAGEMENT AND USE OF THE YSLME AND ITS
WATERSHED: REDUCING DEVELOPMENT STRESS AND PROMOTING SUSTAINABLE
DEVELOPMENT OF THE ECOSYSTEM FROM A DENSELY POPULATED, HEAVILY URBANIZED,
AND INDUSTRIALIZED SEMI-ENCLOSED SHELF SEA
47.
In order to achieve this objective, the purpose of this project (Level 2) will be to prepare a
Transboundary Diagnostic Analysis (TDA), National Yellow Sea Action Plans (NYSAPs), and a regional
Strategic Action Programme (SAP). This project will also initiate and facilitate the implementation of the
SAP. The SAP will consist of a series of legal, policy and institutional reforms and investments to
address the priority transboundary issues identified in the TDA/SAP/NYSAP formulation process.
48.
The preparation of the TDA will be based on the preliminary TDA undertaken during the
preparatory phase of this project. The TDA will be used as a basis for focusing on the threats, their root
causes and the sectoral activities that endanger the critical ecosystem of the YSLME to implement
selected components of the SAP, as appropriate. The SAP will identify priority actions to be taken by the
participating countries to restore and preserve the YSLME. The SAP will adopt a comprehensive
approach and will address land and sea-based sources of marine pollution, degradation of critical habitats
and over-fishing.
49.
The SAP will be developed in cooperation with the National Yellow Sea Action Plans which will
be the National Plans focusing on Yellow Sea issues, both national and transboundary. The SAP and
NYSAPs will be developed concurrently, with the SAP flowing naturally from the NYSAPs.
50.
The SAP will fully assess the impact of economic growth in the region, map out alternative
development scenarios which protect global environmental resources, and will enable the riparian states
to reach a consensus on priorities, targets, programmes and projects to protect the shared resources of the
YSLME. The SAP will include an estimation of the required financial resources and a strategy to
mobilize these resources. GEF project proposals to implement selected transboundary elements of the
SAP will be prepared using the incremental cost approach. The SAP is expected to play a key role in
ensuring that global environmental benefits are provided in tandem with facilitating sustainable and
environmentally sound economic development in the area over the coming decades.
51.
The preparation of the SAP will be carefully designed to ensure that the SAP is action-oriented,
locally owned, government supported, sustainable, and responsive to the local conditions. This, and the
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close attention to be paid to mobilizing resources to the SAP, will ensure that it is implemented and not
stored on shelves. As a first step for the formulation of the TDA and SAP, the project will strengthen
existing mechanisms for regional cooperation in regional, national and local bodies and develop their
capacity for project identification, formulation and management. It will also immediately compile, from
existing sources, a comprehensive database on international waters and biodiversity in the region and
support an in-depth study on environmental research systems and information systems in the area.
52.
The project will rely on a strong participatory approach to formulate the SAP and NYSAPs. A
series of consultation meetings will be held at the local and grassroots levels to identify environmental
priorities, generate and validate information and ensure widespread support to the approaches proposed in
the SAP and NYSAPs. An awareness-raising programme on transboundary environmental issues will be
carried out parallel to the TDA preparation and this will foster local support for the preparation and
implementation of the SAP and NYSAPs.
53.
In addition to providing global environment benefits and shaping the development of the region
into the next century, the capacity built under the project will be of general use to development and
environmental management in the region. In particular, the capacity to cooperate effectively on a
regional level will be useful for all future environmental initiatives involving two or more of the
concerned countries. Moreover, the databases developed under the project will be of use to many local,
national and regional initiatives in both the environmental and economic spheres.
54.
Following completion of the TDA, NYSAPs, and SAP, this Project will initiate and facilitate the
Implementation of the SAP. Previous experience in GEF IW Projects has shown that a Project focusing
solely on TDA, NAP, and SAP will likely leave a significant time lag between formulation of the SAP
and its implementation, thereby reducing regional ownership and government commitment. To avoid this
problem the present project also proposes to initiate and facilitate the SAP implementation process in the
Region.
RATIONALE FOR GEF FINANCING
55.
The present project is consistent with the GEF Operational Strategy of April 1996, specifically
with the GEF's strategic emphasis on International Waters and Biodiversity, as well as the April 1997
GEF Operational Programme 8 for water-body based large marine ecosystems. The project will
incorporate the priorities delineated in the relevant environmental agreements to which any or all of the
participating countries are involved.
56.
The proposed project will help the riparian countries of the YSLME to overcome institutional and
other barriers to collaboration and help them to identify and resolve the priority transboundary
environmental concerns identified in the TDA and SAP processes. The proposed project coordinates
among implementing agencies, regional development banks, countries, and other stakeholders, and
generates programmatic benefits for the global environment that would not otherwise be achievable.
57.
GEF funds will support the identification and ultimate mitigation of transboundary issues that
would be neglected if addressed only from a national perspective. The TDA and SAP will involve
international donors, national and local governmental institutions, industries, and other key stakeholders
that have important actions to take in restoring and protecting the YSLME environment.
58.
The GEF International Waters Operational Programme referred to above emphasizes
"institutional building ... and specific capacity-strengthening measures so that policy, legal and
institutional reforms can be enacted in sectors contributing to transboundary environmental degradation."
This project supports institutional capacity building for long-term regional cooperation as well as helping
to strengthen regional capacities in environmental management, monitoring of priority pollutants, public
awareness and preservation of transboundary living resources.
- 9 -
59.
The development of the TDA and SAP for YSLME will further GEF goals for waterbody-based
international waters operational programmes by:
· Providing a conceptual and planning framework within which enabling activities consistent with
national and regional priorities may be implemented;
· Designing a sustainable institutional structure that is regional or supranational in scope, thereby
ensuring global, local, and national environmental benefits;
· Promoting a rigorous scientific monitoring and assessment programme in the YSLME in order to
reduce the uncertainty involved in management and policy making;
· Utilizing collaborative TDA, SAP and NYSAP formulation; and
· Stakeholders analysis and involvement.
60.
The project formulation includes improvements made in response to GEF comments made at the
PDF stage:
· Acknowledgement of the role or Interministerial Committees, particularly for SAP implementation;
· Funding has been allocated for stakeholder identification;
· Funding has been set aside for the DPRK to foster their involvement at an appropriate pace; and
· The project will liaise closely with the GEF East Asian Seas project which has two pilot sites in the
YSLME, as a vehicle to replicate the successful Xiamen ICM experience. The present project takes a
complementary LME management approach to address specific YSLME transboundary issues of
fisheries and pollution. Together, the EAS and YSLME approaches will present a powerful model
for replication in the region.
61.
The project was formulated with international conventions and practices in mind, including the
United Nations Convention on the Law of the Sea (UNCLOS), the FAO Code of Conduct for Responsible
Fisheries (CCRF), and the Global Programme of Action for the Protection of the Marine Environment
from Land-based Activities (GPA). Details of mechanisms of interaction and relationships with the GPA,
CCRF, and UNCLOS will be provided in the Project Document.
ACTIVITIES
62.
The following tables list the major immediate objectives of the project, as well as the major
ouptuts. The specific activities relating to the objectives and outputs are listed in Annex D.
63.
The specific project Activities were derived from a series of meetings and consultations with the
Region. During a Regional Stakeholders' Workshop, held in October, 1999, in the ROK, the Preliminary
Transboundary Diagnostic Analysis was discussed and improved. During this process, the Major
Perceived Problems of the Yellow Sea were identified. Though there were discussions on some items,
the list of Problems was derived on the consensus principle. Once the Major Perceived Problems were
identified, the Root Causes were agreed upon. Associated with each Root Cause was a list of specific
features of the root cause that clarified the different aspects that contribute to the Perceived Problem.
Finally, based on this list of Perceived Problems and Root Causes, the Priority Areas for Future
- 10 -
Intervention were developed, grouped into 5 major categories. Following this process, the Steering
Committee then ranked each of the Intervention areas in terms of their priority within the region, and in
terms of their transboundary importance.
64.
Once the above process was completed, a second regional meeting identified specific Activities
that could be implemented as part of the GEF Intervention, to assist the Region in addressing the
Perceived Problems and Root Causes. These Activities are presented below as optional Annex D, and
form the basis for the GEF Intervention. The project budget is based on the Activities of optional Annex
D, which provides in much greater detail the specific actions that will be taken to approach the major
perceived problems and root causes.
65. Four major Immediate Objectives were developed for the Project based on the areas of
intervention identified. These major objectives have associated outputs, components, and activities.
Immediate Objectives and Components are:
I. Develop Regional
II. Propose and
III. Propose and
IV. Develop and Pilot
Strategies for
Implement Effective
Implement Actions to
Regional Institution and
Sustainable Management Regional Initiatives for
Reduce Stress to the
Capacity Building
of Fisheries and
Biodiversity Protection
Ecosystem
Initiatives
Mariculture
I.A Stock assessment
II.A Habitat conservation
III.A Stressors to
IV.A Stakeholders
ecosystem
involvement
I.B Carrying capacity in
II. B Vulnerable species
III.B Carrying capacity of IV.B Regional
fisheries and mariculture
ecosystem
coordination
I.C Mariculture
II.C Genetic diversity
III.C Contaminant inputs
IV.C National institutions
production
I.D Disease in mariculture II.D Introduced species
III.D Contaminant levels
IV.D Financial
instruments
I.E Regional Fisheries
II.E Biodiversity
III.E HABs and Emerging IV.E Data and
agreements and National
regulations
disease
information management
laws
I.F Fisheries Management II.F Regional Biodiversity III.F Hot spots analysis
IV.F Public awareness
plan
assessment and regional
and participation
Biodiversity Action Plan
III.G Emergency planning
and preparedness
III.H Legal and regulatory
III.I Fate and transport
analysis to facilitate SAP
analysis
66.
The first Immediate Objective, Develop Regional Strategies for Sustainable Management of
Fisheries and Mariculture, addresses the need for sustainable fisheries management and fisheries
recovery plans agreed on a regional basis. The second Immediate Objective, Propose and Implement
Effective Regional Initiatives for Biodiversity Protection, addresses the need for coordinated regional
action to preserve globally significant biodiversity. The third Immediate Objective, Propose and
Implement Actions to Reduce Stress to the Ecosystem, Improve Water Quality and Protect Human
Health, addresses the YSLME as a marine ecosystem, and develops management practices based on an
understanding of ecosystem behavior, the very basis for the Large Marine Ecosystem Concept. The
fourth Immediate Objective, Develop and Pilot Regional Institutional and Capacity Building
Initiatives, focuses the intervention on the required national and regional institutional and capacity
building and strengthening, on the preparation of investment portfolios, and on coordination of
preparation of the TDA, NYSAPs, and YSLME SAP.
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67.
One important component under Immediate Objective IV is Financial Instruments (Component
IV.D in Annex D.) This Component Activity is particularly critical to developing a sustainable
framework for the YSLME. It includes elements of a Priority Investment Portfolio (training in
environmental project identification and preparation, pre-feasibility studies for PIP creation, and assessing
other mechanisms for financial sustainability.) This Component also includes a matched small grants
program for PIP purposes, as well as for early SAP implementation.
68.
Amongst the lessons learned from previous international waters projects is that the
TDA/NAP/SAP phase is often followed by a period of inactivity as the interventions required to assist in
SAP-implementation are slow to materialize. In order to provide a seamless segue from the
TDA/NAP/SAP process into the SAP implementation phase, the present YSLME project is developed to
include initial facilitation for the SAP implementation process. This proposal provides a bridging period
during which the SAP implementation would be initiated, allowing transition to full national
implementation responsibilities for the SAP. This bridging period permits time for the GEF incremental
interventions to be formalized and funded. Thus, this YSLME project presents a novel solution to lessons
learned from some previous IW projects, thereby reducing risk to the success of the GEF intervention.
69.
The Activities for each component and sub-component are divided into these three phases, based
on the approach outlined above:
I. Assessing stress to the ecosystem/TDA: This phase leads directly to the TDA, and is
comprised of capacity building, assessments, and reviews of existing knowledge, combined with
judicious and limited filling-in of the major gaps in knowledge.
II. Reducing stress to the ecosystem/NYSAP & SAP: This phase leads to definition of actions
that will be undertaken as part of the NYSAPs and SAP formulation. This phase will include
development of management plans, agreements, strategies, and demonstration projects.
III. SAP Implementation and facilitation: This two-year final phase of the project is focused on
facilitation of the implementation of the SAP, including demonstration projects and coordination. The
segue from SAP approval to SAP implementation is a critical juncture: one that if not facilitated may lag
in time, reducing effectiveness, government commitment, and urgency to address the environmental
issues. The decision to include a post-SAP implementation phase to this GEF project was made based on
lessons learned from other IW GEF Projects which suffered such a lag (e.g., Black Sea Environment
Programme). The SAP implementation phase, therefore, is a bridging period to assist the countries and
the region to implement the activities of the SAP. In other words, the SAP implementation phase will
assist legal, policy and institutional reforms and investments to address sectoral causes of transboundary
issues. The Interministerial Coordination Functions will be responsible for SAP implementation in each
country.
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TABLE <1> PROJECT COMPONENTS AND ACTIVITIES
Immediate Objective /
ACTIVITIES
Major Outputs
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
Objective I: Develop Regional
Strategies for Sustainable
Management of Fisheries, and
Mariculture
Expected Outputs:
Knowledge of fishery stocks/legislation and
Common methodologies and management
Demonstration projects piloted.
regulations summarized
plans developed
Objective II: Propose and
Implement Effective Regional
Initiatives for Biodiversity
Protection
Expected Outputs:
Biodiversity status summarized.
Regional Biodiversity Strategy drafted.
Implementation of Regional
Biodiversity Strategy started.
Objective III: Propose and
Implement Actions to Reduce
Stress to the Ecosystem,
Improve Water Quality and
Protect Human Health
Expected Outputs:
Date collected and regional assessments
Regional Strategy drafted (which contains
Implementation of Strategy started.
performed.
priorities and monitoring system).
Objective IV: Develop And
Pilot Regional Institutional And
Capacity Building Initiatives
Expected Outputs:
Create network for institutions and individuals.
Develop strategy for participation,
Implement a sustainable, regional
coordination, and awareness.
program for cooperation,
coordination, and management.
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RISKS AND SUSTAINABILITY
70.
The possible political risks are greatly minimized as the present political climate and economic
achievements in the region are in favor of environmental protection and sustainable use of marine and
coastal resources. The project, in fact, responds to the common environmental concerns of the countries
in the region. Compared with other IW projects addressing similar sized water bodies, the risks may be
smaller in the YSLME, due to the small number of countries participating. Only three countries border
the YSLME, so legal, policy, and institutional reforms may be easier to implement than in many other IW
projects, where anywhere from five to 16 countries participate. Regional reforms with large numbers of
countries inherently present larger risks.
71.
During the last several years the countries have demonstrated a willingness to co-operate in
matters relating to the environment of the Yellow Sea both through bilateral programmes; through active
participation in regional programmes including NOWPAP, Tumen River Area Development
Programme(TRADP: including the GEF-funded SAP/TDA for the Tumer River Area), the GEF Ballast
Water Project (with a pilot site in Dalian), and the GEF/UNDP/IMO East Asian Seas Project (having two
demonstration sites in the YSLME: one at Nampo, DPRK, and the second in the Bohai Sea). There is
increasing recognition that the benefits resulting from co-operative actions in managing the environment
of the Yellow Sea are not dependent on a resolution of the unresolved issues, hence the risks of potential
disruption to the project seem likely to be minimized.
72.
A substantial proportion of the assured co-financing by governments is derived from the existing
staff and recurrent budgets of the involved ministries and government departments. It is anticipated that
project activities will strengthen the influence of these ministries at a national level and hence encourage
substantial increases in the recurrent budgets of the departments concerned in the future. The countries
already contribute financially to regionally coordinated actions and such contributions are anticipated to
increase as a consequence of this project.
73.
Regarding the sustainability of activities and components beyond the life of the project, a number
of the proposed activities during the first three years of the project are preparatory in nature with a defined
life span. The need for such actions reflects the inadequacy of the present data and information available
to assess priorities in a totally objective manner. In elaborating the data and information in parallel with
refining the SAP, mechanisms will be put in place that require minimal recurrent inputs at the national
level to ensure their continued operation beyond the life of the project. It is anticipated that the regional
framework for co-operation will be strengthened through undertaking this project, such that the recurrent
costs of subsequent regional co-ordination will be met from within the region. The SAP facilitation
bridging period (essentially years 4 and 5) is intended to smooth the transition from the SAP formulation
to the SAP implementation phase.
GOVERNMENT COMMITMENT
74.
Each of the two participating countries has developed a legal and institutional framework for
nature conservation and control of environmental degradation and pollution (see Preliminary TDA,
Annex E). Both countries are signatories of international conventions to protect biodiversity,
international waters and wetlands, among others. These international commitments are reflected in
national policies and legal arrangements. Through active participation in the formulation process for this
project, the participating governments have demonstrated their strong commitment to taking part in the
SAP preparation process and to implementing joint strategies and activities to protect common
ecosystems and resources. The existing Interministerial Coordination Function will be responsible for
coordinating SAP and NYSAP implementation in each country.
14
FINANCIAL SUSTAINABILITY
75.
Potential donors will be involved in all stages of the SAP formulation process to ensure that the
SAP is responsive to donor requirements. In addition, the SAP will include a detailed financing strategy.
The strategy will determine traditional and innovative mechanisms (inter-governmental, governmental,
non-governmental, private and financial institutions) for financing the priority activities identified in the
SAP. Sub-component IV.D (Financial Instruments) will focus on identifying these mechanisms from the
outset of the project. In particular, the role of the private sector towards long-term sustainability will be
explored.
STAKEHOLDER PARTICIPATION AND IMPLEMENTATION ARRANGEMENTS
76.
The approach to information gathering and planning to be utilized in the project assures the
participation of all stakeholders concerned. Activities planned early in the GEF project are directed
towards stakeholder participation. At all points, wide consultation and extensive participatory workshops
will be encouraged. The project is designed to ensure the active participation of the following stakeholder
groups (see Optional Annex F):
· Respective Governments of the two participating countries, at national and local levels;
· Local communities and populations in the respective areas;
· Scientific
Community
· Representatives of civil society, represented by NGOs and other groups of interest (professional
associations, syndicates, etc.); and
· Representatives of the donor community, represented by the implementing agencies and other
international cooperation organizations.
· Private
Sector
77.
Driven by the governments of the PRC and ROK, this project is a regional and national priority in
the PRC and ROK, and is consistent with their national environmental policies. The countries have fully
demonstrated their willingness to cooperate in the area of regional environmental protection and
management by endorsing NOWPAP, initiating various national marine environmental programmes, and
participating in regional GEF environmental projects such as the TDA and SAP for the Tumen River
Area and the GEF/UNDP/IMO East Asian Seas Project.
78.
DPRK has demonstrated their willingness to cooperate in regional environment initiatives
through their active involvement in the TDA and SAP for the Tumen River Area project, East Asian Seas
Project, and NOWPAP. Protection of the Yellow Sea is also a priority to DPRK and the government has
indicated DPRK may participate in the project at a later date. Full provisions are made for their possible
participation. There is a regional recognition that UNDP should work diligently to include the Democratic
People's Republic of Korea (DPRK) into the Project. The past efforts on UNDP's behalf are recognized,
but the region urges continued progress in this matter.
79.
Representatives of numerous institutions from PRC and ROK have actively participated and
greatly contributed to the success of the PDF-B phase of the project. All of them strongly endorsed the
present project proposal and will cooperate and contribute to the implementation of the full phase of the
project. Among the many participating institutions are:
People's Republic of China:
· UNDP/PRC
· State Oceanic Administration, Beijing
· First Institute of Oceanography (SOA), Qingdao
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· Yellow Sea Fisheries Institute, Ministry of Agriculture, Bureau of Fisheries, Qingdao
· Chinese Academy of Science
· Ministry of Agriculture, Bureau of Fisheries
· State Environmental Protection Administration
Republic of Korea:
· UNDP/ROK
· Korea Ocean Research and Development Institute (KORDI)
· Korea Maritime Institute (KMI)
· Ministry of Maritime Affairs and Fisheries (MOMAF)
· Ministry of Foreign Affairs and Trade (MOFAT)
· Ministry of Environment
· National Fisheries Research and Development Institute
80.
This wide participation of stakeholders will ensure that they not only understand and support the
SAP, but will ensure their commitment to its implementation. The Public Involvement Plan Summary in
Annex E provides further details of stakeholder participation under project implementation.
PROGRAMME IMPLEMENTATION AND INSTITUTIONAL FRAMEWORK
Regional Institutions
81.
The YSLME Steering Committee was composed during the PDF-B phase of representatives of
the YSLME member countries and International Partners. Selected observers may be added at the
discretion of the Steering Committee.
82.
The Steering Committee for the Programme will be responsible for approving strategic decisions
and annual workplans, setting program direction, reviewing progress, and identifying new and additional
funding. Representatives of private sector and other organizations that contribute to the YSLME would be
encouraged to participate in the Steering Committee. The Steering Committee will provide policy-level
liaison to national governments, through Intersectoral Coordination in each country, regarding
implementation of the program on the country level, and will provide direction to the Programme
Coordination Unit (PCU) regarding preparation of the Yellow Sea Strategic Action Programme (SAP).
83.
The Strategic Management Advisory Committee (SMC) would provide national inputs into high
level management and administration issues, at an operational level. Rather than rely on the Steering
Committee for national input, a working regional management advisory committee will provide that
continued national input, and may serve as a mechanism for long-term sustainability of the project.
Intersectoral coordination can be encouraged actively be the SMC.
84.
The Project Coordination Unit, once formed, would provide a coordination and management
structure for the development and implementation of the Yellow Sea Project in accordance with the rules
and procedures of GEF/UNDP consistent with directions provided by the Steering Committee. Specific
attention will be given to the development of a regional intersectoral coordination initiative so as to fully
involve different government ministries and the private sector, as well as other Stakeholders, in the
Project. This regional intersectoral coordination function will liaise closely with those national
institutions and agencies which have been designated responsibility for such intersectoral coordination
(see National Institutions below). The location of the PCU is under discussion. Both PRC and ROK have
- 16 -
offered to house the PCU. Negotiations are underway to decide the location of the PCU, and the
Chairmanships of the Working Groups (see below).
85.
Regional Thematic Working Groups will be responsible for: development of a work plan and
implementation of activities in respective thematic areas; regional coordination within area of
competency; development of relevant regional recommendations; providing guidance and strategy within
area of competency; providing assistance in development of the TDA; and providing assistance in
development and implementation of the National Yellow Sea Action Plans (NYSAPs) and Strategic
Action Programme (SAP). The Working Groups (WG) will be formed from the representatives from the
participating countries nominated by their governments. The chair person of each WG will be nominated
by respective governments.
National Institutions
86.
National Government Focal Point Agencies:
For the PRC, the State Oceanic Administration (SOA) is the National Government Focal Point. For the
ROK, the Korea Ocean Research and Development Institute (KORDI) is the Focal Point Agency.
87. The National Government Focal Point Agencies (NGFPA) have established their Interministerial
Coordination Committee and provide guidance and ensure coordination of a wide range of National
institutions and organizations directly responsible for the development and implementation of the
Programme at the National level.
88.
During the PDF-B the Interministerial Coordination Committees were established in both PRC
and ROK. In PRC the Interministerial Coordination Committee consists of three policy organizations and
four implementation agencies:
Ministry of Foreign Affairs (MFA)
Ministry of Finance (MOF)
Ministry of Science and Technology (MOST)
State Oceanic Administration (SOA)
State Environmental Protection Agency (SEPA)
Ministry of Communications (MOC)
Ministry of Agriculture, Bureau of Fisheries (MOA/BF)
89.
The Committee is led by a Deputy Administrator of SOA, which is the National Focal Point for
the YSLME Project. The Committee supports the YSLME, and will meet periodically according to the
demands of the Project.
90.
The ROK established its Interministerial Coordinating Committee in 1999 also. The Committee
consists of eight members:
Ministry of Foreign Affairs and Trade (MOFAT)
Ministry of Marine Affairs and Fisheries (MOMAF)
Ministry of Environment (MOE)
Ministry of Science and Technology (MOST)
National Fisheries Research and Development Institute (NFRDI)
Korea Maritime Institute (KMI)
Korea Ocean Research and Development Institute (KORDI)
UNDP/Seoul
91.
The National Focal Point for the YSLME Project is MOFAT.
- 17 -
Project Implementation
92.
The UN Office for Project Services (UNOPS) served as Executing Agency during the PDF-B
phase and will continue to serve as Executing Agency for the Project. UNOPS will coordinate overall
execution of the respective project components.
93.
Discussions have been initiated with the Asian Development Bank to solicit their assistance in the
Priority Investment Portfolio component of this project. The ADB has indicated their willingness to
discuss ADB execution of that portion of the project, probably through an Interagency Agreement with
UNOPS. The ADB would execute all aspects of Component IV.D, except the matched small grants
programme.
INCREMENTAL COSTS AND PROJECT FINANCING
94.
The main focus of the project is to enable the region to undertake integrated ecosystem
management approaches to addressing regional/transboundary 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 largely sectoral in
approach, while existing regional environmental programs remain at the planning or information
gathering stage.
95.
The project financing, broken out by objective and component, is laid out in Table 1. The
baseline activities are funded at a level of approximately $162 million. The alternative is identified as
$184 million. The increment of about $22 million will be co-financed by the governments ($8.9 million)
and GEF ($13.3 million plus project support costs.) The increment is directed towards achievement of
global benefits.
96.
In addition to this baseline and government co-financing, ongoing activities by UNDP in the
region will contribute to the YSLME programme. In particular, UNDP funding for a "Marine
Environmental Survey of the Yalu River" ($650,000), plus UNDP co-financing of the EAS project
including an ICM demonstration site in DPRK, brings a total co-financing from UNDP of approximately
$1.388 million. Objectives 1,3,6,7, and 10 of the EAS project will contribute directly to the goals of the
YSLME project.
- 18 -
<Table 1> Objective / Component Financing
Objective
Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
I. Develop
A. Stock Assessment
16,130,873 18,839,445 1,062,500 1,646,072
Regional
B. Carrying Capacity in Fisheries and Mariculture
963,855
1,270,497
80,000 226,642
Strategies for
C. Mariculture Production
58,579,267 59,715,762
963,855 172,640
Sustainable
D. Disease in Mariculture
446,747
567,497
N/A
120,750
Management of
Fisheries, and
E. Regional Fisheries Agreements and National Laws
45,833 121,583
N/A 75,750
Mariculture
F. Fisheries Management Plan
N/A
75,000
N/A
75,000
Total ROK
59,764,166
1,142,500
Total PRC
16,402,409
2,722,891
Total Objective
76,166,575
82,348,820
3,865,391
2,316,854
II. Propose and A. Habitat Conservation 14,754,821
15,056,233
N/A
301,412
Implement
B. Vulnerable Species
N/A
155,600
N/A
155,600
Effective
C. Genetic Diversity 2,561,666
2,910,666
N/A
349,000
Regional
D. Introduced Species
N/A
217,368
N/A
217,368
Initiatives for
Biodiversity
E. Biodiversity Regulations N/A
121,410
N/A
121,140
Protection
F. Regional Biodiversity Assessment & Regional Biodiversity Action Plan
602,410 708,170
N/A 105,760
Total ROK
16,111,668
0
Total PRC
1,807,229
1,759,036
Total Objective
17,918,897
20,928,213
1,759,036
1,250,280
III. Propose and A. Stressors to Ecosystem 21,751,544
21,913,684
N/A
162,140
Implement
B. Carrying Capacity of Ecosystem
N/A
908,760
480,000 428,760
Actions to
C. Contaminant Inputs
36,667
198,079
N/A
161,412
Reduce Stress to D. Contaminant Levels
11,879,478
12,299,798
320,000 100,320
the Ecosystem,
E
Improve Water . Harmful Algal Blooms and Emerging Disease
11,224,759
11,383,399
N/A
158,640
Quality, an F. H
d ot Spots Analysis
7,794,608
8,093,888
N/A
299,280
Protect Human G. Emergency Planning and Preparedness
155,000
306,320
N/A
151,320
Health
H. Legal and Regulatory
33,333
113,093
N/A
79,760
I Fate and Transport Analysis to Facilitate SAP Analysis
1,440,612 1,793,452
N/A
352,840
Total ROK
13,809,977
800,000
Total PRC
40,506,024
1,759,036
Total Both Objective
54,316,001
58,769,509
2,559,036
1,894,472
19
<Table 1> Objective / Component Financing (Continued)
Objective
Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
IV. Develop an A. Stakeholders Involvement
d
N/A
316,500 N/A
316,500
Pilot Regiona B. R
l egional Coordination
187,500
3,374,791
N/A
3,187,291
Institutional and C. National Institutions
963,855 2,094,477
650,602
480,020
Capacity
D. Financial Instruments
N/A
3,007,840
N/A
3,007,840
Building
Initiatives
E. Data and Information Management
734,362
1,197,892
80,000
383,530
F. Public Awareness and Participation
11,776,667
12,267,827
N/A
491,160
Total ROK
12,180,457
80,000
Total PRC
1,481,927
650,602
Total Both Objective
13,662,384
22,259,327
730,602
7,866,341
Total 162,063,857
184,305,869 8,914,065 13,327,947
PDF-B: 349,650 US$
Project Support Costs: 1,066, 236 US$
Total Project Costs: 14,743,833 US$
- 20 -
MONITORING, EVALUATION AND DISSEMINATION
95.
Project objectives, sub-components and emerging issues will be regularly reviewed and evaluated
at annual meetings of the Project Steering Committee. The project will be subject to the various
evaluation and review mechanisms of UNDP, including PPER (Project Performance and Evaluation
Review), TPR (Tri-partite Review), mid-term Independent Evaluation and an external Evaluation and
Final Report prior to the termination of the project. The project will also participate in annual PIR
(Project Implementation Review) exercise of the GEF.
96.
In addition, standard GEF indicators for monitoring and evaluation purposes will be developed
during the project for application in subsequent stages of the Yellow Sea LME and monitoring SAP
implementation. They will consist of process indicators, stress reduction indicators, and environmental
status indicators.
97.
This project will be involved from the start in the new GEF International Waters Learning
Exchange and Resource Network (IW: LEARN) program. IW: LEARN is a distance education program
whose purpose is to improve global management of transboundary water systems. IW: LEARN will
provide structured interactive conferencing capacity across the portfolio of GEF International Waters
projects which will allow participants to share learning related to oceans, river basins, and coastal zone
management. For environmental professionals working on GEF-financed projects, IW: LEARN will
greatly expand opportunities for peer-to-peer consultation, collaborative research with physically distant
colleagues, opportunities to exchange best practices and training modules among projects, and the
delivery of short courses.
98.
The project design includes the communication of all project findings to concerned and interested
parties. Many activities in the project target the two-way communication of information. These include
consultation meetings, awareness campaigns, conferences with regional and donor governments, and
Internet connections. These activities, in addition to standard GEF, UNDP, and executing agency
procedures will assure an effective and wide dissemination of project findings.
21
LIST OF ANNEXES
Required Annexes:
Annex A
Incremental Cost Annex
Annex B
Logframe Matrix
Annex C
STAP Roster Technical Review
Annex C1
Response to STAP/IA comments
Optional Annexes:Annex D
Detailed List of Activities
Complete listing of specific activities within each Component and Sub-component, based
on regional prioritization of environmental issues.
Annex E
Preliminary transboundary diagnostic analysis
Preliminary analysis of the transboundary environment issues facing the Yellow Sea
Large Marine Ecosystem, based largely on the National Reports from the countries.
Lacking are complete and complementary data which will be produced during the TDA
process.
Annex F
Public Involvement Plan Summary
Summary of how various Stakeholders will be involved in the YSLME, including
governance, management, and implementation, along with reference to the major
Objectives/Components where their participation is identified.
Annex G
Baseline Activities and co-financing
Based on input from the PRC and ROK, as well as UNDP, the baseline and co-financing
were identified to assist in the Incremental Cost Analysis.
Annex H
List of Publications Prepared During the PDF-B
Published materials available from UNDP describing the process and steps taken to
develop the Preliminary TDA, the Project Brief, and the Project Document.
Annex I
Institutional Arrangements
Schematic of the Implementation structure for the YSLME, including governance,
management, regional activities, and national activities
Annex J
Copies of GEF Operational Focal Point Endorsement letters
World Bank User
M:\RAMON\WP3-2000\UNDP\YELLOWSEA\Yellow Sea Project FINAL 3-31-00.doc
4/5/00 3:36 PM
- A-1 -
ANNEX A INCREMENTAL COST ANALYSIS
Broad Development Goal
A1.
Three countries share the natural heritage of the Yellow Sea, the Democratic People's Republic
of Korea, People's Republic of China, and Republic of Korea. Despite their political and social diversity,
the people of the region share a common concern for the Yellow Sea. Today the Yellow Sea faces serious
environmental problems, many of a transboundary nature, that arise from anthropogenic causes. The
countries of the region are confronting difficult economic and administrative adjustments that complicate
environmental management and natural resource protection efforts. The three littoral countries share
common problems with pollution abatement and control from municipal and industrial sites in the Yellow
Sea basin, as well as contributing non-point source contaminants from agricultural sources. All of the
them are urgently seeking to address problems of reduced fish catches, caused in part by overfishing,
harmful algal blooms, and degradation of coastal habitats, caused by intensive coastal development and
effects of climate variability on the Yellow Sea Large Marine Ecosystem. The major perceived problems
of the Yellow Sea LME can be summarized as follow:
· Decline of commercial fisheries;
· Degradation of biodiversity, loss of coastal habitats, loss or imminent loss of endangered species and
their genomes;
· Water quality deterioration;
· Unsustainable mariculture;
· Poor or unsatisfactory human health quality, unsanitary conditions in many beaches and bathing
waters, contaminated fish and sea products;
· Harmful algal blooms (emerging disease); and
· Inadequate capacity to assess ecosystem.
A2.
The broad development environmental goal of this project is to ensure environmentally-
sustainable management and use of the YSLME and its watershed by reducing development stress
and promoting sustainable exploitation of the ecosystem from a densely populated, heavily
urbanized, and industrialized semi-enclosed shelf sea.
Baseline
A3.
The Yellow Sea LME is an important global resource. This international waterbody supports
substantial populations of fish, invertebrates, marine mammals, and seabirds. Many of these resources are
threatened by both land and sea-based sources of pollution and habitat loss resulting from extensive
economic development in the coastal zone, as well as by the unsustainable exploitation of natural
- A-2 -
resources. Additionally, there is significant international shipping traffic through the waters of the Yellow
Sea. Constraints in legislation and setting of environmental standards, inadequate scientific data exchange
and lack of public awareness and participation in planning process hinder efforts at both the national and
regional levels. Each participating country is implementing its own environmental protection
programmes. However, the single-country approach is not sufficient to achieve global environmental
benefits in the region.
A4.
The Yellow Sea riparian countries have to decide how to adjust national initiatives to be
compatible with emerging international legal and technical obligations, or, conversely, the extent to
which each state wishes to ignore or deviate from international practice.
A5.
There is also a lack of a formal infrastructure to bring about international collaboration and
cooperation in monitoring and research activities that would delineate the spatial distribution of a
contaminant and its subsequent effects in the Yellow Sea and whether it would cross geopolitical
boundaries. The lack of a formal structure prevents the development of well-coordinated, cooperative
baseline studies and coordination in emergencies (such as a spill of oil or of other toxic and hazardous
materials). Monitoring and research programs are not as effective as they should be because they stop at
some governmental border, rather than at ecosystem or natural boundaries. Effective studies of
transboundary contamination require excellent coordination, cooperation, and synchronization of
sampling to enable effective analysis, integration, and interpretation of data across a region.
A6.
During the last several years the countries have demonstrated a willingness to co-operate in
matters relating to the environment of the Yellow Sea both through bilateral programmes; through active
participation in regional programmes including NOWPAP, Tumen River Area Development Programme
(TRADP: including the GEF SAP/TDA for the Tumer River Area), the GEF Ballast Water Project (with a
pilot site in Dalian), and GEF/UNDP/IMO East Asian Seas Project (having two demonstration sites in the
YSLME: one at Nampo, DPRK, and the second in the Bohai Sea).
A7.
A substantial proportion of the assured co-financing by governments is derived from the existing
staff and recurrent budgets of the involved ministries and government departments. It is anticipated that
project activities will strengthen the influence of these ministries at a national level and hence encourage
substantial increases in the recurrent budgets of the departments concerned in the future. The countries
already contribute financially to regionally coordinated actions and such contributions are anticipated to
increase as a consequence of this project.
A8.
Each of the two participating countries has developed a legal and institutional framework for
nature conservation and control of environmental degradation and pollution. Both countries are
signatories of international conventions to protect biodiversity, international waters and wetlands, among
others. These international commitments are reflected in national policies and legal arrangements.
Through active participation in the formulation process for this project, the participating governments
have demonstrated their strong commitment to taking part in the SAP preparation process and to
implementing joint strategies and activities to protect common ecosystems and resources.
- A-3 -
Global Environmental Objectives
A9.
This project is a result of the participating countries' commitment to address the threats to prevent
damage to the YSLME's transboundary environmental resources. The global environmental objective
being pursued is to improve sectoral policies and activities that are responsible for the most serious root
causes of priority transboundary environmental concerns of the Yellow Sea LME.
A10. The establishment of an LME-wide resource management regime will contribute to
environmentally sustainable economic development in and around the YSLME. An ad hoc system of
national level measures to manage fisheries or marine pollution will be unsuccessful when applied to a
continuous natural system such as the YSLME unless a regional coordination mechanism exists. This
project will establish that mechanism.
A11. The rich biodiversity of fish and other marine species in the Yellow Sea represents a major
contribution to the overall biodiversity of the western Pacific Ocean and consequently to global
biodiversity. In order to avoid further losses of biodiversity in the Yellow Sea, the health of this degraded
ecosystem must be improved, and fisheries recovery plans agreed upon and implemented.
A12. By providing a framework for the reduction and elimination of both land and sea-based sources
of contamination, the project will contribute to reductions in the levels and impacts of pollution in the
global environment.
A13. This project will create the necessary conditions and framework for concerted actions to protect
globally important environmental resources. The present project is consistent with the GEF Operational
Strategy of April 1996, specifically with the GEF's strategic emphasis on International Waters and
Biodiversity, as well as April 1997 GEF Operational Programme (#8) for waterbody-based Large Marine
Ecosystems. The project will incorporate the priorities delineated in the relevant environmental
agreements to which any or all of the participating countries are involved.
GEF Project Activities
A14. Under the alternative GEF scenario, the development processes and forces are re-shaped in order
to safeguard the globally important environment. This would be accomplished by GEF provision of
catalytic support for incremental costs associated with the formulation of the Transboundary Diagnostic
Analysis (TDA), National Yellow Sea Action Plans (NYSAPs), and a Strategic Action Programme (SAP)
for the Yellow Sea. The SAP will consist of a set of legal, policy and institutional reforms and
investments, to address the priority transboundary concerns identified in the TDA/SAP process.
A15. In particular, the project will provide technical assistance to strengthen both national and regional
capacities for the preparation of the TDA and SAP and even more importantly to implement the SAP.
The SAP will ensure the cost-effectiveness of joint efforts made by the participating countries. In
addition, cooperative programmes in data sharing and legislative reforms will be conducted to enhance
regional collaboration to implement the SAP.
- A-4 -
A16. The incremental cost of the alternative activities of this project will ensure that all plans and
investments will be designed with global environmental considerations in mind.
A17. The GEF alternative would support a regionally led initiative to promote the management and
conservation of the coastal and marine resources of the Yellow Sea LME. It would greatly facilitate the
abilities of co-operating countries to address transboundary environmental issues and common natural
resources management concerns at the regional level. The GEF alternative would allow for the
realization of a dynamic action oriented work programme for the preparation and implementation of the
SAP, to be undertaken on an accelerated basis with support from a variety of sources. These goals would
be realized through support for the following specific immediate project objectives:
1. Develop Regional Strategies for Sustainable Management of Fisheries, and Mariculture
This component will summarize knowledge of the status of fisheries stocks, including legislation and
regulatory mechanisms; create common regional methodologies and database for fisheries, including
pilot projects; develop regional agreements, national laws and regulations, and fisheries management
plans; develop and demonstrate sustainable mechanism for effective fisheries management.
2. Propose and Implement Effective Regional Initiatives for Biodiversity Protection
This component will summarize status of biodiversity in the YSLME, and laws and regulation
addressing biodiversity; develop regional strategy for Protection of Biodiversity in the YSLME;
prepare and implement regional Biodiversity Plan and investment strategy.
3. Propose and Implement Actions to Reduce Stress to the Ecosystem, Improve Water Quality &
Protect Human Health
This component is designed to collect data through special investigations to fill in the gaps for the
regional assessment and to set priorities for transboundary environmental issues in the region during
the TDA process; identify corrective measures and long term strategies including investment
strategies for remediation; establish a contaminant and ecological monitoring system for the long-
term success of SAP and NAP implementation.
4. Develop and Pilot Regional Institutional and Capacity Building Initiatives
This component will create a functioning network of institutions and individuals to address the
YSLME environmental issues and root causes; will identify the process for evolving institutional
arrangements from the support of the GEF to ownership by Region; and develop strategies to sustain
the effective network of institutions and individuals to address the YSLME environmental issues and
root causes.
A18. This project has leveraged approximately US$ 8,914,065 from governments to finance the
identification of GEF/SAP focal points, provide logistical support and personnel, set-up institutional
arrangements, sourcing of information, and support for consultations, meetings and missions. The
participating states have provided estimates of their co-financing to the project as follows:
China
US$ 6,891,565
ROK
US$ 2,022,500
- A-5 -
Total
US$ 8,914,065
A19. In addition to this baseline and co-financing, ongoing activities by UNDP in the region will
contribute to the YSLME programme. In particular, UNDP funding for a "Marine Environmental Survey
of the Yalu River" (at $650,000), plus UNDP co-financing for the GEF EAS project including an ICM
demonstration site in DPRK, brings a total UNDP co-financing of $1.388 million. Objectives 1,3,6,7, and
10 of the EAS project will contribute directly to the goals of the YSLME project.
System Boundary
The area of intervention is defined as follows:
A20. The countries noted that the Bohai Sea, from a scientific point of view, may be considered as a
part of the YSLME. However, since numerous ongoing complementary activities are now taking place in
the Bohai Sea (such as the East Asia Seas GEF Project demonstration site, the GEF Ballast Water
demonstration site at Dalian, and a large ADB project on Coastal Zone Management for the Bohai Sea),
the Bohai Sea is not included in the geographic scope of the YSLME GEF Project. The Meeting agreed
that the PRC will make available to the YSLME ecological and environmental data from the adjacent
Bohai Sea, including in particular data from EAS and ADB projects, that may help understand the
interactions between the Bohai Sea and the YSLME.
A21. For the purposes of this GEF project, the Yellow Sea LME intervention is defined by:
· to the south, the line connecting the north bank of the mouth of the Chang Jiang (Yangtze River)
to the south side of Cheju ;
· to the east, the line connecting Cheju Island to Jindo Island along the coast of the ROK; and
· to the north, the line connecting Dalian to Penglai (on the Shandong Peninsula).
A22. The coastal/upland boundary within the drainage basins is defined at the mouths of the major
rivers (as conduits of contaminant input to the YSLME), whereas coastal zones are defined according to
existing national programs.
- A-6 -
Annex A. Incremental Cost Matrix
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
I.
Develop A. Stock assessment
Baseline
16,130,873
Stock assessment information is lacking, limited, Lack of reliable statistics on the regional stocks of major
Regional
or outdated in most countries. Irregular trawl and commercial fishes. Assessment of transboundary stocks
Strategies for
acoustic surveys exist in national waters.
is practically non-existent. Threatened and endangered
Sustainable
migratory species are protected on a very small scale.
Management
of Fisherie
Alternative
s,
18,839,445
Increased baseline information and strengthened
Sustainable use of transboundary stocks, building on
and
national capacity for sustainable fisheries
sound stock assessment and region-wide monitoring.
Mariculture
management. Regional Stock Assessment
Effective mechanism for regional annual stock
assessment.
Increment
1,062,500
GOV Co-finance
1,646,072
GEF Co-finance
I.
Develop B. Carrying capacity
Baseline
963, 855
Limited capabilities and technologies for assessing Lack of regional carrying capacities analysis.
Regional
in fisheries and
the carrying capacity of the YSLME.
Strategies for mariculture
Sustainable
Alternative
1,270,497
Increased baseline information on carrying
Performed re-iterative series of regional analysis of
Management
capacity. State-of-the-art-knowledge on carrying
carrying capacity. Mechanism for annual regional
of Fisheries,
capacity analysis.
carrying capacity determination.
and
Mariculture
Increment
GOV Co-finance
80,000
GEF Co-finance
226,642
I.
Develop C. Mariculture
Baseline
58,579,267
Poorly planed and managed unsustainable
Lack of any regional approaches. No common
Regional
production
mariculture in both countries. Lack of baseline
methodology, regulations, or agreements. Lack of data on
Strategies for
data.
transboundary effects.
Sustainable
Management
Alternative
59,715,762
Increased baseline information on status and trends
Joint applied research programme for mariculture.
of Fisheries,
in mariculture. New mariculture techniques. Pilot
and
demonstration projects in place.
M i lt
- A-7 -
Mariculture
Increment
GOV Co-finance
963,855
GEF Co-finance
172,640
- A-8 -
Annex A.
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
I.
Develop D. Disease in Baseline
446, 747
Lack of baseline data. Insufficient information on Lack of communication about new diseases, diagnoses,
Regional
mariculture
the state-of-knowledge of disease in mariculture, and control techniques.
Strategies for
particularly on emerging diseases.
Sustainable
Management
Alternative
567,497
Increased baseline information of disease in Regional early-warning system about new diseases to
of Fisheries,
mariculture, particularly on emerging diseases.
reduce transboundary implications.
and
Mariculture
Increment
GOV Co-finance
N/A
GEF Co-finance
120,750
I.
Develop E. Regional Fisheries
Baseline
45,833
National fisheries legislation exists in all countries, Bilateral and multilateral agreements are not complete.
Regional
agreements and
but capacity for enforcement is weak in most cases.
No regional fisheries agreements or convention in place.
Strategies for National laws
Sustainable
Management
of Fisheries,
and
Mariculture
Alternative
121,583
National
fisheries laws and regulations Developed and endorsed bilateral or regional agreement
strengthened and enforced
for sustainable use of fisheries resources.
Increment
GOV Co-finance
N/A
I.
Develop F. Fisheries
Baseline
N/A
Lack of sustainable mechanism for effective Lack of regional fisheries management plan
Regional
Management plan
fisheries management
Strategies for
Sustainable
Alternative
75,000
Strengthened national capacity for effective Improved fisheries management in the YSLME.
Management
fisheries management.
Sustainable use of transboundary stocks building on
of Fisheries,
management plans.
and
Increment
Mariculture
GOV Co-finance
N/A
- A-9 -
I. Develop Total ROK
GOV Co-finance
1,142,500
Regional
Strategies for
Sustainable
Total PRC
GOV Co-finance
2,722,891
Management
of Fisheries
and
Total Objective
GOV Co-finance
3,865,391
Mariculture
- A-10 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II.
A.
Propose Habitat
Baseline
14,754,821
Risk assessment information on vulnerable habits Urgent need for a comprehensive overview on the state
and
conservation
and biodiversity threats is lacking, limited, or out of regional habitat. No regionally coordinated strategies
Implement
of date in both countries. Countries have plans for of conservation and restoration of habitats exist.
Effective
protected areas, but capacity for enforcement is
Regional
weak in most cases.
Initiatives for
Biodiversity
Alternative
15,056,233
Increased baseline information on existing national Implemented Regional Strategy for Conservation Areas,
Protection
status and practices of coastal habitat use, including identification of priority locations for the
conservation, and restoration. National
creation of new protected areas. Conservation of habitats
biodiversity conservation programmes in of global significance. Regional network of protected
accordance with NEAP's. Institutional
areas as a part of global scenario.
strengthening through training.
Increment
GOV Co-finance
N/A
II.
B.
Propose Vulnerable species
Baseline
N/A
Risk assessment information on vulnerable species Lack of reliable information of vulnerable
and
and threats is lacking, limited, or out of date in transboundary species. Lack of regionally coordinated
Implement
most countries. Most of the countries have plans strategies for protection of vulnerable species
Effective
for protection of endangered species, but capacity
Regional
for enforcement is weak in most cases.
Initiatives for
Biodiversity
Alternative
155,600
Increased baseline information on existing status of Implemented regionally coordinated strategies for
Protection
vulnerable species and vulnerable tropic linkages. protection of vulnerable species. Conservation of
National biodiversity conservation programmes in species of global significance.
accordance with NEAP's. Institutional
strengthening through training.
Increment
GOV Co-finance
N/A
II.
C.
Propose Genetic diversity
Baseline
2,561,666
Lack of national situations of genetic degradation Lack of regional consensus on the requirements for
and
of important bio-resources.
conservation of gene pool.
Implement
Effective
Alternative
2,910,666
Increased baseline information of genetic Implemented recommendations for conservation of
Regional
degradation of important bio-resources.
specific gene pool.
Initiatives for
- A-11 -
Initiatives for
Increment
Biodiversity
Protection
GOV Co-finance
N/A
- A-12 -
Annex A:
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II.
D.
Propose Introduced species
Baseline
N/A
Lack of baseline data on the introduced exotic Lack of regional data on introduced exotic species. No
and
species and their pathways. Uncertainties on regulations or control in place.
Implement
impacts and risks.
Effective
Regional
Alternative
217,368
Increased baseline information on introduced exotic Identified actions to mitigate threats from possible
Initiatives for
species and their pathways, assessment of impacts introduction of exotic species to the YSLME
Biodiversity
and risks. National rules for regulations and transboundary biodiversity.
Protection
control of exotic species.
Increment
GOV Co-finance
N/A
II.
E.
Propose Biodiversity
Baseline
N/A
Basic regulations for the biodiversity protection Both countries are signatory of CBD, CITES, Bonn, and
and
Regulations
exist in both countries, but capacity for Ramsar conventions. Lack of regional agreements or
Implement
enforcement is weak in most cases. Lack of convention on the biodiversity protection of the
Effective
information on effectiveness of protected YSLME.
Regional
measures.
Initiatives for
Alternative
121,140
Reviewed national regulations and effectiveness of Regionally coordinated strategies for biodiversity
Biodiversity
protected measures. Strengthen existing laws and protection developed and implemented. Regional
Protection
regulations. Adoption of new laws.
agreements in place.
Increment
GOV Co-finance
N/A
II.
F.
Propose Regional
Baseline 602,410
Biodiversity
action
plans exist in both countries. No regional approaches developed.
and
Biodiversity
Lack of national YSLME biodiversity protection
Implement
assessment and
priorities.
Effective
regional Biodiversity
Regional
Action Plan
Initiatives for
Alternative
708,170
Clarified national YSLME biodiversity protection Regional Biodiversity Action Plan, including investment
Biodiversity
priorities. Improve, through training, national strategy, implemented.
Protection
institutions for implementation of national
YSLME action plans.
Increment
GOV Co-finance
N/A
- A-13 -
Annex A
Incremental Cost Matrix (continued)
Component Sub-component Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II. Propose
Total ROK
GOV Co-finance
0
and
Implement
Effective
Total PRC
GOV Co-finance
1,759,036
Regional
Initiatives for
Biodiversity
Total Objective
GOV Co-finance
1,759,036
Protection
III.
A.
Propose
Stressors to Baseline 21,751,544
Uncertainties
regarding the status and pathways of Lack of regionally agreed approaches and
and
Ecosystem
natural and human-induced stressors to the methodologies to assess and rank stressors to the
Implement
ecosystem. Lack or weakness of legal measures to YSLME. Lack of regional legal measures to reduce the
Actions to
reduce the stress to the ecosystem
stress to the ecosystem.
Reduce Stress
to the
Alternative
21,913,684
Natural
and human-induced stresses on the Corrective measures to minimize the human-induced
Ecosystem,
ecosystem identified and ranked. Identified data stress identified and implemented. Regional policies and
Improve
and information gaps.
legal measures identified and implemented.
Water Quality Increment
and Protect
Human Health
GOV Co-finance
N/A
GEF Co-finance
162,140
III.
B.
Propose Carrying Capacity
Baseline
N/A
State of the Environment Reports, including Lack of regional understanding to coordinate joint
and
of Ecosystem
national coastal and marine areas. Lack of actions to reduce or prevent transboundary impacts.
Implement
transboundary approach to the YSLME
Actions to
environmental problems. Insufficient information
Reduce Stress
on new and innovative technologies to assess the
to the
ecosystem.
Ecosystem,
Improve
Alternative
908,760
Assessment
of carrying capacities of the Establishment of regional scientific and technical
Water Quality
ecosystem. Identification of root causes of framework for monitoring the changing status of
and Protect
environmental degradation on the YSLME and YSLME and its transboundary impacts.
Human Health
possible mitigation actions.
- A-14 -
Increment
GOV Co-finance
480,000
GEF Co-finance
428,760
- A-15 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III.
C.
Propose Contaminant Inputs
Baseline
36,667
Existing national capacities for effective marine Lack of regional capacities for effective marine
and
contaminant reduction and mitigation are usually contaminant reduction and mitigation; poor regional
Implement
weak and poorly focused. No common standards interaction.
Actions to
or guidelines developed.
Reduce Stress
to the
Alternative
198,079
Strengthen
national
capacities for effective marine Regional system of effective marine contaminant
Ecosystem,
contaminant reduction and mitigation.
reduction and mitigation. Regional quality and
Improve
assurance system established.
Water Quality
and Protect Increment
Human Health
GOV Co-finance
N/A
GEF Co-finance
161,412
III.
D.
Propose Contaminant Baseline 11,879,478
Existing
national monitoring capabilities are Lack of regional monitoring networks and poor regional
and
Levels
usually weak and poorly focused. No common interaction. Absence of regional legal agreement to
Implement
standards or guidelines developed. Increased mitigate contamination
Actions to
baseline information on contaminants and nutrient
Reduce Stress
levels.
to the
Ecosystem,
Alternative
12,299,798
Fully
operational, upgraded, and strengthened Network of monitoring centres throughout the region.
Improve
national monitoring system in each country. Reliable data to catalyze reduction of existing and
Water Quality
Highly qualified trained staff. Ratification and prevention of new types of contamination.
and Protect
implementation of international conventions by
Human Health
each country.
Increment
GOV Co-finance
320,000
GEF Co-finance
100,320
- A-16 -
III.
E.
Propose Harmful Algal
Baseline
11,224,759
Lack of baseline data on HAB's and emerging
Lack of regional monitoring capabilities to assess HABs
and
Blooms and Emerging
disease and their impact on bio-resources and
and emerging diseases in YSLME. No management
Implement
Disease
human health.
and mitigation strategies.
Actions to
Reduce Stress
to the
Ecosystem,
Alternative
11,383,399
Increased baseline information on HAB's and Established a well-functioning monitoring network for
Improve
emerging diseases. Comparative analysis of cause HAB's and emerging diseases. Regional management
Water Quality
patterns and impacts on bio-resources and human and mitigation strategies developed and implemented.
and Protect
health. Strengthened institutions through training.
Human Health Increment
GOV Co-finance
N/A
GEF Co-finance
158,640
- A-17 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III.
F.
Propose Hot Spots Analysis
Baseline
7,794,608
Lack of common methodologies to identify and Lack of regionally adopted procedures for remediation
and
rank hot spot sources and non-point sources of and prevention. Insufficient funding base.
Implement
water quality degradation. Insufficient funding and
Actions to
knowledge base. Lack of sufficient baseline data.
Reduce Stress
to the
Ecosystem,
Improve
Water Quality Alternative
8,093,888
Strengthen
national capabilities to determine and Regional procedures for remediation and prevention
and Protect
rank hot spot sources of water quality degradation. adopted. Financial resources secured.
Human Health Increment
GOV Co-finance
N/A
GEF Co-finance
299,280
III.
G.
Propose Emergency
Baseline
155,000
National network for emergency response exist, Regional coordination for emergency response remains
and
Planning And
and contingency plans are developed but the underdeveloped.
Implement
Preparedness
implementation is poor. Insufficient funding base.
Actions to
Reduce Stress Alternative
306,320
National
marine
pollution preparedness, response, Major reduction in risks of regional environmental
to the
and contingency plans enforced.
degradation. YSLME Regional contingency plan. Strong
Ecosystem,
regional network of responsible authorities.
Improve
Increment
Water Quality
and Protect
GOV Co-finance
N/A
Human Health
GEF Co-finance
151,320
III.
Propose H. Legal and Baseline
33,333
All countries in the Region have some form of No regional coordinating mechanisms exist, perhaps in
and
Regulatory
legal framework for the protection of their own the absence of regional legal documents. Both countries
Implement
coastal and marine environments, but enforcement have ratified several international convention and
Actions to
is poor.
agreements.
Reduce Stress
- A-18 -
to the
Alternative
113,093
Legal
framework for addressing transboundary Existing national and international laws and conventions
Ecosystem,
problems established. Institutions strengthened surveyed. Coordinated proposals drafted for improved
Improve
through training in environmental planning and water quality legislation and regulation.
Water Quality
management.
and Protect
Human Health Increment
GOV Co-finance
N/A
GEF Co-finance
79,760
- A-19 -
Annex 1: Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III.
I
Propose . Fate And Transport
Baseline
1,440,612
Poor understanding of fate and transport of Lack of regional strategies to assess the fate, transport,
and
Analysis To Facilitate
contaminants. Limited modeling capabilities.
and risks of contaminants and nutrients.
Implement
SAP Analysis
Actions to
Reduce Stress
to the
Ecosystem,
Alternative
1,793,452
Increased baseline information of fate and transport Performed fate and transport analyses for management
Improve
of contaminants and nutrients. Strengthened and policy development, including EIA process and
Water Quality
national capabilities through training.
ICZM. Regional training activities for environmental
and Protect
risk assessment implemented.
Human Health Increment
GOV Co-finance
N/A
GEF Co-finance
352,840
III. Propose
GOV Co-finance
800,000
and
Total ROK
Implement
Actions to
Reduce Stress Total PRC
GOV Co-finance
1,759,036
to the
Ecosystem,
Improve
Water
Quality, and Total Objective
GOV Co-finance
2,559,036
Protect
Human
Health
IV. Develop A. Stakeholders Baseline N/A
Stakeholders
involvement in the environmental Awareness programmes in the individual countries
and Pilot
Involvement
management and decision-making process is weak rarely cover regional issues.
Regional
- A-20 -
Institutional
Alternative
316,500
Identified
and strengthened capacities for Effective involvement of stakeholders in environmental
and Capacity
stakeholders' involvement in the YSLME
and resource management, as well as the decision-
Building
making process, to address the YSLME environmental
Initiatives
issues and root causes.
Increment
GOV Co-finance
N/A
GEF Co-finance
316,500
- A-21 -
Annex A
Incremental Cost Matrix (continued)
Component Sub-component Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
IV.
B.
Develop Regional
Baseline
187,500
Lack
of
regional
coordination
mechanism.
Some form of regional cooperation between each
coordination
and Pilot
country's Ministries of Environment.
Regional
Institutional
Alternative
3,374,791
Effective co-ordination and implementation of
Effective regional coordination mechanism for the
and Capacity
national activities, as well as integration of these
YSLME sustained through regional agreements
Building
environmental activities into national policies and
Initiatives
investment programmes. Strengthened institutional
and human capacity through training and active
involvement of national experts in the TDA and
SAP preparation.
Increment
GOV Co-finance
N/A
GEF Co-finance
3,187,291
IV.
C.
Develop National
Baseline
963,855
Lack of ability to contribute to environmental Some form of regional cooperation between national
Institutions
and Pilot
management and decision-making.
institutions in both countries. Joint oceanographic
Regional
programme. Lack of sustainable contributions to the
Institutional
YSLME
and Capacity
Building
Alternative
2,094,477
Strengthened
national institutions, as well as Effective regional network of institutions to address the
Initiatives
enhanced ability to contribute to environmental YSLME environmental issues and root causes.
management and decision-making.
Increment
GOV Co-finance
650,602
GEF Co-finance
480,020
IV. Develop D.
Financial
Baseline
N/A
Insufficient financial support for the protection No regional investment strategy developed.
and Pilot
Instruments
and rehabilitation of the YSLME.
Regional
- A-22 -
Institutional
Alternative
3,007,840
Improved
national capacities and training in Implemented pre-feasibility studies of promising
and Capacity
environmental project identification and technologies and industries to help achieve the goals of
Building
preparation. Small environmental grants the YSLME, to create an investment portfolio (Priority
Initiatives
programme developed, with priority investment Investment Portfolio). Long term environmental
projects developed for each country.
investment to implement the SAP and NYSAP's
established
Increment
GOV Co-finance
N/A
GEF Co-finance
3,007,840
- A-23 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
IV.
E.
Develop Data and Baseline
734,362
Countries in the region have national Data and information exchange between countries is
Information
and Pilot
environmental data centres, and some have GIS. weak. No regional data centres. No regional quality
Regional
Management
Data for the YSLME are stored in different assurance.
Institutional
institutions. No information or decision support
and Capacity
system available.
Building
Initiatives
Alternative
1,197,892
Strengthening or creation of national Regional YSLME Networking Information System
environmental data centres and institutions including data on Institutional capacities, scientists,
through provision of equipment, training, and environmental projects, environmental data sets in the
networking. Easy and reliable access to electronic region, and GIS, accessible via Internet to the world
means of communication, data, and information community. High quality, reliable data on YSLME
exchange. Stakeholders trained and willing to use environmental issues. Sustainable regional mechanism
GIS and Information systems.
for DIM for effective management of the YSLME.
Increment
GOV Co-finance
80,000
GEF Co-finance
383,530
IV.
F.
Develop Public Awareness
Baseline
11,776,667
Some form of environmental public awareness and
Awareness programmes in the individual countries rarely
And Participation
and Pilot
participation exists. Few active environmental
cover regional issues.
Regional
NGO's addressing YSLME problems. Public
Institutional
participation in resource management and coastal
and Capacity
development decisions is not sufficient.
Building
Alternative
12,267,827
Increased environmental awareness at the national Increased public awareness and support for regional
Initiatives
and community levels. Local environmental NGO's environmental issues. Enhanced overall effectiveness of
and community groups obtain grants to carry out environmental awareness programmes through the
projects.
organization of concerted region-wide activities, as well
as exchange of lessons learned through an active regional
network of NGO'ss and community groups.
- A-24 -
Increment
GOV Co-finance
N/A
GEF Co-finance
491,160
IV. Develop Total ROK
GOV Co-finance
80,000
and Pilot
Regional
Total PRC
GOV Co-finance
650,602
Institutional
and Capacity
Building
Total Objective
GOV Co-finance
730,602
Initiatives
- A-25 -
Annex A:
Summary Incremental Cost Matrix
Objective
Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
I. Develo A. Stock Assessment
p
16,130,873 18,839,445 1,062,500 1,646,072
Regional
B. Carrying Capacity in Fisheries and Mariculture
963,855
1,270,497
80,000 226,642
Strategies for
C. Mariculture Production
58,579,267 59,715,762
963,855 172,640
Sustainable
D. Disease in Mariculture
446,747
567,497
N/A
120,750
Management of
Fisheries,
E. Regional Fisheries Agreements
and
and National Laws
45,833 121,583
N/A 75,750
Mariculture
F. Fisheries Management Plan
N/A
75,000
N/A
75,000
Total ROK
59,764,166
1,142,500
Total PRC
16,402,409
2,722,891
Total Objective
76,166,575
82,348,820
3,865,391
2,316,854
II. Propos
A. Habitat Conservati
e and
on 14,754,821
15,056,233
N/A
301,412
Implement
B. Vulnerable Species
N/A
155,600
N/A
155,600
Effective
C. Genetic Diversity 2,561,666
2,910,666
N/A
349,000
Regional
D. Introduced Species
N/A
217,368
N/A
217,368
Initiatives for
Biodiversity
E. Biodiversity Regulations N/A
121,410
N/A
121,140
Protection
F. Regional Biodiversity Assessment & Regional Biodiversity Action Plan
602,410 708,170
N/A 105,760
Total ROK
16,111,668
0
Total PRC
1,807,229
1,759,036
Total Objective
17,918,897
20,928,213
1,759,036
1,250,280
A. Stressors to Ecosystem 21,751,544
21,913,684
N/A
162,140
III. PROPOSE B. Carrying Capacity of Ecosystem
N/A
908,760
480,000 428,760
AND IMPLEMENT
ACTIO
C. Contaminant Inputs
NS TO
36,667
198,079
N/A
161,412
REDUCE STRESS D. Contaminant Levels
11,879,478
12,299,798
320,000 100,320
TO TH
E. Harmf
E ul Algal Blooms and Emerging Disease
11,224,759
11,383,399
N/A
158,640
ECOSYSTEM,
F. Hot Spots Analysis
7,794,608
8,093,888
N/A
299,280
IMPROVE
WATER
G. Emergency Planning and Preparedness
155,000
306,320
N/A
151,320
QUALITY, AND H. Legal and Regulatory
33,333
113,093
N/A
79,760
PROTECT
I Fate and Transport Analysis to Facilitate SAP Analysis
1,440,612 1,793,452
N/A
352,840
HUMAN
Total ROK
13,809,977
800,000
Total PRC
40,506,024
1,759,036
Total Both Objective
54,316,001
58,769,509
2,559,036
1,894,472
- A-26 -
Annex A
Summary Incremental Cost Matrix (continued)
Objective Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
IV. Develop an A. Stakeholders Involvement
d
N/A
316,500 N/A
316,500
Pilot Regiona B. R
l egional Coordination
187,500
3,374,791
N/A
3,187,291
Institutional and C. National Institutions
963,855 2,094,477
650,602
480,020
Capacity
D. Financial Instruments
N/A
3,007,840
N/A
3,007,840
Building
Initiatives
E. Data and Information Management
734,362
1,197,892
80,000
383,530
F. Public Awareness and Participation
11,776,667
12,267,827
N/A
491,160
Total ROK
12,180,457
80,000
Total PRC
1,481,927
650,602
Total Both Objective
13,662,384
22,259,327
730,602
7,866,341
Total 162,063,857
184,305,869 8,914,065 13,327,947
PDF-B: 349,650 US$
Project Support Costs: 1,066,236 US$
Total Project Costs: 14,743,833 US$
- A-27 -
Figure A-1: Allotment of GEF Incremental Financing for YSLME Project
Expenditure Partitioning
Int'l
Regional
International Expenditures
Cons_int'l
Travel_int'l
Equip_Int'l
Other_int'l
Regional Expenditures
Cons_local
Travel_local
Equip_local
Other_loca
- A-28 -
Component
Intervention Logic
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
Long-term
development
/
0.1
Defined regional ecosystem;
Steering Committees (SC) annual Assume continued national commitment to the regional program at
environment Objectives:
management framework implemented reports; PCU documents;
each sector level, including offer of national resources. The ability
environmentally-sustainable
by year;
of the SC and PCU to formulate and implement community-based
management and use of the YSLME
PCU and technical reports;
solutions relies on the support of national agencies through
and its watershed:
0.2 Improvements in catch-per-unit effort
coordinated (but independent) actions. The GEF project will create
by year 5;
a model that can be adopted in the future as a permanent activity of
Working groups reports;
reducing development stress and
the individual national sectors. Broad Stakeholder Participation.
promoting sustainable development 0.3 Improved water quality for target
of the ecosystem from a densely
Interministerial Coordinating
contaminants by year 5;
populated, heavily urbanized, and
Committee reports;
industrialized semi-enclosed shelf
sea
0.4 Reversal in trend of proliferation of For Biodiversity, pentadal census.
HABs by year 5;
0.5 Loss of Biodiversity slows by year 5;
0.6 Final TDA prepared and agreed, end
of year 2;
0.7 Strategic Action Programme (SAP)
formulated and endorsed at
ministerial level in each country, end
of year 4;
0.8 Yellow Sea Large Marine Ecosystem
National Action Plans (YSNAPs) for
each country formulated and
endorsed by end of year 3;
0.9 Agreed set of indicators (process,
stress reduction, environmental
status) to monitor progress of SAP
implementation by end of year 4.
Project purpose: Formulation of a
TDA published and broadly Remedial actions can be costly and/or unpopular in some sectors.
Transboundary Diagnostic Analysis
disseminated;
A well-designed monitoring program will provide objective
(TDA) , National Yellow Sea
technical information with which to assess the success (or failure)
Action Plans and a Strategic Action
Countries endorse SAP;
of specific management actions and can be used to adjust future
Programme (SAP). Facilitation of
actions.
the initial steps of the implementing
SAP to manage shared marine
National and donor commitments to
resources and achieve sustainable
financing SAP and YSNAP
development for the Yellow Sea
implementation;
Large Marine Ecosystem.
C-1
PCU and technical reports.
Develop a mechanism to objectively
measure effects of management
actions
ANNEX B LOGFRAME MATRIX
ANNEX B. LOGFRAME MATRIX (continued)
Objective I. FISHERIES/MARICULTURE
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
1.1 Summary of existing state
of knowledge
Delivery of report by end of yr2
Project files
·
1.1 Identification of legislative
Working group reports.
gaps
SAP
·
1.2 Draft fisheries
management plans
Draft disseminated to regional stakeholders
·
1.2 Draft regional agreement and governments by end of yr3
for fisheries management
·
1.2 Drafts of strengthened
national fisheries laws
·
1.2 Fisheries database
Working group reports.
·
NCU records
1.3 Pilot projects
Database outputs used by NCUs by end of
yr3
SAP IMPLEMENTATION
·
1.2 Regional agreement
Endorsed by governments by end of yr4
Interministerial Coordinating
Committee reports
C-2
ACTIVITIES
A. Stock Assessment
Fisheries stocks status reports.
Project files
The countries will agree to perform a joint stock assessment. The
risk is low since this is one of their priority actions identified during
·
1.1 Review existing data and
Working group reports.
the PDF-B phase.
diagnose condition of stocks
Procurement records of PCU
·
1.1 Perform demonstration of
regional survey
Equipment purchased by yr1
Project files
·
1.2 Develop common
Survey results written up by end of yr2
methodology for joint regional
stock assessment
Methodology for joint regional stock
adopted by both countries by end of yr3
·
1.2 Perform initial joint
regional stock assessment
Publication reference provided by PCU
·
1.2 Create mechanism for Assessment published by end of yr1
regional annual stock
assessment
Relies on political will to find ongoing regional efforts.
Assessments are undertaken annually by
end of yr5
B. Assessing Carrying Capacity
Report published and widely distributed.
Publication reference provided by PCU
Carrying Capacity gaps defined and process developed to fill in
knowledge gaps.
· 1.1 Review existing
Working group reports.
knowledge and identify gaps
· 1.1 Complete knowledge gaps
Project files
· 1.1 Perform iterative series of
analysis
Analysis results available to PCU by end of
yr3
Regional agreements on methodology to assess carrying capacity.
· 1.2 Undertake annual carrying
Government or regional body
capacity determination
Carrying capacity estimates published publication records
annually after yr3
Interministerial Coordinating
Relies on political will to find ongoing regional efforts.
Committee reports
C-3
C. Mariculture Production
Scientific reports published.
Project files
Existing status and trends reviewed regularly.
· 1.1Review existing status and Progress reports completed annually.
trends
First reports of joint research programme Working group reports.
· 1.2 Develop joint research published by end of yr5.
program
Interministerial Coordinating
Full stakeholder participation to ensure acceptability of new
Committee reports
mariculture techniques.
· 1.3 Undertake pilot
demonstrations
· 1.3 Assist region to implement
mariculture techniques
C-4
ANNEX B. LOGFRAME MATRIX (continued)
C-5
Objective I. FISHERIES/MARICULTURE
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
D. Disease in Mariculture
Progress reports completed annually.
Project files.
Joint development and demonstration of new technology between
(CONT')
countries, which results in increased communication regarding
·
1.1 Review existing
Working group reports.
emerging diseases, diagnosis, and control.
knowledge
Countries agree to use new technology by
·
1.1 + 1.3 Develop and end of yr3.
demonstrate new technology
for diagnosis, prevention and
control
Full Stakeholder participation.
Early-warning system operative by end of
·
1.2 Facilitate communication
yr5
Interministerial Coordinating
Committee reports
E. Regional Agreements and
Commitment of countries to development and endorsement of
National Laws
regional agreements, as well as the strengthening of existing
Status report published.
Project files.
regulations.
·
1.1 Review existing national
laws and international
agreements
·
1.2 Develop regional
agreement for sustainable use Regional agreement endorsed by end of yr3 Interministerial Coordinating
of fisheries resources
Committee reports.
·
1.2 Propose measures for
strengthening laws
Parliament records and NCU files.
New laws enacted nationally by end of yr5.
F. Management Plan
Status report published by end of yr2.
Project files.
Maintenance of sustainable fish populations will require the
reduction of system stresses, including chemical contamination and
·
1.2 Develop regional fisheries Country endorsement and implementation Interministerial Coordinating
fishing pressure. Such remedial actions directly affect individuals
management plans
of management plan by end of yr5
Committee reports.
or organizations now doing business in the region and early
identification/ education of stakeholders will be necessary for
compliance with these actions. Some mechanism to compensate
·
1.3 Implement plans
the affected stakeholders must be found to gain their cooperation.
C-6
OBJECITVE: II. BIODIVERSITY PROTECTION
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
2.1 Regional biodiversity
assessment.
Delivery of assessment by end of yr2.
Project files
·
2.1 List of existing legal and List prepared by end of yr1.
Working group reports.
regulatory frameworks for
biodiversity in the YSLME.
SAP
·
2.2 Regional Biodiversity Action
Plan, including Regional Strategy
for Conservation Areas, regional
Interministerial Coordinating Committee
strategies for protection of
reports
vulnerable species, and regional Action Plan and investment strategy
consensus on the conservation of endorsed by government by end of yr3.
gene pool.
· 2.2 Investment strategy.
· 2.2 Proposals for regulation and
control of exotic species.
SAP IMPLEMENTATION
· 2.2 New laws for regulation and
control of exotic species identified.
· 2.3 Funded biodiversity projects
responding to the priority actions of
the Regional Biodiversity Action
Plan.
Parliament records
New laws passed by relevant government
mechanisms by end of yr4
Copies of project documents or govt.
commitment on project files.
Signed project documents, or evidence of
financial commitment from govts, for
Regional Strategy actions by end of yr5
ACTIVITIES
A. Habitat Conservation
Regional Strategy for Conservation Areas Copy of signed strategy on project files.
Countries adopt regional strategy, and financial mechanisms are
adopted by end of yr3.
identified.
· 2.1 Review existing practices
Acknowledgement of new protected
5 new protected areas identified by end of areas by relevant Ministries.
· 2.2 Develop regionally coordinated yr2.
strategies
Interministerial Coordinating Committee
Signed project documents, or evidence of reports.
·
financial commitment from govts, for
2.3 Implement Regional Strategy Regional Strategy actions by end of yr5
for Conservation Areas
Copies of project documents or govt.
commitment on project files.
C-7
B. Vulnerable Species.
National review completed by end of yr2.
Project files.
Regional agreement is reached in line with national priorities. The risk
in minimized since both countries have ratified several international
·
2.1 Conduct national review of Strategies for protection of vulnerable SC minutes.
conventions for protection of vulnerable species.
status
species adopted by SC and endorsed by
relevant Ministries by end of yr3
Interministerial Coordinating Committee
ANNEX B. LOGFRAME MATRIX (continued)
OBJECTIVE: II. BIODIVERSITY PROTECTION
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
D. Introduced Species
Documentation completed by end of yr2
Project files.
Proposals for regulation and control of exotic species agreed upon
(CON'T)
countries (and/or countries adopt and ratify anticipated new IM
·
2.1 Document introduced exotic Ballast water treatment and prevention Ratification of agreement gazetted by ballast water protocol or convention)
species
agreement ratified and distributed by end of protocol/convention secretariat.
yr4.
·
2.2 Develop proposals for
Copies of project documents or govt.
regulation and control.
Signed project documents, or evidence of commitment on project files.
financial commitment from govts, for
·
implementation of regulatory strategy by end
2.3 Implement strategy for
Interministerial Coordinating Committee
of yr5.
regulation and control
reports
E. Regulations.
Review completed by end of yr1.
Project files.
Effective environmental resource protection derives from
combination of regulatory and non-regulatory actions. Bef
·
2.1 Review national regulations Biodiversity conservation agreement signed Copy of signed agreement on project recommendations for effective regulatory changes can be made
and assess effectiveness
and ratified by end of yr3.
files.
survey of existing national and international regulations needs to
performed.
·
2.2 Develop regionally coordinated
Interministerial Coordinating Committee
strategies
reports
F.
Regional Assessment and Regional see indicators for OUTPUTS
Ratification of the Regional Biodiversity plan. The risk is minimiz
Biodiversity Action Plan
since both countries have ratified the CBD.
·
2.2 Coordinate above activities
Donors' commitments secured.
into a biodiversity assessment,
Regional Biodiversity Action Plan,
and investment strategy.
C-9
ANNEX B. LOGFRAME MATRIX (continued)
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
O
III REDUCING
OUTPUTS TDA
STRESS
·
3.1 Data on identified stresses
Reports completed by end of yr2
Working group reports.
SAP
·
3.2 Proposals for upgrading the
regional monitoring network
Proposals submitted to potential donors by Project files.
SAP IMPLEMENTATION
end of yr4
·
3.2 Regional planning and
preparedness strategies
Funding identified by end of yr5.
Letters of intent/commitment from
countries and donors.
ACTIVITIES
A. Stressors to Ecosystem
Once data and information gaps are identified, implementation of n
measures to reduce stressors will take place.
·
3.2 Identify and rank stresses
Technical report published by end of yr2
Working group reports.
·
3.2 Identify corrective measures
Progress reports published annually
·
3.2 Identify policies and legal
measures
·
3.2 Develop strategy for long-
term sustainability of
investments
·
3.3 Implement corrective
measures
C-10
B. Carrying Capacity of the State of the environment report published by Working group reports.
Regional strategies must be developed for monitoring the chang
Ecosystem
end of yr5.
status of the ecosystem. Countries will have to facilit
implementation of new strategies for constantly improving
·
3.1 Assess carrying capacities
ecosystem.
under changing stresses
·
3.1 Identify information gaps
·
3.2 Develop strategies for
monitoring changes
New carrying capacity methodology must be developed and agre
regionally.
·
3.1 Prepare state-of-ecosystem
reviews and reports
·
3.3 Facilitate implementation of
strategies
C. Contaminant
Inputs
[Regional quality control and assurance Working group reports
Countries will have to agree upon regional priorities and strategies
system establishedby end of yr2.
reduce contamination to sustainable levels, including promot
·
3.1 +3.3 Assess and monitor
Project files.
activities which involves sharing new developments and technologie
contaminant and nutrient levels
Annual contaminant input reports published.
·
3.2 Develop regional priorities
and strategies to reduce levels
·
3.3 Facilitate implementation of
strategies
Letters of intent/commitment from
countries and donors.
D. Contaminant
Levels
Monitoring data reports and annual reports Working group reports
A well-designed monitoring program will provide objective techni
published.
information with which to assess the success (or failure) of spec
·
3.1 Develop baseline data
Project files
regional management actions and can be used to guide future actio
In-country and international sources of support will need to
identified and secured to assure acceptance and implementation.
·
3.2 Develop regional
monitoring network strategy
Donors and country commitments to the
regional monitoring network confirmed by Letters of intent/commitment from
·
end of yr5.
3.2 Develop funding
countries and donors.
mechanism to implement
monitoring strategy
C-11
ANNEX B. LOGFRAME MATRIX (continued)
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
O
ACTIVITIES III
REDUCING
E. Harm
S
ful Alga TRESS
l Blooms and
Working group reports
Countries will have to facilitate regional management and mitigat
(CON'T)
Emerging Disease
implementation of the causes, patterns, and impacts of HABs a
Monitoring data reports and annual reports Project files
Emerging Disease on bio-resources and human health.
·
3.1 Undertake comparative published.
analysis of causes and impacts
·
3.3 Monitor HABs
·
3.2 Develop management and
mitigation strategies
·
3.3 Facilitate regional
Strategies agreed upon and implementation
management implementation
begun by end of yr5
Interministerial Coordinating Committee
reports
F. Hot Spots Analysis
Working group reports.
Facilitation of procedures for re-mediation and prevention of hot sp
can result only through securing financial commitments.
·
3.2 Determine and rank hot spot Technical report published by end of yr2
Project files.
sources of water quality
degradation
·
3.2 Develop procedures for
remediation
Procedures agreed upon by end of yr3
Interministerial Coordinating Committee
·
3.2 Develop investment
reports
strategies
·
3.3 Facilitate implementation of
procedures
Letters of intent/commitment from
SAP commitments to hot spot remediation countries and donors.
confirmed by end of yr5.
C-12
G. Emergency Planning and
Countries agree to cooperation on joint emergency preparedness a
Preparedness
response.
Working group reports.
·
3.1 Assess national emergency
and contingency capabilities
Technical reports published by end of yr2.
Project files.
·
3.2 Develop strategies for rapid
and long-term regional
responses
Strategy agreed by governments by end of Interministerial Coordinating Committee
yr3
reports.
·
3.2 Facilitate regional actions to
enable contingency planning
Regional actions discussed at SC meetings SC minutes and workshop reports.
and workshops.
·
3.2 Harmonize customs,
training.
H. Legal and Regulatory
Countries will agree to take coordinated approach , in spite of soc
economic and political differences.
·
3.1 Review and compare Technical report published by end of yr1.
Working group reports.
national regulations and laws on
water quality develop proposals
Project files.
for coordination of regulations
·
3.3 Facilitate coordinated
actions to improve legislation
and regulation
Regional actions discussed at SC meetings SC minutes and workshop reports.
and workshops.
C-13
ANNEX B. LOGFRAME MATRIX (continued)
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
O
ACTIVITIES III
REDUCING
I.
Fate and Tr
STRESS
ansport Analysis to
Governments and institutions must make available results fr
(CON'T)
Facilitate SAP Analysis
previous studies, and apply existing models.
·
3.1 Review existing
understanding of fate and Technical report published by end of yr2.
Working group reports.
transport of contaminants
Project files.
·
3.2 Develop regional
assessment strategies
·
3.2 Perform fate and transport Strategies accepted by SC by end of yr3.
SC minutes.
analyses for management and
policy development, including
EIA process and ICZM
·
3.3 Develop regional training Analyses published by end of yr4.
Working group reports.
activities
5 number of training activities held by end of Project files.
yr5
C-14
ANNEX B. LOGFRAME MATRIX (continued)
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
O
IV
OUTPUTS TDA
R
·
4.1 Stakeholder and institutional
participation strategy
·
4.1 Final TDA
Strategy included in final TDA, which is SC minutes. UNDP TPR meeting
approved by SC and UNDP by end of yr2.
minutes.
SAP
·
4.2 Network of local, national
and regional stakeholders
500 stakeholders attend working group Working group reports.
·
4.2 National Yellow Sea Action meetings by end of yr3.
Plans
NYSAPs approved by governments by end of
·
4.2 Strategic Action Programme
yr3.
Interministerial Coordinating Committee
reports
SAP IMPLEMENTATION
·
4.3 Programme of regional and
national intersectoral
SAP approved by governments and UNDP
cooperation
by end of yr4.
SC minutes. UNDP TPR meeting
minutes.
·
4.3 Financial mechanism to SAP implementation committed by countries
sustain public awareness
and donors by end of yr5.
Letters of intent/commitment from
countries and donors.
ACTIVITIES
A. Stakeholders
Stakeholders identified and involved in Stakeholders' participation report.
Routine and effective involvement by stakeholders in planni
working groups by end of yr1.
management and decision-making can only be accomplished by
·
4.1 Identify stakeholders and
going encouragement, strengthened capacities, and financ
assess their capabilities for
commitment by donors and countries.
contributing to environmental
management
·
4.3 Strengthen stakeholder 5 training workshops for stakeholders by end
capabilities
of yr3.
Project files.
Barriers to broaden stakeholder participation must be removed.
·
4.1 + 4.3 Encourage stakeholder
involvement
C-15
B. Regional
Coordination
The program (i.e., SC and PCU) must effectively communicate
issues and the suggested remedies to the national sectors and
·
4.1 Create a functioning Coordination office opened and staff hired by Project files.
responsive to national real and perceived needs.
regional coordination
end of yr5.
mechanism
Terms of Reference (TORs) and meeting
10 regional coordination meetings held by reports.
·
4.2 Identify modes to sustain end of yr5.
regional coordination
Letters of intent/commitment from
mechanism
Funds committed for long-term sustainability countries and donors.
of mechanism by end of yr5.
·
4.3 Assist in maintaining
effective regional coordination
C. National
Institutions
40 institutions participate in 10 stakeholder Meeting attendee lists showing national Financial and motivational means must be identified to develop th
project meetings over the life of the project
institution participation.
national institutions into sustainable contributors of the YSLME.
·
4.1+ 4.3 Strengthen capacity to
contribute to environmental
management and decision-
making
·
4.3 Facilitate ongoing
management
C-16
ANNEX B. LOGFRAME MATRIX (continued)
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OBJECTIVE
IV. REGIONAL
ACITIVITIES
D. Financial
Institutions
Priority Investment Portfolio prepared by end Summary report on PIP published.
Financial support for recommended actions needs to be integrated i
(CON'T)
of yr5.
YSLME recommendations from the beginning. While internatio
·
4.1 Develop regional small
Progress reports published.
and national government support is anticipated, private commerc
grants program
Feasibility study on economic instruments
and industrial activities must supply substantial funds to
completed by end of yr5.
Programme.
Project files.
·
4.1 + 4.2 Provide training
·
4.3 Provide funding for pre-
feasibility studies
·
4.1 Identify a mechanism for
participation of development
banks
E. Data and Information Regional YSLME Information System Progress reports published.
Access of data and information for all Stakeholders.
Management
including meta-level data used by 100
stakeholders per month by end of yr5.
Website administration records.
·
4.1 Determine regional data and
information management
YSLME activities and data broadly Distribution records of GIS available on Government commitments to make available and distribute d
capabilities
disseminated via Internet.
CD and web.
broadly.
·
4.1 Develop regional DIM
strategy
·
4.3 Implement regional DIM
strategy
C-17
F. Public Awareness and Information
Public awareness and environmental All recommendations made by the YSLME regional program
education materials (print and on-line);
remedial and resource protection action will require trade-offs and w
·
4.1 Develop public awareness
negatively affect someone. To gain cooperation and compliance,
campaign
Reports from annual NGO forum, NGO rationale for action and the real costs incurred need to be fu
understood by the affected groups. YSLME needs to actively as
directory (print and on-line).
these groups in finding support to attenuate the negative effects
·
4.2 Demonstrate regional public
resulting changes.
awareness campaign
Strong Regional NGOs network established
by end of yr4.
·
4.3 Encourage ongoing public
List of SAP contributors.
awareness
Major Stakeholders participate in
TDA/NYSAP/ SAP process.
C-18
ANNEX C STAP
ROSTER TECHNICAL REVIEW
REVIEW OF "PREPARATION AND PRELIMINARY IMPLEMENTATION OF A
STRATEGIC
ACTION PROGRAMME FOR THE YELLOW SEA LARGE MARINE ECOSYSTEM"
BY B.J. ROTHSCHILD
OVERVIEW
C1.
The strategic plan is on target and can provide the basis for a successful project. The optimal
utilization of GEF funding requires that all participants have a similar view of goals and objectives and
that they perceive that the goals and objectives are attainable. In this regard the long-term objective of the
project contains various phrases that are difficult to define and harder to implement: 1) ecosystem based
management, 2) environmentally sustainable, 3) reducing development stress and, 4) sustainable
development. In some point in the strategic planning the exact meaning of these phrases needs to be
spelled out in concrete terms particularly with regard to the YSLME. It must be realized that the
components of the project are very different in regard to their potential for practical results. Activities
such as stock assessment, monitoring of pollution and mariculture evaluation are relatively easy to define
and to relate project outputs to project inputs. Less definable and perhaps less useful applied results will
derive from projects oriented toward projects oriented toward genetic diversity and the carrying capacity
of the ecosystem. It is not that these endeavors are unimportant, rather it is that they are essentially
research issues. The practical implementation of the project and the major weight of the project are
loaded toward process rather than substance. That is to say that the funding allocations appear to be more
weighted toward stakeholder involvement than to mariculture production, for example. There is nothing
wrong with this provided that this is the clearly recognized intent of the project. It is not clear without
detailed analysis whether the very expensive substance-related projects are adequately funded. With
regard to the development of regional institutional and capacity building component it is not clear that
sufficient resources are committed to laboratory and computer facilities and the training of technicians
and scientists. At the end of the day the sustainability of the project will be measured in terms of not only
C-1
public awareness but in the scientific and technical capacities that have been developed. If the project is
to avoid the pitfalls of other projects such as the Black Sea project, then it might be necessary to focus in
greater detail on explicit resources and mechanisms that are devoted to the monitoring and review of
project progress. If the project is to be transferable among other regions, then it is necessary to devote
resources to global interchange of information.
A. GENERAL OBJECTIVES AND IDENTIFIED ISSUES
C2.
The proposed project has a long-term objective: "ecosystem-based, environmentally sustainable
management and use of the yslme and its watershed: reducing development stress and promoting
sustainable development of the ecosystem from a densely populated, heavily urbanized, and
industrialized semi-enclosed shelf sea." The project is intended to have a five-year duration.
C3.
The project narrative articulated several issues of concern implying that these relate to the long-
term objectives of the project:
1.
Multilateral measures for marine pollution control are particularly deficient.
2.
Lack of formal infrastructure to bring about collaboration and cooperation in monitoring
and research activities.
3.
Implement ecosystem based management approach to reduce development stress
on ecosystem and to initiate recovery actions leading to the long-term
sustainability of the environment and the resources...
4.
HABs are increasing and might be influence by underwater construction.
5.
The Yellow Sea most intensively exploited in the world
6.
Extensive aquaculture mariculture and cultivated seaweed.
7.
Preventing lags such as the one that occurred in the Black Sea Programme.
B. COMPONENTS OF PROJECT APPROACH
C4.
Four project components have been identified to address the objectives of the program:
C-2
1.Regional strategies for sustainable development of fisheries and aquaculture
2.Effective regional initiatives for biodiversity protection
3. Actions to reduce stress to the ecosystem improve water quality and protect human health
4. Development of regional institutional and capacity building.
C. ALLOCATION OF RESOURCES COMMITTED TO PROJECT
C5.
Nearly 40 percent of the project costs are allocated to the project component development
of regional institutions and capacities. Nearly as much has been allocated to sustainable
management. Smaller amounts to biodiversity protection and reducing stress to ecosystem.
Since these reflect the totals it is interesting to note that GEFs contribution is primarily oriented
toward the development of regional institutions and capacities.
D. ADDRESSING SPECIFIC QUESTIONS
C6.
D1. Scientific And Technical Soundness--The bulk of the project funds are devoted to
Component IV-- building regional institutions and capacities. So the issue with regard to this particular
allocation is whether it will be devoted specifically to capacity building, that is education, training, and
facilities that focus on the major problems of the ylse. While some aspects of education, training, and
facilities are listed in Component IV, Annex D, it appears that the weight of this component and the
program as a whole are oriented to communication and coordination. I am not sure that this is the best
use of the funding.
C7.
Component I is generally scientifically and technically sound. However, it cannot be stressed
enough that, investigating carrying capacity needs to be defined in the context of inter annual and inter
decadal environ mental variability. Component II will be difficult to execute in a cost-effective way since
biodiversity means many things to many people. Surely "habitat conservation" and "introduced species"
will form the basis for the most relevant work. The same remark on carry capacity is appropriate in
component III. It would be well to focus on contaminant input and levels as well as the specific dynamics
of HABS.
C8.
All in all the projects seem technically sound. The allocation between actual work and
coordinative activities needs to be examined. It must be realized that biodiversity and carrying capacity
issues relate more to research topics than practical studies such as aquaculture \, assessing contaminants,
and stock assessment. The subject of data archival and management is a major cost and does not receive
enough attention.
C-3
C9.
D2. Identification of global environmental benefits and or drawbacks. The benefits are of course
important for the region, which involves a significant share of the world's population. If the project
meets its goals than its interaction with similar projects could generate a raising of the bar in the
management of coastal ecosystems.
C10. D3. Context of GEF goals--ok
C11. D4--Regional context--what about Japan and Russia etc?
C12. D5--Replicability--good if resources are somehow put into facilitation replicability.
C13. D6--the project appears to be sustainable--it is important that it focuses on doing the work and
not concentrating on coordination and communication. Coordination and communication are important.
At the same time it is important to focus on substance.
C14. With regard to the secondary issues the capacity building is critical--it needs further direction.
C15. A closing comment relates to the concern about time phasing of project components--this needs
to be spelled out in somewhat wore detail and specific resources need to be identified to endure timely
deliver if the concern about lags is to be minimized.
C16. All in all this project seems to be on the right track.
C-4
ANNEX C1 RESPONSE TO STAP/COUNCIL/IA COMMENTS
Comments on STAP Review
C1-1. The STAP review raised several important issues that required clarification. As usual, since the
Project Brief is so short, many of the details that were raised by the STAP review could not be addressed
adequately in the body of the document. However, some items have been addressed in the revised Project
Document. Some issues are addressed in this Annex specifically; the remainder will be addressed in the
Project Document in more detail.
C1-2. Items raised by the STAP Review and specific responses include:
C1-3. 1) "Meanings of phrases need to be spelled out in concrete terms" (ecosystem-based
management, environmentally sustainable, reducing development stress, and sustainable development):
These terms are generally accepted terms, whose meaning depends on the actual application. As part of
the Work Plan preparation during the Implementation Phase of the YSLME, these terms will be clarified
and the manner in which components, sub-components, and activities will relate to these terms will be
transparent.
C1-4. 2) "The practical implementation of the project and major weight of the project are weighted
more towards process rather than substance." Process is a major aspect of the TDA/NYSAP/SAP
process. The process will lead to stockholder participation, to country ownership, and to a sustainable
YSLME project/programme. The process will lead to concrete results, including facilitation of SAP
implementation, networking, communications, regional coordination, and so on. The process is an
important component of the GEF TDA/NYSAP/SAP process; without this process, actions may take
place with no sustainability. The Actions evolve from the process of the TDA/NYSAP/SAP: this is the
essence of the Strategic Action Programme. However, Component IV, which the STAP reviewer
attributed primarily to process, in fact has more than $3 million in substance associated with the financial
instruments, including funds for early implementation of some aspects of the SAP. Therefore, there is
considerable attention to actions and outputs even in component IV.
C1-5. 3) "It is not clear that sufficient resources are committed to the development of laboratory and
computer facilities and the training of technicians and scientists." The equipment and training budgets
were developed in concert with the countries. The budget reflects what they see as their needs. Since the
facilities are generally well equipped compared to some other regions, the needs for facilities and training
are different in the YSLME than in other GEF Projects. However, there is sizeable budget allocated to
these activities, as reflected in Component IV. These activities are related to regional coordination,
regional capacity building, stakeholder involvement, and the like.
C1-6. 4) "If the project is to be transferable among other regions, then it is necessary to devote
resources to global interchange of information." This project will network with the IWLearn project,
which is intended to share global experiences. It also will network with the Global International Waters
Assessment (GIWA) to share learned experiences. Such collaboration and exchange are required if the
GEF is to obtain full benefit of this project.
C1-7. 5) Allocation of resources: "Nearly 40 % of project costs are allocated to the project component
development of regional institutions and capacities." This portion of the project costs will address issues
related to 3) above, reflecting the importance being placed on developing regional capacities. Component
IV is much more than just development of regional institutions and capacities: the financial instrument
sub-component of $3 million is allocated for development of priority investment portfolio, and includes
funds to fund early portions of SAP implementation, a major goal of the GEF intervention.
C1-8. 6) D1. Scientific and Technical Soundness: Component IV: "it appears the weight of this
component and the program as a whole are oriented to communication and coordination. I am not sure
this is the best use of funding." Component IV relates to many aspects of the YSLME project. It
includes the overall YSLME Coordination including the Project Coordination Unit, international staff,
and the like. It also includes the Regional Capacity building. It includes the involvement of a broad
spectrum of stakeholders. Finally, and perhaps most importantly, this component includes the Financial
Instruments including priority investment portfolio, which includes funds to implement concrete portions
of the Strategic Action Programme. This financial instrument section is approximately $3 million, and
represents the heart of this phase of the GEF intervention. Finally, this component includes the Data and
Information Management activities, which the STAP review alludes to as being of prime importance.
Therefore, Component IV includes many sub-components which weight it heavily financially, but which
are essential items to making this GEF intervention both successful and sustainable.
C1-9. 7) Component I: "investigating carrying capacity needs to be defined in the context of inter-
annual and inter-decadal variability." The Project Brief acknowledges this need, and has set the time
scale for investigation at the inter-decadal scale rather than the annual scale. Multi-year reviews and
reanalysis of carrying capacity are proposed in light of these requirements.
C1-10. 8) Component II: "will be difficult to execute in a cost-effective way since biodiversity means
many things to many people." The Project Brief focuses on biodiversity conservation in a practical
manner, and doesn't suggest a pure academic approach. Huge losses of habitat have occurred in the
Yellow Sea. Significant reduction in biodiversity of species has occurred. Thus, the analysis of
biodiversity occurs in the context of a large signal from the past decades, and the interventions to address
biodiversity issues therefore will be relatively clear. In some other IW GEF projects, biodiversity losses
are minimal; this is not the situation in the Yellow Sea. This YSLME intervention should lead to concrete
opportunities for conserving global biodiversity, and present investment opportunities on a national, GEF,
and development bank perspective.
C1-11. 9) Data archiving: "The subject of data archival and management is a major cost and does not
receive enough attention." The Project Brief separates out costs for data archiving and management. It is
the subject of Sub-component IV.E, data and information management. The GEF intervention is nearly
$400, 000. The Government co-finance is about $80,000. In addition to these costs, the data archiving
and management costs are provided in each sub-component for I, II, and III. Given GEF experience in
other regions, the necessity for data archiving and management is clear. The present project builds on
these lessons learned. Examination of Sub-component IV.E and its related activities will demonstrate a
logical, progressive approach to effective regional data and information sharing and management. This
money will not be used to build new institutions, but rather to link existing institutions and data sources to
facilitate effective sharing.
C1-12. 10) Schedule: "time phasing of project components this needs to be spelled out in somewhat
more detail and specific resources need to be identified to ensure timely delivery if the concern about lags
is to be minimized." In GEF IW projects such as the Caspian Sea, the schedules and specific allocation of
resources takes place once the project starts. The Project Brief budget and schedules are based on a
detailed spreadsheet, some 40 pages long, of expected project schedule and cost allocation. However, the
detailed work plans for each sub-component will be developed with full regional input once the
implementation of the GEF Project starts. These detailed work plans will clarify the scheduling and cost
implications, refining the present estimates; it will be the job of the PCU to assure the coordination and
harmonization of the various work elements.
ANNEX A INCREMENTAL COST ANALYSIS
Broad Development Goal
A1.
Three countries share the natural heritage of the Yellow Sea, the Democratic People's Republic
of Korea, People's Republic of China, and Republic of Korea. Despite their political and social diversity,
the people of the region share a common concern for the Yellow Sea. Today the Yellow Sea faces serious
environmental problems, many of a transboundary nature, that arise from anthropogenic causes. The
countries of the region are confronting difficult economic and administrative adjustments that complicate
environmental management and natural resource protection efforts. The three littoral countries share
common problems with pollution abatement and control from municipal and industrial sites in the Yellow
Sea basin, as well as contributing non-point source contaminants from agricultural sources. All of the
them are urgently seeking to address problems of reduced fish catches, caused in part by overfishing,
harmful algal blooms, and degradation of coastal habitats, caused by intensive coastal development and
effects of climate variability on the Yellow Sea Large Marine Ecosystem. The major perceived problems
of the Yellow Sea LME can be summarized as follow:
· Decline of commercial fisheries;
· Degradation of biodiversity, loss of coastal habitats, loss or imminent loss of endangered species and
their genomes;
· Water quality deterioration;
· Unsustainable mariculture;
· Poor or unsatisfactory human health quality, unsanitary conditions in many beaches and bathing
waters, contaminated fish and sea products;
· Harmful algal blooms (emerging disease); and
· Inadequate capacity to assess ecosystem.
A2.
The broad development environmental goal of this project is to ensure environmentally-
sustainable management and use of the YSLME and its watershed by reducing development stress
and promoting sustainable exploitation of the ecosystem from a densely populated, heavily
urbanized, and industrialized semi-enclosed shelf sea.
Baseline
A3.
The Yellow Sea LME is an important global resource. This international waterbody supports
substantial populations of fish, invertebrates, marine mammals, and seabirds. Many of these resources are
threatened by both land and sea-based sources of pollution and habitat loss resulting from extensive
economic development in the coastal zone, as well as by the unsustainable exploitation of natural
resources. Additionally, there is significant international shipping traffic through the waters of the Yellow
Sea. Constraints in legislation and setting of environmental standards, inadequate scientific data exchange
and lack of public awareness and participation in planning process hinder efforts at both the national and
regional levels. Each participating country is implementing its own environmental protection
programmes. However, the single-country approach is not sufficient to achieve global environmental
benefits in the region.
A4.
The Yellow Sea riparian countries have to decide how to adjust national initiatives to be
compatible with emerging international legal and technical obligations, or, conversely, the extent to which
each state wishes to ignore or deviate from international practice.
- A-1 -
A5.
There is also a lack of a formal infrastructure to bring about international collaboration and
cooperation in monitoring and research activities that would delineate the spatial distribution of a
contaminant and its subsequent effects in the Yellow Sea and whether it would cross geopolitical
boundaries. The lack of a formal structure prevents the development of well-coordinated, cooperative
baseline studies and coordination in emergencies (such as a spill of oil or of other toxic and hazardous
materials). Monitoring and research programs are not as effective as they should be because they stop at
some governmental border, rather than at ecosystem or natural boundaries. Effective studies of
transboundary contamination require excellent coordination, cooperation, and synchronization of
sampling to enable effective analysis, integration, and interpretation of data across a region.
A6.
During the last several years the countries have demonstrated a willingness to co-operate in
matters relating to the environment of the Yellow Sea both through bilateral programmes; through active
participation in regional programmes including NOWPAP, Tumen River Area Development Programme
(TRADP: including the GEF SAP/TDA for the Tumer River Area), the GEF Ballast Water Project (with a
pilot site in Dalian), and GEF/UNDP/IMO East Asian Seas Project (having two demonstration sites in the
YSLME: one at Nampo, DPRK, and the second in the Bohai Sea).
A7.
A substantial proportion of the assured co-financing by governments is derived from the existing
staff and recurrent budgets of the involved ministries and government departments. It is anticipated that
project activities will strengthen the influence of these ministries at a national level and hence encourage
substantial increases in the recurrent budgets of the departments concerned in the future. The countries
already contribute financially to regionally coordinated actions and such contributions are anticipated to
increase as a consequence of this project.
A8.
Each of the two participating countries has developed a legal and institutional framework for
nature conservation and control of environmental degradation and pollution. Both countries are
signatories of international conventions to protect biodiversity, international waters and wetlands, among
others. These international commitments are reflected in national policies and legal arrangements.
Through active participation in the formulation process for this project, the participating governments
have demonstrated their strong commitment to taking part in the SAP preparation process and to
implementing joint strategies and activities to protect common ecosystems and resources.
Global Environmental Objectives
A9.
This project is a result of the participating countries' commitment to address the threats to prevent
damage to the YSLME's transboundary environmental resources. The global environmental objective
being pursued is to improve sectoral policies and activities that are responsible for the most serious root
causes of priority transboundary environmental concerns of the Yellow Sea LME.
A10. The establishment of an LME-wide resource management regime will contribute to
environmentally sustainable economic development in and around the YSLME. An ad hoc system of
national level measures to manage fisheries or marine pollution will be unsuccessful when applied to a
continuous natural system such as the YSLME unless a regional coordination mechanism exists. This
project will establish that mechanism.
A11. The rich biodiversity of fish and other marine species in the Yellow Sea represents a major
contribution to the overall biodiversity of the western Pacific Ocean and consequently to global
- A-2 -
biodiversity. In order to avoid further losses of biodiversity in the Yellow Sea, the health of this degraded
ecosystem must be improved, and fisheries recovery plans agreed upon and implemented.
A12. By providing a framework for the reduction and elimination of both land and sea-based sources
of contamination, the project will contribute to reductions in the levels and impacts of pollution in the
global environment.
A13. This project will create the necessary conditions and framework for concerted actions to protect
globally important environmental resources. The present project is consistent with the GEF Operational
Strategy of April 1996, specifically with the GEF's strategic emphasis on International Waters and
Biodiversity, as well as April 1997 GEF Operational Programme (#8) for waterbody-based Large Marine
Ecosystems. The project will incorporate the priorities delineated in the relevant environmental
agreements to which any or all of the participating countries are involved.
GEF Project Activities
A14. Under the alternative GEF scenario, the development processes and forces are re-shaped in order
to safeguard the globally important environment. This would be accomplished by GEF provision of
catalytic support for incremental costs associated with the formulation of the Transboundary Diagnostic
Analysis (TDA), National Yellow Sea Action Plans (NYSAPs), and a Strategic Action Programme (SAP)
for the Yellow Sea. The SAP will consist of a set of legal, policy and institutional reforms and
investments, to address the priority transboundary concerns identified in the TDA/SAP process.
A15. In particular, the project will provide technical assistance to strengthen both national and regional
capacities for the preparation of the TDA and SAP and even more importantly to implement the SAP.
The SAP will ensure the cost-effectiveness of joint efforts made by the participating countries. In
addition, cooperative programmes in data sharing and legislative reforms will be conducted to enhance
regional collaboration to implement the SAP.
A16. The incremental cost of the alternative activities of this project will ensure that all plans and
investments will be designed with global environmental considerations in mind.
A17. The GEF alternative would support a regionally led initiative to promote the management and
conservation of the coastal and marine resources of the Yellow Sea LME. It would greatly facilitate the
abilities of co-operating countries to address transboundary environmental issues and common natural
resources management concerns at the regional level. The GEF alternative would allow for the
realization of a dynamic action oriented work programme for the preparation and implementation of the
SAP, to be undertaken on an accelerated basis with support from a variety of sources. These goals would
be realized through support for the following specific immediate project objectives:
1. Develop Regional Strategies for Sustainable Management of Fisheries, and Mariculture
This component will summarize knowledge of the status of fisheries stocks, including legislation and
regulatory mechanisms; create common regional methodologies and database for fisheries, including
pilot projects; develop regional agreements, national laws and regulations, and fisheries management
plans; develop and demonstrate sustainable mechanism for effective fisheries management.
2. Propose and Implement Effective Regional Initiatives for Biodiversity Protection
This component will summarize status of biodiversity in the YSLME, and laws and regulation
addressing biodiversity; develop regional strategy for Protection of Biodiversity in the YSLME;
prepare and implement regional Biodiversity Plan and investment strategy.
- A-3 -
3. Propose and Implement Actions to Reduce Stress to the Ecosystem, Improve Water Quality &
Protect Human Health
This component is designed to collect data through special investigations to fill in the gaps for the
regional assessment and to set priorities for transboundary environmental issues in the region during
the TDA process; identify corrective measures and long term strategies including investment
strategies for remediation; establish a contaminant and ecological monitoring system for the long-
term success of SAP and NAP implementation.
4. Develop and Pilot Regional Institutional and Capacity Building Initiatives
This component will create a functioning network of institutions and individuals to address the
YSLME environmental issues and root causes; will identify the process for evolving institutional
arrangements from the support of the GEF to ownership by Region; and develop strategies to sustain
the effective network of institutions and individuals to address the YSLME environmental issues and
root causes.
A18. This project has leveraged approximately US$ 8,914,065 from governments to finance the
identification of GEF/SAP focal points, provide logistical support and personnel, set-up institutional
arrangements, sourcing of information, and support for consultations, meetings and missions. The
participating states have provided estimates of their co-financing to the project as follows:
China
US$ 6,891,565
ROK
US$ 2,022,500
Total
US$ 8,914,065
A19. In addition to this baseline and co-financing, ongoing activities by UNDP in the region will
contribute to the YSLME programme. In particular, UNDP funding for a "Marine Environmental Survey
of the Yalu River" (at $650,000), plus UNDP co-financing for the GEF EAS project including an ICM
demonstration site in DPRK, brings a total UNDP co-financing of $1.388 million. Objectives 1,3,6,7, and
10 of the EAS project will contribute directly to the goals of the YSLME project.
System Boundary
The area of intervention is defined as follows:
A20. The countries noted that the Bohai Sea, from a scientific point of view, may be considered as a
part of the YSLME. However, since numerous ongoing complementary activities are now taking place in
the Bohai Sea (such as the East Asia Seas GEF Project demonstration site, the GEF Ballast Water
demonstration site at Dalian, and a large ADB project on Coastal Zone Management for the Bohai Sea),
the Bohai Sea is not included in the geographic scope of the YSLME GEF Project. The Meeting agreed
that the PRC will make available to the YSLME ecological and environmental data from the adjacent
Bohai Sea, including in particular data from EAS and ADB projects, that may help understand the
interactions between the Bohai Sea and the YSLME.
A21. For the purposes of this GEF project, the Yellow Sea LME intervention is defined by:
· to the south, the line connecting the north bank of the mouth of the Chang Jiang (Yangtze River)
to the south side of Cheju ;
· to the east, the line connecting Cheju Island to Jindo Island along the coast of the ROK; and
· to the north, the line connecting Dalian to Penglai (on the Shandong Peninsula).
- A-4 -
A22. The coastal/upland boundary within the drainage basins is defined at the mouths of the major
rivers (as conduits of contaminant input to the YSLME), whereas coastal zones are defined according to
existing national programs.
- A-5 -
Annex A. Incremental Cost Matrix
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
I. Develop
A. Stock assessment
Baseline
16,130,873
Stock assessment information is lacking, limited,
Lack of reliable statistics on the regional stocks of major
Regional
or outdated in most countries. Irregular trawl and
commercial fishes. Assessment of transboundary stocks
Strategies for
acoustic surveys exist in national waters.
is practically non-existent. Threatened and endangered
Sustainable
migratory species are protected on a very small scale.
Management
Alternative
18,839,445
Increased baseline information and strengthened
Sustainable use of transboundary stocks, building on
of Fisheries,
national capacity for sustainable fisheries
sound stock assessment and region-wide monitoring.
and
management. Regional Stock Assessment
Effective mechanism for regional annual stock
Mariculture
assessment.
Increment
GOV Co-finance
1,062,500
GEF Co-finance
1,646,072
I. Develop
B. Carrying capacity
Baseline
963, 855
Limited capabilities and technologies for assessing Lack of regional carrying capacities analysis.
Regional
in fisheries and
the carrying capacity of the YSLME.
Strategies for
mariculture
Sustainable
Alternative
1,270,497
Increased baseline information on carrying
Performed re-iterative series of regional analysis of
Management
capacity. State-of-the-art-knowledge on carrying
carrying capacity. Mechanism for annual regional
of Fisheries,
capacity analysis.
carrying capacity determination.
and
Increment
Mariculture
GOV Co-finance
80,000
GEF Co-finance
226,642
I. Develop
C. Mariculture
Baseline
58,579,267
Poorly planed and managed unsustainable
Lack of any regional approaches. No common
Regional
production
mariculture in both countries. Lack of baseline
methodology, regulations, or agreements. Lack of data on
Strategies for
data.
transboundary effects.
Sustainable
Alternative
59,715,762
Increased baseline information on status and trends
Joint applied research programme for mariculture.
Management
in mariculture. New mariculture techniques. Pilot
of Fisheries,
demonstration projects in place.
and
Increment
Mariculture
GOV Co-finance
963,855
GEF Co-finance
172,640
- A-7 -
Annex A.
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
I. Develop
D. Disease in
Baseline
446, 747
Lack of baseline data. Insufficient information on
Lack of communication about new diseases, diagnoses,
Regional
mariculture
the state-of-knowledge of disease in mariculture,
and control techniques.
Strategies for
particularly on emerging diseases.
Sustainable
Alternative
567,497
Increased baseline information of disease in
Regional early-warning system about new diseases to
Management
mariculture, particularly on emerging diseases.
reduce transboundary implications.
of Fisheries,
Increment
and
GOV Co-finance
N/A
Mariculture
GEF Co-finance
120,750
I. Develop
E. Regional Fisheries
Baseline
45,833
National fisheries legislation exists in all countries,
Bilateral and multilateral agreements are not complete.
Regional
agreements and
but capacity for enforcement is weak in most cases.
No regional fisheries agreements or convention in place.
Strategies for
National laws
Sustainable
Management
of Fisheries,
and
Mariculture
Alternative
121,583
National
fisheries laws and regulations
Developed and endorsed bilateral or regional agreement
strengthened and enforced
for sustainable use of fisheries resources.
Increment
GOV Co-finance
N/A
GEF Co-finance
75,750
I. Develop
F. Fisheries
Baseline
N/A
Lack of sustainable mechanism for effective
Lack of regional fisheries management plan
Regional
Management plan
fisheries management
Strategies for
Sustainable
Alternative
75,000
Strengthened national capacity for effective
Improved fisheries management in the YSLME.
Management
fisheries management.
Sustainable use of transboundary stocks building on
of Fisheries,
management plans.
and
Increment
Mariculture
GOV Co-finance
N/A
GEF Co-finance
75,000
I. Develop
Total ROK
GOV Co-finance
1,142,500
Regional
Strategies for
Sustainable
Total PRC
GOV Co-finance
2,722,891
Management
of Fisheries
and
Total Objective
GOV Co-finance
3,865,391
Mariculture
- A-8 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II. Propose
A. Habitat
Baseline
14,754,821
Risk assessment information on vulnerable habits
Urgent need for a comprehensive overview on the state
and
conservation
and biodiversity threats is lacking, limited, or out
of regional habitat. No regionally coordinated strategies
Implement
of date in both countries. Countries have plans for of conservation and restoration of habitats exist.
Effective
protected areas, but capacity for enforcement is
Regional
weak in most cases.
Initiatives for
Alternative
15,056,233
Increased baseline information on existing national
Implemented Regional Strategy for Conservation Areas,
Biodiversity
status and practices of coastal habitat use,
including identification of priority locations for the
Protection
conservation, and restoration. National
creation of new protected areas. Conservation of habitats
biodiversity conservation programmes in
of global significance. Regional network of protected
accordance with NEAP's. Institutional
areas as a part of global scenario.
strengthening through training.
Increment
GOV Co-finance
N/A
GEF Co-finance
301,412
II. Propose
B. Vulnerable species
Baseline
N/A
Risk assessment information on vulnerable species Lack of reliable information of vulnerable
and
and threats is lacking, limited, or out of date in
transboundary species. Lack of regionally coordinated
Implement
most countries. Most of the countries have plans
strategies for protection of vulnerable species
Effective
for protection of endangered species, but capacity
Regional
for enforcement is weak in most cases.
Initiatives for
Alternative
155,600
Increased baseline information on existing status of
Implemented regionally coordinated strategies for
Biodiversity
vulnerable species and vulnerable tropic linkages.
protection of vulnerable species. Conservation of
Protection
National biodiversity conservation programmes in
species of global significance.
accordance with NEAP's. Institutional
strengthening through training.
Increment
GOV Co-finance
N/A
GEF Co-finance
155,600
II. Propose
C. Genetic diversity
Baseline
2,561,666
Lack of national situations of genetic degradation
Lack of regional consensus on the requirements for
and
of important bio-resources.
conservation of gene pool.
Implement
Alternative
2,910,666
Increased baseline information of genetic
Implemented recommendations for conservation of
Effective
degradation of important bio-resources.
specific gene pool.
Regional
Increment
Initiatives for
GOV Co-finance
N/A
Biodiversity
GEF Co-finance
349,000
Protection
- A-9 -
Annex A:
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II. Propose
D. Introduced species
Baseline
N/A
Lack of baseline data on the introduced exotic
Lack of regional data on introduced exotic species. No
and
species and their pathways. Uncertainties on
regulations or control in place.
Implement
impacts and risks.
Effective
Alternative
217,368
Increased baseline information on introduced exotic
Identified actions to mitigate threats from possible
Regional
species and their pathways, assessment of impacts
introduction of exotic species to the YSLME
Initiatives for
and risks. National rules for regulations and
transboundary biodiversity.
Biodiversity
control of exotic species.
Protection
Increment
GOV Co-finance
N/A
GEF Co-finance
217,368
II. Propose
E. Biodiversity
Baseline N/A
Basic
regulations
for the biodiversity protection
Both countries are signatory of CBD, CITES, Bonn, and
and
Regulations
exist in both countries, but capacity for
Ramsar conventions. Lack of regional agreements or
Implement
enforcement is weak in most cases. Lack of
convention on the biodiversity protection of the
Effective
information on effectiveness of protected
YSLME.
Regional
measures.
Initiatives for
Alternative
121,140
Reviewed national regulations and effectiveness of
Regionally coordinated strategies for biodiversity
Biodiversity
protected measures. Strengthen existing laws and
protection developed and implemented. Regional
Protection
regulations. Adoption of new laws.
agreements in place.
Increment
GOV Co-finance
N/A
GEF Co-finance
121,140
II. Propose
F. Regional
Baseline
602,410
Biodiversity action plans exist in both countries.
No regional approaches developed.
and
Biodiversity
Lack of national YSLME biodiversity protection
Implement
assessment and
priorities.
Effective
regional Biodiversity
Regional
Action Plan
Initiatives for
Alternative 708,170
Clarified
national YSLME biodiversity protection
Regional Biodiversity Action Plan, including investment
Biodiversity
priorities. Improve, through training, national
strategy, implemented.
Protection
institutions for implementation of national
YSLME action plans.
Increment
GOV Co-finance
N/A
GEF Co-finance
105,760
- A-10 -
Annex A
Incremental Cost Matrix (continued)
Component Sub-component Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
II. Propose
Total ROK
GOV Co-finance
0
and
Implement
Effective
Total PRC
GOV Co-finance
1,759,036
Regional
Initiatives for
Biodiversity
Total Objective
GOV Co-finance
1,759,036
Protection
III. Propose
A. Stressors to
Baseline 21,751,544
Uncertainties
regarding the status and pathways of Lack of regionally agreed approaches and
and
Ecosystem
natural and human-induced stressors to the
methodologies to assess and rank stressors to the
Implement
ecosystem. Lack or weakness of legal measures to YSLME. Lack of regional legal measures to reduce the
Actions to
reduce the stress to the ecosystem
stress to the ecosystem.
Reduce Stress
Alternative
21,913,684
Natural
and human-induced stresses on the
Corrective measures to minimize the human-induced
to the
ecosystem identified and ranked. Identified data
stress identified and implemented. Regional policies and
Ecosystem,
and information gaps.
legal measures identified and implemented.
Improve
Increment
Water Quality
GOV Co-finance
N/A
and Protect
GEF Co-finance
162,140
Human Health
III. Propose
B. Carrying Capacity
Baseline
N/A
State of the Environment Reports, including
Lack of regional understanding to coordinate joint
and
of Ecosystem
national coastal and marine areas. Lack of
actions to reduce or prevent transboundary impacts.
Implement
transboundary approach to the YSLME
Actions to
environmental problems. Insufficient information
Reduce Stress
on new and innovative technologies to assess the
to the
ecosystem.
Ecosystem,
Alternative
908,760
Assessment of carrying capacities of the
Establishment of regional scientific and technical
Improve
ecosystem. Identification of root causes of
framework for monitoring the changing status of
Water Quality
environmental degradation on the YSLME and
YSLME and its transboundary impacts.
and Protect
possible mitigation actions.
Human Health Increment
GOV Co-finance
480,000
GEF Co-finance
428,760
- A-11 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III. Propose
C. Contaminant Inputs
Baseline
36,667
Existing national capacities for effective marine
Lack of regional capacities for effective marine
and
contaminant reduction and mitigation are usually
contaminant reduction and mitigation; poor regional
Implement
weak and poorly focused. No common standards
interaction.
Actions to
or guidelines developed.
Reduce Stress
Alternative
198,079
Strengthen
national capacities for effective marine Regional system of effective marine contaminant
to the
contaminant reduction and mitigation.
reduction and mitigation. Regional quality and assurance
Ecosystem,
system established.
Improve
Increment
Water Quality
GOV Co-finance
N/A
and Protect
GEF Co-finance
161,412
Human Health
III. Propose
D. Contaminant
Baseline
11,879,478
Existing national monitoring capabilities are
Lack of regional monitoring networks and poor regional
and
Levels
usually weak and poorly focused. No common
interaction. Absence of regional legal agreement to
Implement
standards or guidelines developed. Increased
mitigate contamination
Actions to
baseline information on contaminants and nutrient
Reduce Stress
levels.
to the
Alternative
12,299,798
Fully
operational, upgraded, and strengthened
Network of monitoring centres throughout the region.
Ecosystem,
national monitoring system in each country.
Reliable data to catalyze reduction of existing and
Improve
Highly qualified trained staff. Ratification and
prevention of new types of contamination.
Water Quality
implementation of international conventions by
and Protect
each country.
Human Health Increment
GOV Co-finance
320,000
GEF Co-finance
100,320
III. Propose
E. Harmful Algal
Baseline
11,224,759
Lack of baseline data on HAB's and emerging
Lack of regional monitoring capabilities to assess HABs
and
Blooms and Emerging
disease and their impact on bio-resources and
and emerging diseases in YSLME. No management
Implement
Disease
human health.
and mitigation strategies.
Actions to
Reduce Stress
Alternative
11,383,399
Increased baseline information on HAB's and
Established a well-functioning monitoring network for
to the
emerging diseases. Comparative analysis of cause
HAB's and emerging diseases. Regional management
Ecosystem,
patterns and impacts on bio-resources and human
and mitigation strategies developed and implemented.
Improve
health. Strengthened institutions through training.
Water Quality
Increment
and Protect
GOV Co-finance
N/A
Human Health
GEF Co-finance
158,640
- A-12 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III. Propose
F. Hot Spots Analysis
Baseline
7,794,608
Lack of common methodologies to identify and
Lack of regionally adopted procedures for remediation
and
rank hot spot sources and non-point sources of
and prevention. Insufficient funding base.
Implement
water quality degradation. Insufficient funding and
Actions to
knowledge base. Lack of sufficient baseline data.
Reduce Stress
to the
Ecosystem,
Improve
Water Quality
Alternative
8,093,888
Strengthen
national capabilities to determine and
Regional procedures for remediation and prevention
and Protect
rank hot spot sources of water quality degradation. adopted. Financial resources secured.
Human Health Increment
GOV Co-finance
N/A
GEF Co-finance
299,280
III. Propose
G. Emergency
Baseline
155,000
National network for emergency response exist,
Regional coordination for emergency response remains
and
Planning And
and contingency plans are developed but the
underdeveloped.
Implement
Preparedness
implementation is poor. Insufficient funding base.
Actions to
Alternative
306,320
National
marine
pollution preparedness, response,
Major reduction in risks of regional environmental
Reduce Stress
and contingency plans enforced.
degradation. YSLME Regional contingency plan. Strong
to the
regional network of responsible authorities.
Ecosystem,
Increment
Improve
GOV Co-finance
N/A
Water Quality
GEF Co-finance
151,320
and Protect
Human Health
III. Propose
H. Legal and
Baseline
33,333
All countries in the Region have some form of
No regional coordinating mechanisms exist, perhaps in
and
Regulatory
legal framework for the protection of their own
the absence of regional legal documents. Both countries
Implement
coastal and marine environments, but enforcement have ratified several international convention and
Actions to
is poor.
agreements.
Reduce Stress
Alternative
113,093
Legal
framework for addressing transboundary
Existing national and international laws and conventions
to the
problems established. Institutions strengthened
surveyed. Coordinated proposals drafted for improved
Ecosystem,
through training in environmental planning and
water quality legislation and regulation.
Improve
management.
Water Quality
Increment
and Protect
GOV Co-finance
N/A
Human Health
GEF Co-finance
79,760
- A-13 -
Annex 1: Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
III. Propose
I. Fate And Transport
Baseline
1,440,612
Poor understanding of fate and transport of
Lack of regional strategies to assess the fate, transport,
and
Analysis To Facilitate
contaminants. Limited modeling capabilities.
and risks of contaminants and nutrients.
Implement
SAP Analysis
Actions to
Reduce Stress
Alternative
1,793,452
Increased baseline information of fate and transport Performed fate and transport analyses for management
to the
of contaminants and nutrients. Strengthened
and policy development, including EIA process and
Ecosystem,
national capabilities through training.
ICZM. Regional training activities for environmental
Improve
risk assessment implemented.
Water Quality
Increment
and Protect
GOV Co-finance
N/A
Human Health
GEF Co-finance
352,840
III. Propose
Total ROK
GOV Co-finance
800,000
and
Implement
Actions to
Reduce Stress Total PRC
GOV Co-finance
1,759,036
to the
Ecosystem,
Improve
Water
Quality, and
Total Objective
GOV Co-finance
2,559,036
Protect
Human
Health
IV. Develop
A. Stakeholders
Baseline N/A
Stakeholders
involvement in the environmental
Awareness programmes in the individual countries
and Pilot
Involvement
management and decision-making process is weak rarely cover regional issues.
Regional
Alternative
316,500
Identified
and strengthened capacities for
Effective involvement of stakeholders in environmental
Institutional
stakeholders' involvement in the YSLME
and resource management, as well as the decision-
and Capacity
making process, to address the YSLME environmental
Building
issues and root causes.
Initiatives
Increment
GOV Co-finance
N/A
GEF Co-finance
316,500
- A-14 -
Annex A
Incremental Cost Matrix (continued)
Component Sub-component Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
IV. Develop
B. Regional
Baseline
187,500
Lack of regional coordination mechanism.
Some form of regional cooperation between each
and Pilot
coordination
country's Ministries of Environment.
Regional
Alternative
3,374,791
Effective co-ordination and implementation of
Effective regional coordination mechanism for the
Institutional
national activities, as well as integration of these
YSLME sustained through regional agreements
and Capacity
environmental activities into national policies and
Building
investment programmes. Strengthened institutional
Initiatives
and human capacity through training and active
involvement of national experts in the TDA and
SAP preparation.
Increment
GOV Co-finance
N/A
GEF Co-finance
3,187,291
IV. Develop
C. National
Baseline
963,855
Lack of ability to contribute to environmental
Some form of regional cooperation between national
and Pilot
Institutions
management and decision-making.
institutions in both countries. Joint oceanographic
Regional
programme. Lack of sustainable contributions to the
Institutional
YSLME
and Capacity
Alternative
2,094,477
Strengthened
national institutions, as well as
Effective regional network of institutions to address the
Building
enhanced ability to contribute to environmental
YSLME environmental issues and root causes.
Initiatives
management and decision-making.
Increment
GOV Co-finance
650,602
GEF Co-finance
480,020
IV. Develop
D. Financial
Baseline
N/A
Insufficient financial support for the protection
No regional investment strategy developed.
and Pilot
Instruments
and rehabilitation of the YSLME.
Regional
Alternative
3,007,840
Improved
national capacities and training in
Implemented pre-feasibility studies of promising
Institutional
environmental project identification and
technologies and industries to help achieve the goals of
and Capacity
preparation. Small environmental grants
the YSLME, to create an investment portfolio (Priority
Building
programme developed, with priority investment
Investment Portfolio). Long term environmental
Initiatives
projects developed for each country.
investment to implement the SAP and NYSAP's
established
Increment
GOV Co-finance
N/A
GEF Co-finance
3,007,840
- A-15 -
Annex A
Incremental Cost Matrix (continued)
Objective Component
Cost Category
Cost
Domestic Benefits
Global Environmental Benefits
IV. Develop
E. Data and
Baseline
734,362
Countries in the region have national
Data and information exchange between countries is
and Pilot
Information
environmental data centres, and some have GIS.
weak. No regional data centres. No regional quality
Regional
Management
Data for the YSLME are stored in different
assurance.
Institutional
institutions. No information or decision support
and Capacity
system available.
Building
Alternative
1,197,892
Strengthening or creation of national
Regional YSLME Networking Information System
Initiatives
environmental data centres and institutions
including data on Institutional capacities, scientists,
through provision of equipment, training, and
environmental projects, environmental data sets in the
networking. Easy and reliable access to electronic
region, and GIS, accessible via Internet to the world
means of communication, data, and information
community. High quality, reliable data on YSLME
exchange. Stakeholders trained and willing to use
environmental issues. Sustainable regional mechanism
GIS and Information systems.
for DIM for effective management of the YSLME.
Increment
GOV Co-finance
80,000
GEF Co-finance
383,530
IV. Develop
F. Public Awareness
Baseline
11,776,667
Some form of environmental public awareness and
Awareness programmes in the individual countries rarely
and Pilot
And Participation
participation exists. Few active environmental
cover regional issues.
Regional
NGO's addressing YSLME problems. Public
Institutional
participation in resource management and coastal
and Capacity
development decisions is not sufficient.
Building
Alternative
12,267,827
Increased environmental awareness at the national
Increased public awareness and support for regional
Initiatives
and community levels. Local environmental NGO's
environmental issues. Enhanced overall effectiveness of
and community groups obtain grants to carry out
environmental awareness programmes through the
projects.
organization of concerted region-wide activities, as well
as exchange of lessons learned through an active regional
network of NGO'ss and community groups.
Increment
GOV Co-finance
N/A
GEF Co-finance
491,160
IV. Develop
Total ROK
GOV Co-finance
80,000
and Pilot
Regional
Total PRC
GOV Co-finance
650,602
Institutional
and Capacity
Building
Total Objective
GOV Co-finance
730,602
Initiatives
- A-16 -
Annex A:
Summary Incremental Cost Matrix
Objective
Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
I. Develop
A. Stock Assessment
16,130,873 18,839,445 1,062,500 1,646,072
Regional
B. Carrying Capacity in Fisheries and Mariculture
963,855
1,270,497
80,000 226,642
Strategies for
C. Mariculture Production
58,579,267 59,715,762
963,855 172,640
Sustainable
D. Disease in Mariculture
446,747
567,497
N/A
120,750
Management of
Fisheries, and
E. Regional Fisheries Agreements and National Laws
45,833 121,583
N/A 75,750
Mariculture
F. Fisheries Management Plan
N/A
75,000
N/A
75,000
Total ROK
59,764,166
1,142,500
Total PRC
16,402,409
2,722,891
Total Objective
76,166,575
82,348,820
3,865,391
2,316,854
II. Propose and A. Habitat Conservation 14,754,821
15,056,233
N/A
301,412
Implement
B. Vulnerable Species
N/A
155,600
N/A
155,600
Effective
C. Genetic Diversity 2,561,666
2,910,666
N/A
349,000
Regional
D. Introduced Species
N/A
217,368
N/A
217,368
Initiatives for
Biodiversity
E. Biodiversity Regulations N/A
121,410
N/A
121,140
Protection
F. Regional Biodiversity Assessment & Regional Biodiversity Action Plan
602,410 708,170
N/A 105,760
Total ROK
16,111,668
0
Total PRC
1,807,229
1,759,036
Total Objective
17,918,897
20,928,213
1,759,036
1,250,280
III. Propose and A. Stressors to Ecosystem 21,751,544
21,913,684
N/A
162,140
Implement
B. Carrying Capacity of Ecosystem
N/A
908,760
480,000 428,760
Actions to
C. Contaminant Inputs
36,667
198,079
N/A
161,412
Reduce Stress to D. Contaminant Levels
11,879,478
12,299,798
320,000 100,320
the Ecosystem,
Improve Water
E. Harmful Algal Blooms and Emerging Disease
11,224,759
11,383,399
N/A
158,640
Quality, and
F. Hot Spots Analysis
7,794,608
8,093,888
N/A
299,280
Protect Human
G. Emergency Planning and Preparedness
155,000
306,320
N/A
151,320
Health
H. Legal and Regulatory
33,333
113,093
N/A
79,760
I Fate and Transport Analysis to Facilitate SAP Analysis
1,440,612 1,793,452
N/A
352,840
Total ROK
13,809,977
800,000
Total PRC
40,506,024
1,759,036
Total Both Objective
54,316,001
58,769,509
2,559,036
1,894,472
- A-17 -
Annex A
Summary Incremental Cost Matrix (continued)
Objective Component
Baseline (B) Alternative (A)
Increment (A-B)
Governments GEF
IV. Develop and A. Stakeholders Involvement
N/A
316,500 N/A
316,500
Pilot Regional
B. Regional Coordination
187,500
3,374,791
N/A
3,187,291
Institutional and C. National Institutions
963,855 2,094,477
650,602
480,020
Capacity
D. Financial Instruments
N/A
3,007,840
N/A
3,007,840
Building
Initiatives
E. Data and Information Management
734,362
1,197,892
80,000
383,530
F. Public Awareness and Participation
11,776,667
12,267,827
N/A
491,160
Total ROK
12,180,457
80,000
Total PRC
1,481,927
650,602
Total Both Objective
13,662,384
22,259,327
730,602
7,866,341
Total 162,063,857
184,305,869 8,914,065 13,327,947
PDF-B: 349,650 US$
Project Support Costs: 1,066,236 US$
Total Project Costs: 14,743,833 US$
- A-18 -
Figure A-1:
Allotment of GEF Incremental Financing for YSLME Project
Expenditure Partitioning
Int'l
Regional
International Expenditures
Cons_int'l
Travel_int'l
Equip_Int'l
Other_int'l
Regional Expenditures
Cons_local
Travel_local
Equip_local
Other_loca
- A-19 -
ANNEX B LOGFRAME MATRIX
Component
Intervention Logic
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
Long-term development /
0.1 Defined regional ecosystem;
Steering Committees (SC) annual
Assume continued national commitment to the regional program at
environment Objectives:
management framework implemented
reports; PCU documents;
each sector level, including offer of national resources. The ability
environmentally-sustainable
by year;
PCU and technical reports;
of the SC and PCU to formulate and implement community-based
management and use of the YSLME
0.2 Improvements in catch-per-unit effort
Working groups reports;
solutions relies on the support of national agencies through
and its watershed: reducing
by year 5;
Interministerial Coordinating
coordinated (but independent) actions. The GEF project will create
development stress and promoting
0.3 Improved water quality for target
Committee reports;
a model that can be adopted in the future as a permanent activity of
sustainable development of the
contaminants by year 5;
For Biodiversity, pentadal census.
the individual national sectors. Broad Stakeholder Participation.
ecosystem from a densely populated,
0.4 Reversal in trend of proliferation of
heavily urbanized, and industrialized
HABs by year 5;
semi-enclosed shelf sea
0.5 Loss of Biodiversity slows by year 5;
0.6 Final TDA prepared and agreed, end
of year 2;
0.7 Strategic Action Programme (SAP)
formulated and endorsed at ministerial
level in each country, end of year 4;
0.8 Yellow Sea Large Marine Ecosystem
National Action Plans (YSNAPs) for
each country formulated and endorsed
by end of year 3;
0.9 Agreed set of indicators (process,
stress reduction, environmental status)
to monitor progress of SAP
implementation by end of year 4.
Project purpose: Formulation of a
TDA published and broadly
Remedial actions can be costly and/or unpopular in some sectors. A
Transboundary Diagnostic Analysis
disseminated;
well-designed monitoring program will provide objective technical
(TDA) , National Yellow Sea Action
Countries endorse SAP;
information with which to assess the success (or failure) of specific
Plans and a Strategic Action
National and donor commitments to
management actions and can be used to adjust future actions.
Programme (SAP). Facilitation of
financing SAP and YSNAP
the initial steps of the implementing
implementation;
SAP to manage shared marine
PCU and technical reports.
resources and achieve sustainable
development for the Yellow Sea
Large Marine Ecosystem.
Develop a mechanism to objectively
measure effects of management
actions
- B-1 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective I. FISHERIES/MARICULTURE
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
1.1 Summary of existing state
Delivery of report by end of yr2
Project files
of knowledge
Working group reports.
·
1.1 Identification of legislative
gaps
SAP
Draft disseminated to regional stakeholders
·
1.2 Draft fisheries
and governments by end of yr3
management plans
·
1.2 Draft regional agreement
Working group reports.
for fisheries management
NCU records
·
1.2 Drafts of strengthened
Database outputs used by NCUs by end of
national fisheries laws
yr3
·
1.2 Fisheries database
Interministerial Coordinating
·
1.3 Pilot projects
Endorsed by governments by end of yr4
Committee reports
SAP IMPLEMENTATION
·
1.2 Regional agreement
ACTIVITIES
A. Stock Assessment
Fisheries stocks status reports.
Project files
The countries will agree to perform a joint stock assessment. The
·
1.1 Review existing data and
Working group reports.
risk is low since this is one of their priority actions identified during
diagnose condition of stocks
Procurement records of PCU
the PDF-B phase.
·
1.1 Perform demonstration of
Equipment purchased by yr1
Project files
regional survey
Survey results written up by end of yr2
·
1.2 Develop common
Methodology for joint regional stock
methodology for joint regional
adopted by both countries by end of yr3
stock assessment
Publication reference provided by PCU
·
1.2 Perform initial joint
Assessment published by end of yr1
regional stock assessment
·
1.2 Create mechanism for
Assessments are undertaken annually by
Relies on political will to find ongoing regional efforts.
regional annual stock
end of yr5
assessment
B. Assessing Carrying Capacity
Report published and widely distributed.
Publication reference provided by PCU
Carrying Capacity gaps defined and process developed to fill in
·
1.1 Review existing
Working group reports.
knowledge gaps.
knowledge and identify gaps
·
1.1 Complete knowledge gaps
Project files
·
1.1 Perform iterative series of
Analysis results available to PCU by end of
analysis
yr3
Government or regional body
Regional agreements on methodology to assess carrying capacity.
·
1.2 Undertake annual carrying
Carrying capacity estimates published
publication records
capacity determination
annually after yr3
Interministerial Coordinating
Relies on political will to find ongoing regional efforts.
Committee reports
C. Mariculture Production
Scientific reports published.
Project files
Existing status and trends reviewed regularly.
·
1.1Review existing status and
Progress reports completed annually.
trends
First reports of joint research programme
Working group reports.
·
1.2 Develop joint research
published by end of yr5.
Interministerial Coordinating
Full stakeholder participation to ensure acceptability of new
program
Committee reports
mariculture techniques.
·
1.3 Undertake pilot
demonstrations
·
1.3 Assist region to implement
mariculture techniques
- B-2 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective I. FISHERIES/MARICULTURE
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
D. Disease in Mariculture
Progress reports completed annually.
Project files.
Joint development and demonstration of new technology between
(CONT')
·
1.1 Review existing
Working group reports.
countries, which results in increased communication regarding
knowledge
Countries agree to use new technology by
emerging diseases, diagnosis, and control.
·
1.1 + 1.3 Develop and
end of yr3.
demonstrate new technology
for diagnosis, prevention and
Early-warning system operative by end of
Interministerial Coordinating
Full Stakeholder participation.
control
yr5
Committee reports
·
1.2 Facilitate communication
E. Regional Agreements and
Commitment of countries to development and endorsement of
National Laws
Status report published.
Project files.
regional agreements, as well as the strengthening of existing
·
1.1 Review existing national
regulations.
laws and international
agreements
Regional agreement endorsed by end of yr3
Interministerial Coordinating
·
1.2 Develop regional
Committee reports.
agreement for sustainable use
of fisheries resources
New laws enacted nationally by end of yr5.
Parliament records and NCU files.
·
1.2 Propose measures for
strengthening laws
F. Management Plan
Status report published by end of yr2.
Project files.
Maintenance of sustainable fish populations will require the
·
1.2 Develop regional fisheries
Country endorsement and implementation
Interministerial Coordinating
reduction of system stresses, including chemical contamination and
management plans
of management plan by end of yr5
Committee reports.
fishing pressure. Such remedial actions directly affect individuals
·
1.3 Implement plans
or organizations now doing business in the region and early
identification/ education of stakeholders will be necessary for
compliance with these actions. Some mechanism to compensate
the affected stakeholders must be found to gain their cooperation.
- B-3 -
ANNEX B. LOGFRAME MATRIX (continued)
OBJECITVE: II. BIODIVERSITY PROTECTION
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
2.1 Regional biodiversity
Delivery of assessment by end of yr2.
Project files
assessment.
List prepared by end of yr1.
Working group reports.
·
2.1 List of existing legal and
regulatory frameworks for
biodiversity in the YSLME.
Interministerial Coordinating
SAP
Action Plan and investment strategy
Committee reports
· 2.2 Regional Biodiversity Action
endorsed by government by end of yr3.
Plan, including Regional Strategy
for Conservation Areas, regional
strategies for protection of
vulnerable species, and regional
consensus on the conservation of
gene pool.
· 2.2 Investment strategy.
· 2.2 Proposals for regulation and
Parliament records
control of exotic species.
SAP IMPLEMENTATION
New laws passed by relevant government
· 2.2 New laws for regulation and
mechanisms by end of yr4
Copies of project documents or govt.
control of exotic species identified.
commitment on project files.
· 2.3 Funded biodiversity projects
Signed project documents, or evidence of
responding to the priority actions
financial commitment from govts, for
of the Regional Biodiversity
Regional Strategy actions by end of yr5
Action Plan.
ACTIVITIES
A. Habitat Conservation
Regional Strategy for Conservation Areas
Copy of signed strategy on project files.
Countries adopt regional strategy, and financial mechanisms are
· 2.1 Review existing practices
adopted by end of yr3.
Acknowledgement of new protected
identified.
· 2.2 Develop regionally
5 new protected areas identified by end of
areas by relevant Ministries.
coordinated strategies
yr2.
Interministerial Coordinating
· 2.3 Implement Regional Strategy
Signed project documents, or evidence of
Committee reports.
for Conservation Areas
financial commitment from govts, for
Copies of project documents or govt.
Regional Strategy actions by end of yr5
commitment on project files.
B. Vulnerable Species.
National review completed by end of yr2.
Project files.
Regional agreement is reached in line with national priorities. The
·
2.1 Conduct national review of
Strategies for protection of vulnerable
SC minutes.
risk in minimized since both countries have ratified several
status
species adopted by SC and endorsed by
Interministerial Coordinating
international conventions for protection of vulnerable species.
·
2.2 Develop regionally
relevant Ministries by end of yr3
Committee reports.
coordinated strategies
Signed project documents, or evidence of
Copies of project documents or govt.
·
2.3 Implementation of regionally
financial commitment from govts, for
commitment on project files.
coordinated strategies
regional strategies by end of yr5.
C. Genetic Diversity.
National determinations done by end of yr2.
Project files.
Protection of natural gene pools (including non-commercial species
·
2.1 Determine degradation of
Agreement between countries signed by end
Working group reports.
which support economically valuable resources) by a variety of
important bio-resources
of yr3.
Copy of signed agreement on project
mechanisms will be needed to address this issue.
·
2.2 Develop regional consensus
Recommendations endorsed by countries by
files.
on conservation requirement
end of yr5.
Endorsement on project files.
·
2.3 Prepare recommendations for
conservation measures
- B-4 -
ANNEX B. LOGFRAME MATRIX (continued)
OBJECTIVE: II. BIODIVERSITY PROTECTION
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
D. Introduced Species
Documentation completed by end of yr2
Project files.
Proposals for regulation and control of exotic species agreed upon
(CON'T)
·
2.1 Document introduced exotic
Ballast water treatment and prevention
Ratification of agreement gazetted by
by countries (and/or countries adopt and ratify anticipated new
species
agreement ratified and distributed by end
protocol/convention secretariat.
IMO ballast water protocol or convention)
·
2.2 Develop proposals for
of yr4.
Copies of project documents or govt.
regulation and control.
Signed project documents, or evidence of
commitment on project files.
·
2.3 Implement strategy for
financial commitment from govts, for
Interministerial Coordinating
regulation and control
implementation of regulatory strategy by
Committee reports
end of yr5.
E. Regulations.
Review completed by end of yr1.
Project files.
Effective environmental resource protection derives from a
·
2.1 Review national regulations
Biodiversity conservation agreement
Copy of signed agreement on project
combination of regulatory and non-regulatory actions. Before
and assess effectiveness
signed and ratified by end of yr3.
files.
recommendations for effective regulatory changes can be made, a
·
2.2 Develop regionally
Interministerial Coordinating
survey of existing national and international regulations needs to be
coordinated strategies
Committee reports
performed.
F.
Regional Assessment and
see indicators for OUTPUTS
Ratification of the Regional Biodiversity plan. The risk is
Regional Biodiversity Action
minimized since both countries have ratified the CBD.
Plan
Donors' commitments secured.
·
2.2 Coordinate above activities
into a biodiversity assessment,
Regional Biodiversity Action
Plan, and investment strategy.
- B-5 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective III. REDUCING STRESS
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
3.1 Data on identified stresses
Reports completed by end of yr2
Working group reports.
SAP
·
3.2 Proposals for upgrading
Proposals submitted to potential donors by
Project files.
the regional monitoring
end of yr4
network
SAP IMPLEMENTATION
Funding identified by end of yr5.
Letters of intent/commitment from
·
3.2 Regional planning and
countries and donors.
preparedness strategies
ACTIVITIES
A. Stressors to Ecosystem
Once data and information gaps are identified, implementation of
·
3.2 Identify and rank stresses
Technical report published by end of yr2
Working group reports.
new measures to reduce stressors will take place.
·
3.2 Identify corrective
Progress reports published annually
measures
·
3.2 Identify policies and legal
measures
·
3.2 Develop strategy for long-
term sustainability of
investments
·
3.3 Implement corrective
measures
B. Carrying Capacity of the
State of the environment report published
Working group reports.
Regional strategies must be developed for monitoring the changing
Ecosystem
by end of yr5.
status of the ecosystem. Countries will have to facilitate
·
3.1 Assess carrying capacities
implementation of new strategies for constantly improving the
under changing stresses
ecosystem.
·
3.1 Identify information gaps
·
3.2 Develop strategies for
monitoring changes
New carrying capacity methodology must be developed and agreed
·
3.1 Prepare state-of-ecosystem
regionally.
reviews and reports
·
3.3 Facilitate implementation
of strategies
C. Contaminant
Inputs
[Regional quality control and assurance
Working group reports
Countries will have to agree upon regional priorities and strategies
·
3.1 +3.3 Assess and monitor
system establishedby end of yr2.
Project files.
to reduce contamination to sustainable levels, including promotion
contaminant and nutrient levels
Annual contaminant input reports
activities which involves sharing new developments and
·
3.2 Develop regional priorities
published.
technologies.
and strategies to reduce levels
·
3.3 Facilitate implementation
Letters of intent/commitment from
of strategies
countries and donors.
D. Contaminant
Levels
Monitoring data reports and annual reports
Working group reports
A well-designed monitoring program will provide objective
·
3.1 Develop baseline data
published.
Project files
technical information with which to assess the success (or failure) of
·
3.2 Develop regional
specific regional management actions and can be used to guide
monitoring network strategy
Donors and country commitments to the
Letters of intent/commitment from
future actions. In-country and international sources of support will
·
3.2 Develop funding
regional monitoring network confirmed by
countries and donors.
need to be identified and secured to assure acceptance and
mechanism to implement
end of yr5.
implementation.
monitoring strategy
- B-6 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective III. REDUCING STRESS
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
E. Harmful Algal Blooms and
Working group reports
Countries will have to facilitate regional management and mitigation
(CON'T)
Emerging Disease
Monitoring data reports and annual reports
Project files
implementation of the causes, patterns, and impacts of HABs and
·
3.1 Undertake comparative
published.
Emerging Disease on bio-resources and human health.
analysis of causes and impacts
·
3.3 Monitor HABs
·
3.2 Develop management and
mitigation strategies
Strategies agreed upon and implementation
Interministerial Coordinating
·
3.3 Facilitate regional
begun by end of yr5
Committee reports
management implementation
F. Hot Spots Analysis
Working group reports.
Facilitation of procedures for re-mediation and prevention of hot
·
3.2 Determine and rank hot
Technical report published by end of yr2
Project files.
spots can result only through securing financial commitments.
spot sources of water quality
degradation
·
3.2 Develop procedures for
Procedures agreed upon by end of yr3
Interministerial Coordinating
remediation
Committee reports
·
3.2 Develop investment
strategies
SAP commitments to hot spot remediation
Letters of intent/commitment from
·
3.3 Facilitate implementation
confirmed by end of yr5.
countries and donors.
of procedures
G. Emergency Planning and
Countries agree to cooperation on joint emergency preparedness and
Preparedness
Working group reports.
response.
·
3.1 Assess national emergency
Technical reports published by end of yr2.
Project files.
and contingency capabilities
·
3.2 Develop strategies for
Strategy agreed by governments by end of
Interministerial Coordinating
rapid and long-term regional
yr3
Committee reports.
responses
Regional actions discussed at SC meetings
SC minutes and workshop reports.
·
3.2 Facilitate regional actions
and workshops.
to enable contingency planning
·
3.2 Harmonize customs,
training.
H. Legal and Regulatory
Countries will agree to take coordinated approach , in spite of socio-
·
3.1 Review and compare
Technical report published by end of yr1.
Working group reports.
economic and political differences.
national regulations and laws
Project files.
on water quality develop
proposals for coordination of
regulations
Regional actions discussed at SC meetings
SC minutes and workshop reports.
·
3.3 Facilitate coordinated
and workshops.
actions to improve legislation
and regulation
- B-7 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective III. REDUCING STRESS
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACTIVITIES
I.
Fate and Transport Analysis to
Governments and institutions must make available results from
(CON'T)
Facilitate SAP Analysis
previous studies, and apply existing models.
·
3.1 Review existing
Technical report published by end of yr2.
Working group reports.
understanding of fate and
Project files.
transport of contaminants
·
3.2 Develop regional
Strategies accepted by SC by end of yr3.
SC minutes.
assessment strategies
·
3.2 Perform fate and transport
Analyses published by end of yr4.
Working group reports.
analyses for management and
policy development, including
EIA process and ICZM
·
3.3 Develop regional training
5 number of training activities held by end
Project files.
activities
of yr5
- B-8 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective IV. Regional Institutions and Capacities
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
OUTPUTS TDA
·
4.1 Stakeholder and
institutional participation
Strategy included in final TDA, which is
SC minutes. UNDP TPR meeting
strategy
approved by SC and UNDP by end of yr2.
minutes.
·
4.1 Final TDA
SAP
500 stakeholders attend working group
Working group reports.
·
4.2 Network of local, national
meetings by end of yr3.
and regional stakeholders
NYSAPs approved by governments by end
Interministerial Coordinating
·
4.2 National Yellow Sea
of yr3.
Committee reports
Action Plans
·
4.2 Strategic Action
SAP approved by governments and UNDP
SC minutes. UNDP TPR meeting
Programme
by end of yr4.
minutes.
SAP IMPLEMENTATION
SAP implementation committed by
Letters of intent/commitment from
·
4.3 Programme of regional and
countries and donors by end of yr5.
countries and donors.
national intersectoral
cooperation
·
4.3 Financial mechanism to
sustain public awareness
ACTIVITIES
A. Stakeholders
Stakeholders identified and involved in
Stakeholders' participation report.
Routine and effective involvement by stakeholders in planning,
·
4.1 Identify stakeholders and
working groups by end of yr1.
management and decision-making can only be accomplished by on-
assess their capabilities for
going encouragement, strengthened capacities, and financial
contributing to environmental
commitment by donors and countries.
management
5 training workshops for stakeholders by
Project files.
·
4.3 Strengthen stakeholder
end of yr3.
capabilities
Barriers to broaden stakeholder participation must be removed.
·
4.1 + 4.3 Encourage
stakeholder involvement
B. Regional
Coordination
The program (i.e., SC and PCU) must effectively communicate the
·
4.1 Create a functioning
Coordination office opened and staff hired
Project files.
issues and the suggested remedies to the national sectors and be
regional coordination
by end of yr5.
Terms of Reference (TORs) and
responsive to national real and perceived needs.
mechanism
10 regional coordination meetings held by
meeting reports.
·
4.2 Identify modes to sustain
end of yr5.
Letters of intent/commitment from
regional coordination
Funds committed for long-term
countries and donors.
mechanism
sustainability of mechanism by end of yr5.
·
4.3 Assist in maintaining
effective regional coordination
C. National
Institutions
40 institutions participate in 10 stakeholder
Meeting attendee lists showing national
Financial and motivational means must be identified to develop
·
4.1+ 4.3 Strengthen capacity to
project meetings over the life of the project
institution participation.
these national institutions into sustainable contributors of the
contribute to environmental
YSLME.
management and decision-
making
·
4.3 Facilitate ongoing
management
- B-9 -
ANNEX B. LOGFRAME MATRIX (continued)
Objective IV. Regional Institutions and Capacities
Objectively Verifiable Indicators
Sources of Verification
Assumptions and Risks
ACITIVITIES
D. Financial
Institutions
Priority Investment Portfolio prepared by
Summary report on PIP published.
Financial support for recommended actions needs to be integrated
(CON'T)
·
4.1 Develop regional small
end of yr5.
Progress reports published.
into YSLME recommendations from the beginning. While
grants program
Feasibility study on economic instruments
Project files.
international and national government support is anticipated, private
·
4.1 + 4.2 Provide training
completed by end of yr5.
commercial and industrial activities must supply substantial funds to
·
4.3 Provide funding for pre-
the Programme.
feasibility studies
·
4.1 Identify a mechanism for
participation of development
banks
E. Data and Information
Regional YSLME Information System
Progress reports published.
Access of data and information for all Stakeholders.
Management
including meta-level data used by 100
Website administration records.
·
4.1 Determine regional data
stakeholders per month by end of yr5.
Distribution records of GIS available on
Government commitments to make available and distribute data
and information management
YSLME activities and data broadly
CD and web.
broadly.
capabilities
disseminated via Internet.
·
4.1 Develop regional DIM
strategy
·
4.3 Implement regional DIM
strategy
F. Public Awareness and
Public awareness and environmental
All recommendations made by the YSLME regional program for
Information
education materials (print and on-line);
remedial and resource protection action will require trade-offs and
·
4.1 Develop public awareness
Reports from annual NGO forum, NGO
will negatively affect someone. To gain cooperation and
campaign
Strong Regional NGOs network established
directory (print and on-line).
compliance, the rationale for action and the real costs incurred need
·
4.2 Demonstrate regional
by end of yr4.
to be fully understood by the affected groups. YSLME needs to
public awareness campaign
Major Stakeholders participate in
List of SAP contributors.
actively assist these groups in finding support to attenuate the
·
4.3 Encourage ongoing public
TDA/NYSAP/ SAP process.
negative effects of resulting changes.
awareness
- B-10 -
ANNEX C STAP
ROSTER TECHNICAL REVIEW
REVIEW OF "PREPARATION AND PRELIMINARY IMPLEMENTATION OF A STRATEGIC
ACTION PROGRAMME FOR THE YELLOW SEA LARGE MARINE ECOSYSTEM"
BY B.J. ROTHSCHILD
OVERVIEW
C1.
The strategic plan is on target and can provide the basis for a successful project. The optimal
utilization of GEF funding requires that all participants have a similar view of goals and objectives and
that they perceive that the goals and objectives are attainable. In this regard the long-term objective of the
project contains various phrases that are difficult to define and harder to implement: 1) ecosystem based
management, 2) environmentally sustainable, 3) reducing development stress and, 4) sustainable
development. In some point in the strategic planning the exact meaning of these phrases needs to be
spelled out in concrete terms particularly with regard to the YSLME. It must be realized that the
components of the project are very different in regard to their potential for practical results. Activities
such as stock assessment, monitoring of pollution and mariculture evaluation are relatively easy to define
and to relate project outputs to project inputs. Less definable and perhaps less useful applied results will
derive from projects oriented toward projects oriented toward genetic diversity and the carrying capacity
of the ecosystem. It is not that these endeavors are unimportant, rather it is that they are essentially
research issues. The practical implementation of the project and the major weight of the project are
loaded toward process rather than substance. That is to say that the funding allocations appear to be more
weighted toward stakeholder involvement than to mariculture production, for example. There is nothing
wrong with this provided that this is the clearly recognized intent of the project. It is not clear without
detailed analysis whether the very expensive substance-related projects are adequately funded. With
regard to the development of regional institutional and capacity building component it is not clear that
sufficient resources are committed to laboratory and computer facilities and the training of technicians
and scientists. At the end of the day the sustainability of the project will be measured in terms of not only
public awareness but in the scientific and technical capacities that have been developed. If the project is
to avoid the pitfalls of other projects such as the Black Sea project, then it might be necessary to focus in
greater detail on explicit resources and mechanisms that are devoted to the monitoring and review of
project progress. If the project is to be transferable among other regions, then it is necessary to devote
resources to global interchange of information.
A. GENERAL OBJECTIVES AND IDENTIFIED ISSUES
C2.
The proposed project has a long-term objective: "ecosystem-based, environmentally sustainable
management and use of the yslme and its watershed: reducing development stress and promoting
sustainable development of the ecosystem from a densely populated, heavily urbanized, and
industrialized semi-enclosed shelf sea." The project is intended to have a five-year duration.
C3.
The project narrative articulated several issues of concern implying that these relate to the long-
term objectives of the project:
1.
Multilateral measures for marine pollution control are particularly deficient.
2.
Lack of formal infrastructure to bring about collaboration and cooperation in monitoring
and research activities.
C-1
3.
Implement ecosystem based management approach to reduce development stress on
ecosystem and to initiate recovery actions leading to the long-term sustainability of the
environment and the resources...
4.
HABs are increasing and might be influence by underwater construction.
5.
The Yellow Sea most intensively exploited in the world
6.
Extensive aquaculture mariculture and cultivated seaweed.
7.
Preventing lags such as the one that occurred in the Black Sea Programme.
B. COMPONENTS OF PROJECT APPROACH
C4.
Four project components have been identified to address the objectives of the program:
1.Regional strategies for sustainable development of fisheries and aquaculture
2.Effective regional initiatives for biodiversity protection
3. Actions to reduce stress to the ecosystem improve water quality and protect human health
4. Development of regional institutional and capacity building.
C. ALLOCATION OF RESOURCES COMMITTED TO PROJECT
C5.
Nearly 40 percent of the project costs are allocated to the project component development of regional
institutions and capacities. Nearly as much has been allocated to sustainable management. Smaller amounts to
biodiversity protection and reducing stress to ecosystem. Since these reflect the totals it is interesting to note that
GEFs contribution is primarily oriented toward the development of regional institutions and capacities.
D. ADDRESSING SPECIFIC QUESTIONS
C6.
D1. Scientific And Technical Soundness--The bulk of the project funds are devoted to
Component IV-- building regional institutions and capacities. So the issue with regard to this particular
allocation is whether it will be devoted specifically to capacity building, that is education, training, and
facilities that focus on the major problems of the ylse. While some aspects of education, training, and
facilities are listed in Component IV, Annex D, it appears that the weight of this component and the
program as a whole are oriented to communication and coordination. I am not sure that this is the best
use of the funding.
C7.
Component I is generally scientifically and technically sound. However, it cannot be stressed
enough that, investigating carrying capacity needs to be defined in the context of inter annual and inter
decadal environ mental variability. Component II will be difficult to execute in a cost-effective way since
biodiversity means many things to many people. Surely "habitat conservation" and "introduced species"
will form the basis for the most relevant work. The same remark on carry capacity is appropriate in
component III. It would be well to focus on contaminant input and levels as well as the specific dynamics
of HABS.
C8.
All in all the projects seem technically sound. The allocation between actual work and
coordinative activities needs to be examined. It must be realized that biodiversity and carrying capacity
issues relate more to research topics than practical studies such as aquaculture \, assessing contaminants,
and stock assessment. The subject of data archival and management is a major cost and does not receive
enough attention.
C9.
D2. Identification of global environmental benefits and or drawbacks. The benefits are of course
important for the region, which involves a significant share of the world's population. If the project
C-2
meets its goals than its interaction with similar projects could generate a raising of the bar in the
management of coastal ecosystems.
C10. D3. Context of GEF goals--ok
C11. D4--Regional context--what about Japan and Russia etc?
C12. D5--Replicability--good if resources are somehow put into facilitation replicability.
C13. D6--the project appears to be sustainable--it is important that it focuses on doing the work and
not concentrating on coordination and communication. Coordination and communication are important.
At the same time it is important to focus on substance.
C14. With regard to the secondary issues the capacity building is critical--it needs further direction.
C15. A closing comment relates to the concern about time phasing of project components--this needs
to be spelled out in somewhat wore detail and specific resources need to be identified to endure timely
deliver if the concern about lags is to be minimized.
C16. All in all this project seems to be on the right track.
C-3
ANNEX C1 RESPONSE TO STAP/COUNCIL/IA COMMENTS
Comments on STAP Review
C1-1. The STAP review raised several important issues that required clarification. As usual, since the
Project Brief is so short, many of the details that were raised by the STAP review could not be addressed
adequately in the body of the document. However, some items have been addressed in the revised Project
Document. Some issues are addressed in this Annex specifically; the remainder will be addressed in the
Project Document in more detail.
C1-2. Items raised by the STAP Review and specific responses include:
C1-3. 1) "Meanings of phrases need to be spelled out in concrete terms" (ecosystem-based
management, environmentally sustainable, reducing development stress, and sustainable development):
These terms are generally accepted terms, whose meaning depends on the actual application. As part of
the Work Plan preparation during the Implementation Phase of the YSLME, these terms will be clarified
and the manner in which components, sub-components, and activities will relate to these terms will be
transparent.
C1-4. 2) "The practical implementation of the project and major weight of the project are weighted
more towards process rather than substance." Process is a major aspect of the TDA/NYSAP/SAP
process. The process will lead to stockholder participation, to country ownership, and to a sustainable
YSLME project/programme. The process will lead to concrete results, including facilitation of SAP
implementation, networking, communications, regional coordination, and so on. The process is an
important component of the GEF TDA/NYSAP/SAP process; without this process, actions may take
place with no sustainability. The Actions evolve from the process of the TDA/NYSAP/SAP: this is the
essence of the Strategic Action Programme. However, Component IV, which the STAP reviewer
attributed primarily to process, in fact has more than $3 million in substance associated with the financial
instruments, including funds for early implementation of some aspects of the SAP. Therefore, there is
considerable attention to actions and outputs even in component IV.
C1-5. 3) "It is not clear that sufficient resources are committed to the development of laboratory and
computer facilities and the training of technicians and scientists." The equipment and training budgets
were developed in concert with the countries. The budget reflects what they see as their needs. Since the
facilities are generally well equipped compared to some other regions, the needs for facilities and training
are different in the YSLME than in other GEF Projects. However, there is sizeable budget allocated to
these activities, as reflected in Component IV. These activities are related to regional coordination,
regional capacity building, stakeholder involvement, and the like.
C1-6. 4) "If the project is to be transferable among other regions, then it is necessary to devote
resources to global interchange of information." This project will network with the IWLearn project,
which is intended to share global experiences. It also will network with the Global International Waters
Assessment (GIWA) to share learned experiences. Such collaboration and exchange are required if the
GEF is to obtain full benefit of this project.
C1-7. 5) Allocation of resources: "Nearly 40 % of project costs are allocated to the project component
development of regional institutions and capacities." This portion of the project costs will address issues
related to 3) above, reflecting the importance being placed on developing regional capacities. Component
IV is much more than just development of regional institutions and capacities: the financial instrument
C-1
sub-component of $3 million is allocated for development of priority investment portfolio, and includes
funds to fund early portions of SAP implementation, a major goal of the GEF intervention.
C1-8. 6) D1. Scientific and Technical Soundness: Component IV: "it appears the weight of this
component and the program as a whole are oriented to communication and coordination. I am not sure
this is the best use of funding." Component IV relates to many aspects of the YSLME project. It
includes the overall YSLME Coordination including the Project Coordination Unit, international staff,
and the like. It also includes the Regional Capacity building. It includes the involvement of a broad
spectrum of stakeholders. Finally, and perhaps most importantly, this component includes the Financial
Instruments including priority investment portfolio, which includes funds to implement concrete portions
of the Strategic Action Programme. This financial instrument section is approximately $3 million, and
represents the heart of this phase of the GEF intervention. Finally, this component includes the Data and
Information Management activities, which the STAP review alludes to as being of prime importance.
Therefore, Component IV includes many sub-components which weight it heavily financially, but which
are essential items to making this GEF intervention both successful and sustainable.
C1-9. 7) Component I: "investigating carrying capacity needs to be defined in the context of inter-
annual and inter-decadal variability." The Project Brief acknowledges this need, and has set the time
scale for investigation at the inter-decadal scale rather than the annual scale. Multi-year reviews and
reanalysis of carrying capacity are proposed in light of these requirements.
C1-10. 8) Component II: "will be difficult to execute in a cost-effective way since biodiversity means
many things to many people." The Project Brief focuses on biodiversity conservation in a practical
manner, and doesn't suggest a pure academic approach. Huge losses of habitat have occurred in the
Yellow Sea. Significant reduction in biodiversity of species has occurred. Thus, the analysis of
biodiversity occurs in the context of a large signal from the past decades, and the interventions to address
biodiversity issues therefore will be relatively clear. In some other IW GEF projects, biodiversity losses
are minimal; this is not the situation in the Yellow Sea. This YSLME intervention should lead to concrete
opportunities for conserving global biodiversity, and present investment opportunities on a national, GEF,
and development bank perspective.
C1-11. 9) Data archiving: "The subject of data archival and management is a major cost and does not
receive enough attention." The Project Brief separates out costs for data archiving and management. It is
the subject of Sub-component IV.E, data and information management. The GEF intervention is nearly
$400, 000. The Government co-finance is about $80,000. In addition to these costs, the data archiving
and management costs are provided in each sub-component for I, II, and III. Given GEF experience in
other regions, the necessity for data archiving and management is clear. The present project builds on
these lessons learned. Examination of Sub-component IV.E and its related activities will demonstrate a
logical, progressive approach to effective regional data and information sharing and management. This
money will not be used to build new institutions, but rather to link existing institutions and data sources to
facilitate effective sharing.
C1-12. 10) Schedule: "time phasing of project components this needs to be spelled out in somewhat
more detail and specific resources need to be identified to ensure timely delivery if the concern about lags
is to be minimized." In GEF IW projects such as the Caspian Sea, the schedules and specific allocation of
resources takes place once the project starts. The Project Brief budget and schedules are based on a
detailed spreadsheet, some 40 pages long, of expected project schedule and cost allocation. However, the
detailed work plans for each sub-component will be developed with full regional input once the
implementation of the GEF Project starts. These detailed work plans will clarify the scheduling and cost
implications, refining the present estimates; it will be the job of the PCU to assure the coordination and
harmonization of the various work elements.
C-2
ANNEX D DETAILED LIST OF ACTIVITIES
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
Objective I: Develop
Regional Strategies for
Sustainable Management of
Fisheries and Mariculture
Components:
Regional Stock assessment/ Review of
Develop common methodology for joint
Create mechanism for regional
I A. Stock assessment
existing data and diagnosis of condition of
regional stock assessment and perform initial annual multi-species stock
stocks.
joint regional stock assessment.
assessment, by introducing
Perform demonstration of a Regional Survey.
legal/policy reforms to overcome
existing barriers.
I B. Carrying capacity in
Review of existing state-of-knowledge and
Fill the knowledge gaps for carrying
Annual carrying capacity
fisheries and mariculture
preliminary carrying capacity analysis
capacity analysis.
determination
(retrospective) and define gaps
Perform iterative series of analysis of
carrying capacity
I C. Mariculture production
Review existing status and trends of Develop joint applied research program for
Assist region to implement more
mariculture.
sustainable mariculture.
broadly proven sustainable
Pilot demonstration projects in mariculture.
mariculture techniques.
Develop projections of mariculture activity
Assist countries to develop
and carrying capacity for the next decade.
sustainable mariculture legal and
policy reforms.
I D. Disease in mariculture
Review existing state of knowledge of disease Joint development and demonstration of new Facilitate networking about new
in mariculture, particularly emphasizing
methods for diagnosis, prevention, and diseases, diagnoses, and control
emergent diseases.
control.
techniques.
Develop proposals for legal and policy Enact and enforce legal and
reforms to reduce transfer of mariculture policy reforms for mariculture.
disease.
D-1
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
I E. Regional agreements and
Review existing national laws and regulations Development and endorsement of bilateral
Facilitate implementation of
National laws
on fisheries and mariculture, and pertinent
or regional agreement for sustainable use of
regional agreement for
international agreements.
fisheries resources and mariculture.
sustainable use of fisheries
Propose measures for strengthening laws and resources.
regulations, and enforcement.
Strengthening and enforcement
of National and regional fisheries
laws and regulations.
I F. Management plan
Development of Regional fisheries
Implementation of Regional
management plans, including regional
Fisheries and ecosystem
recovery programme.
Management Plans, including
regional recovery programme.
Expected Outputs:
Knowledge of fishery stocks/legislation and
Common methodologies and management
Demonstration projects piloted.
regulations summarized
plans developed
Objective II: Propose and
Implement Effective
Regional Initiatives for
Biodiversity Protection
Components:
Review existing national status and practices
Develop regionally coordinated strategies of
Implement Regional Strategy for
II A. Habit conservation
of coastal habitat use, conservation, and
conservation and restoration of habitats.
Conservation Areas.
restoration.
Identify priority locations for the creation of
Assessment of habitat quality for spawning of new protected areas.
commercially imported fish.
II B. Vulnerable species
Conduct national review of status of
Formulate regionally coordinated strategies
Implementation of regionally
vulnerable species and vulnerable trophic
for protection of vulnerable species.
coordinated strategies for
linkages.
protection of vulnerable species.
II C. Genetic diversity
Determine situations of genetic degradation
Develop regional consensus on the
Implement recommendations to
of important bio-resources.
requirements for conservation of gene pool.
conserve gene pool.
Develop recommendations for conservation
of specific gene pool.
II D. Introduced species
Document introduced exotic species and their Proposals for strategies for regulation and
Implement strategies for
pathways, assess impacts and risks.
control of exotic species.
regulation and control of
Liaise with Ballast Water GEF Project.
introduction of exotic species,
including necessary legal, policy,
D-2
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
and institutional reforms at
national and regional levels.
II E. Biodiversity Regulations Review national regulations and effectiveness Develop proposals for legislative reform that Implement legislative reform.
of protection measures.
support protection of globally significant
biodiversity.
II F. Regional Biodiversity
Coordinate regional biodiversity assessment.
Develop Regional Biodiversity Action Plan
Implementation of Regional
Assessment and regional
Clarify regional priorities for biodiversity
including investment strategy.
Biodiversity Action Plan
Biodiversity Action Plan
protection.
including investment strategy.
Expected Outputs:
Biodiversity status summarized.
Regional Biodiversity Strategy drafted.
Implementation of Regional
Biodiversity Strategy started.
Objective III: Propose and
Implement Actions to
Reduce Stress to the
Ecosystem, Improve Water
Quality and Protect Human
Health
Activities:
Identify and clarify the natural and human- Identify corrective measures to minimize the Implement corrective measures
induced stresses on the ecosystem; identify human-induced stress.
to minimize the human-induced
III A. Stressors to ecosystem
data and information gaps
Identify policies and legal measures to
stress.
reduce the stress.
Implement policies and legal
Develop strategy to identify long-term
measures to reduce the stress.
sustainable investments to improve the
Enact measures to secure
YSLME.
required investment.
III B. Carrying capacity of
Assess the carrying capacities of the
Develop strategies for monitoring changing
Pentadal state-of-ecosystem
ecosystem
ecosystem under changing human-induced
status of ecosystem.
reviews and reports.
and natural variability; identify data and
Facilitate implementation of
information gaps: including demonstration of
strategies for improving the
new and innovative technologies.
ecosystem status.
III C. Contaminant inputs
Assess the contaminant and nutrient inputs
Develop regional priorities and strategies to
Facilitate implementation of
into the YSLME.
reduce contaminant and nutrients levels.
these strategies; investment
Fill data gaps with targeted monitoring.
promotion activities including
D-3
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
transfer/development new
technologies.
Develop and implement
legal/policy reforms to reduce
contaminant input.
III D. Contaminant levels
Develop baseline data and summarize
Develop regional monitoring network
Communication, stakeholder
contaminant and nutrient levels in the
strategy.
involvement, develop funding
YSLME.
mechanism to implement the
monitoring strategy.
III E. HABs and Emerging
Comparative analysis of causes, patterns, and
Develop management and mitigation
Facilitate regional management
disease
impacts of HABs and Emerging Diseases on
strategies
and mitigation implementation.
bio-resources and human health.
Monitor HABs and emerging
diseases in YSLME.
III F. Hot spots analysis
Identify hot spot sources of water quality
Develop investment strategies for
Facilitate implementation
degradation, depending on existing data, to
remediation of hotspots.
procedures for re-mediation and
support the countries' decision-making
prevention; secure financing.
process.
IIII G. Emergency planning
Assess national emergency and contingency
Develop strategies for rapid and long-term
Facilitate regional actions to
and preparedness
capabilities for transboundary contaminants.
regional responses to catastrophic causes of
enable contingency planning:
pollution; prepare regional contingency
harmonizing customs, training.
plans; assist with emergency planning and
preparedness on a regional basis.
IIII H. Legal and regulatory
Review and compare national regulations and Discuss and develop proposals for regional
Facilitate coordinated actions to
laws on water quality and pollution control.
coordination and reform of legislation and
improve regional water quality
regulations for improving water quality.
legislation and regulation
D-4
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
IIII I. Fate and transport
Review existing understanding of fate and
Develop regional strategies for assessing the Perform fate and transport
analysis to facilitate SAP
transport of contaminants, including
fate, transport and risks of contaminants and
analyses for management and
analysis
modeling.
nutrients.
policy development, including
EIA process, ICZM.
Develop regional training
activities for environmental risk
assessment; facilitate use of risk
assessment in investment
decisions.
Expected Outputs:
Date collected and regional assessments
Regional Strategy drafted (which contains
Implementation of Strategy
performed.
priorities and monitoring system).
started.
Objective IV: Develop and
Pilot Regional Institutional
and Capacity Building
Initiatives
Activities:
Identify stakeholders and decision-makers
Develop strategies to strengthen capacities
Encourage routine and effective
IV A. Stakeholder
and assessment of their capacities for
for stakeholder involvement in the YSLME.
involvement of stakeholders in
involvement
contributing to environmental management
environmental and resource
and decision-making.
management and decision-
making.
IV B. Regional coordination
Create a functioning regional coordination
Identify modes to sustain the regional
Assist the Region in maintaining
mechanism to carry out the YSLME Project
coordination mechanism, through regional
an effective regional
Preparation of TDA.
agreements.
coordination mechanism for the
Preparation of NYSAP.
YSLME.
Preparation of SAP.
IV C. National institutions
Review and assess national institutions to
Identify means to develop these national
Facilitate national institutions to
support YSLME.
institutions into sustainable contributors to
be effective stewards of the
Establish National Coordination Unit within
the YSLME.
YSLME.
existing institutional framework to assure
Develop proposals to strengthen national
intersectoral coordination in
institutions to enhance their ability to
D-5
Objective / Outputs
Activities
I. Assessing Stress to the Ecosystem/ TDA
II. Reducing Stress to the Ecosystem/ SAP
III. SAP Implementation
Preparation and Associated Capacity
Building
TDA/NYSAP/SAP process.
contribute to environmental management
and decision-making.
IV D. Financial instruments
Review status and potential for financial
Provide training in environmental project
Assist and encourage the
sustainability of YSLME regional
identification and preparation.
continuation of the project
institutional framework.
Develop a regional matched small
preparation and feasibility
Review regional capacity building needs in
environmental grants program to encourage
studies for long-term
context of transboundary analysis.
innovation in addressing regional
environmental investment to
environmental problems.
implement the SAP and
Provide funding for pre-feasibility studies of NYSAPs.
promising technologies and industries to
Assist the Region to implement
help achieve the goals of the YSLME, to
the mechanism for routine
create an investment portfolio (Priority
review of YSLME investment
Investment Portfolio).
portfolio.
Identify a mechanism for participation by
international development banks to learn of
investment opportunities in the YSLME.
IV E. Data and information
Determine regional data and information
Develop an effective regional DIM strategy
Facilitate implementation of the
management
management capabilities.
to help achieve the goals of the YSLME.
sustainable regional mechanism
Identify possible regional agreements or
for DIM for effective
other mechanisms to sustain the DIM role.
management of the YSLME.
Implement the regional DIM
strategy, including equipment,
facilities, and communications.
IV F. Public awareness and
Assess level of regional public awareness of
Demonstrate a broad-based regional public
Encourage and facilitate ongoing
participation
YSLME issues.
awareness/participation campaign.
public awareness and
Develop a public awareness and public
participation activities to help
participation strategy for the YSLME, with
achieve the goals of the YSLME.
active regional participation.
Expected Outputs:
Create network for institutions and
Develop strategy for participation,
Implement a sustainable,
individuals.
coordination, and awareness.
regional program for
cooperation, coordination, and
management.
D-6
ANNEX E PRELIMINARY TRANSBOUNDARY DIAGNOSTIC ANALYSIS
(separate
attachment)
E-1
ANNEX F PUBLIC INVOLVEMENT PLAN SUMMARY
1.
Categories of stakeholders who will be involved in the project include the national and local
governments in the participating countries, the private sector, the scientific community, non-government
organizations, environmental advocacy groups and people's organizations. The participatory approach is
the guiding principle to ensure transparency in the planning and execution of project activities. The
stakeholders are the direct beneficiaries of the project.
2.
Within the project, activities for public involvement include, under Regional Institutional and
Capacity Building, Stakeholder subcomponent IVA and Public Awareness and Participation
subcomponent IVE. Together, the Public Involvement Plan includes a budget of more than three-quarters
of a million dollars. In addition to these activities, one internationally recruited PCU staff member will be
a Public Participation and Awareness specialist, who will liaise with the Stakeholders. Adding this staff
member to the Public Involvement Plan budget shows more than $1 million is devoted to Public
Involvement.
The specific involvement of stakeholders throughout the project is given below.
STAKEHOLDER INVOLVEMENT
National governments
Consultation, implementation, steering committees,
international conventions, policy, legislation, investment,
capacity building, public-private partnerships, institutional
reform
Local governments
Consultation, implementation, coastal management, capacity
building, investment, public-private sector partnerships,
national steering committees
Private sector: including
Consultation, technology and financial investment, public-
fishermen, fishing companies, oil
private partnerships, steering committee and management
and gas sector, shipping and
advisory committee membership, participation in
marine transport industry, etc.
TDA/NYSAP/SAP process, post-SAP implementation phase
Scientific community
Consultation, research, information technology, risk
assessment, monitoring, training
Non-government organizations
Consultation, implementation, public awareness, steering
committee and management advisory committee
membership, training, participation in TDA/NYSAP/SAP
processes.
Community-based organizations,
Consultation. Monitoring, training, community mobilization
youth and women
Environmental advocacy group
Workshop, training, seminars, public awareness
People's organization
Community mobilization, habitat protection
3.
Since the purpose of the project is to build partnerships, relevant stakeholders will need to be
integrated into the project formulation and implementation activities as early as possible. The idea is to
identify and develop the role and specific contribution to be made by each interest group within the
project framework.
F-1
ANNEX G BASELINE ACTIVITIES AND CO-FINANCING
Immediate Objective
Component
Korea
China
Baseline
Co-financing
Total
Baseline
Co-financing
Total
I. Develop Regional Strategies A.Stock assessment
1,887,500
1,062,500
2,950,000
14,243,373
0
14,243,373
for Sustainable Management B.Carrying capacity
0
80,000
80,000
963,855
0
963,855
of Fisheries, and Mariculture
C.Mariculture production
57,670,833
0
57,670,833
908,434
963,855
1,872,289
D.Disease in mariculture
160,000
0
160,000
286,747
0
286,747
E.Regional agreements and National laws
45,833
0
45,833
0
0
0
Mixed Components
1,759,036
TOTAL OBJECTIVE:
59,764,166
1,142,500
60,906,666
16,402,409
2,722,891
19,125,300
II. Promote and Implement
A.Habitat 13,550,002
0
13,550,002
1,204,819
0
1,204,819
Effective Regional Inititatives B..Vulnerable species
0
0
0
0
0
for Biodiversity Protection
C.Genetic diversity
2,561,666
0
2,561,666
0
0
0
D.Introduced species
0
0
0
0
0
E.Regulations
0
0
0
0
0
F.Regional assessment & biodiversity plan
0
0
602,410
0
602,410
Mixed Components
1,759,036
TOTAL OBJECTIVE:
16,111,668
0
16,111,668
1,807,229
1,759,036
3,566,265
III. Promote and Implement
A.Stressors to ecosystem
8,859,978
0
8,859,978
12,891,566
0
12,891,566
Actions to Reduce Stress to
B.Carrying capacity of ecosystem
0
480,000
480,000
0
0
0
the Ecosystem, Improve Water C
.Contaminant inputs
36,667
0
36,667
0
0
0
Quality, and Protect Human
D.Monitoring contaminant levels
2,843,333
320,000
3,163,333
9,036,145
0
9,036,145
Health
E.HABs and Emerging disease
285,000
0
285,000
10,939,759
0
10,939,759
F.Hot spots analysis
517,500
0
517,500
7,277,108
0
7,277,108
G.Emergency planning and preparedness
155,000
0
155,000
0
0
0
H.Legal and regulatory
33,333
0
33,333
0
0
0
I.Fate & transport analysis to facilitate SAP
1,079,166
0
1,079,166
361,446
0
361,446
Mixed Components
1,759,036
TOTAL OBJECTIVE:
13,809,977
800,000
14,609,977
40,506,024
1,759,036
42,265,060
IV. Develop and Pilot Regional A.Stakeholders
0
0
0
0
0
Institutional and Capacity
B.Regional coordination
187,500
0
187,500
0
0
0
Building Initiatives
C.National institutions
0
0
963,855
650,602
1,614,457
D.Financial instruments
0
0
0
0
0
E.Data and information management
216,290
80,000
296,290
518,072
0
518,072
F.Public awareness and participation
11,776,667
0
11,776,667
0
0
0
Mixed Components
TOTAL OBJECTIVE:
12,180,457
80,000
12,260,457
1,481,927
650,602
2,132,529
Total Objectives
101,866,268
2,022,500
103,888,768
60,197,589
6,891,565
67,089,154
G-1
ANNEX G BASELINE ACTIVITIES AND CO-FINANCING (CONTINUED)
Immediate Objective
Component
ROK & PRC Combined
GEF
Donors
Alternative
YSLME
(GOV) Co-
Baseline
Financing
Project Total
I. Develop Regional Strategies A.Stock assessment
16,130,873
1,062,500
$1,646,072
18,839,445
18,839,445
for Sustainable Management B.Carrying capacity
963,855
80,000
$226,642
1,270,497
1,270,497
of Fisheries, and Mariculture
C.Mariculture production
58,579,267
963,855
$172,640
59,715,762
59,715,762
D.Disease in mariculture
446,747
0
$120,750
567,497
567,497
E.Regional agreements and National laws
45,833
0
$75,750
121,583
121,583
Mixed Components
0
1,759,036
$75,000
1,834,036
1,834,036
TOTAL OBJECTIVE:
76,166,575
3,865,391
$2,316,854
82,348,820
82,348,820
II. Promote and Implement
A.Habitat 14,754,821
0
$301,412
15,056,233
15,056,233
Effective Regional Inititatives B..Vulnerable species
0
0
$155,600
155,600
155,600
for Biodiversity Protection
C.Genetic diversity
2,561,666
0
$349,000
2,910,666
2,910,666
D.Introduced species
0
0
$217,368
217,368
217,368
E.Regulations 0
0
$121,140
121,140
121,140
F.Regional assessment & biodiversity plan
602,410
0
$105,760
708,170
708,170
Mixed Components
0
1,759,036
1,759,036
1,759,036
TOTAL OBJECTIVE:
17,918,897
1,759,036
$1,250,280
20,928,213
20,928,213
III. Promote and Implement
A.Stressors to ecosystem
21,751,544
0
$162,140
21,913,684
21,913,684
Actions to Reduce Stress to
B.Carrying capacity of ecosystem
0
480,000
$428,760
908,760
908,760
the Ecosystem, Improve Water C.Contaminant inputs
36,667
0
$161,412
198,079
198,079
Quality, and Protect Human
D.Monitoring contaminant levels
11,879,478
320,000
$100,320
12,299,798
12,299,798
Health
E.HABs and Emerging disease
11,224,759
0
$158,640
11,383,399
11,383,399
F.Hot spots analysis
7,794,608
0
$299,280
8,093,888
8,093,888
G.Emergency planning and preparedness
155,000
0
$151,320
306,320
306,320
H.Legal and regulatory
33,333
0
$79,760
113,093
113,093
I.Fate & transport analysis to facilitate SAP
1,440,612
0
$352,840
1,793,452
1,793,452
Mixed Components
0
1,759,036
1,759,036
1,759,036
TOTAL OBJECTIVE:
54,316,001
2,559,036
$1,894,472
58,769,509
58,769,509
0
IV. Develop and Pilot Regional A.Stakeholders
0
0
$316,500
316,500
316,500
Institutional and Capacity
B.Regional coordination
187,500
0
$3,187,291
3,374,791
3,374,791
Building Initiatives
C.National institutions
963,855
650,602
$480,020
2,094,477
2,094,477
D.Financial instruments
0
0
$3,007,840
3,007,840
3,007,840
E.Data and information management
734,362
80,000
$383,530
1,197,892
1,197,892
F.Public awareness and participation
11,776,667
0
$491,160
12,267,827
12,267,827
Mixed Components
0
0
0
TOTAL OBJECTIVE:
13,662,384
730,602
$7,866,341
22,259,327
22,259,327
Total Objectives
162,063,857
8,914,065
$13,327,947
184,305,869
184,305,869
G-2
ANNEX H LIST OF PUBLICATIONS PREPARED DURING THE PDF-B
1. Report of the 2nd Regional Workshop and the Third Meeting of the Steering Committee of the
Yellow Sea Large Marine Ecosystem (YSLME), held on 18-20 January 2000 in Beijing, PRC.
2. Report of the 1st Regional Workshop and the Second Meeting of the Steering Committee of the
Yellow Sea Large Marine Ecosystem (YSLME), held on 26-29 October 1999 at Seoul, ROK.
3. Report on the First Meeting of the Steering Committee of the Yellow Sea Large Marine Ecosystem
(YSLME), held on 10-11 August 1999 at Beijing, PRC.
4. Report on the Regional Workshop for the Project Brief of the Yellow Sea Large Marine Ecosystem
(YSLME), held on 5-6 November 1999 at Qingdao, PRC
5. Report of the Second National Stakeholders' Workshop held on 28 September at Seoul, ROK.
6. Report Of the Second National Stakeholders' Workshop-PRC.
7. Report of the First National Stakeholders' Workshop-held on 15 July 1999 at Seoul, ROK.
8. Report of the First National Stakeholders' Workshop-held on 10 June 1999 at Qingdao, PRC.
9. Yellow Sea LME Transboundary Diagnostic Analysis, Preliminary Draft, November 1999
10. National Report of PRC "Yellow Sea LME"
11. National Report of ROK "Yellow Sea LME"
12. Final Inception Report of the Inception Mission from 13-27 April 1999 in ROK and PRC.
H-1
ANNEX I
INSTITUTIONAL ARRANGEMENTS
NFP
Steering Committee
NFP
National Coordination Unit
Governance
National Coordination Unit
IMCF
Implementation
IMCF
Strategic Management
Ministerial Coordination
Ministerial Coordination
Advisory Committee
WG Chairmen
WG Chairmen
WG1
PCU
WG1
WG2
WG2
WG3
I-1
ANNEX J
Copies of GEF Operational Focal Point Endorsement Letters
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I-1