November, 2007
MID TERM EVALUATION
UNDP/GEF YELLOW SEA LARGE MARINE ECOSYSTEM
REFACE
PREFACE
This mid term evaluation report sets out findings, lessons learned and recommendations for the
UNDP/GEF Yellow Sea Large Marine Ecosystem Project (YSLME). The report is developed in
compliance with the Terms of Reference for the assignment. It is based upon collected reference
materials from the project, as well as a series of interviews carried out during an evaluation
mission in the region, during August 2007. The conclusions and recommendations set out in the
following pages are solely those of the evaluators and are not binding upon the project
management & sponsors.
Contacts:
Alan Fox
Transboundary Consulting, LLC
7 Hampton Rd.
Scarsdale, New York 10583
alan.fox@transboundaryconsulting.com
Jin-Eong Ong
4 Green Crescent
11600 Penang
Malaysia
mangroves@yahoo.com
YSLME MTE
November 2007 2
Summary
The Yellow Sea Large Marine Ecosystem Project (YSLME) has been established through the GEF
and partner countries China and Korea, to support ecosystem-based environmentally
sustainable management for the Yellow Sea and its watershed. The Yellow Sea is amongst the 50
largest marine ecosystems (LMEs) in the world, and 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.
This Mid-term Evaluation Report (MTE report) constitutes the combined outcome of a literature
review and evaluation mission, including a series of interviews of selected stakeholders from
Korea and China carried out in August 2007. The evaluation is being carried out on behalf of
UNDP and UNOPS, the project's implementing and executing agencies.
A review of work plans and budget documents, coupled with interviews of stakeholders and the
project team give evidence that the YSLME project management office (PMO) is well-managed
and includes an experienced and effective project team. Appropriate financial and project
management structures have been set in place based on GEF/UNDP/UNOPS guidelines.
Expectations for a well-functioning Project Steering Committee (PSC) Regional Science and
Technology Committee, and Regional Working Groups (RWGs) have been fulfilled. The PMO is
working with an accomplished array of scientists and managers in key institutions of the Peoples
Republic of China (PRC) and Republic of Korea (ROK).
The project has chalked up some notable achievements, in particular the completion and approval
of the TDA, and successful efforts to engage parliamentarians from both countries. The project
has also faced some setbacks, most notably an inability of the partner countries to agree on the
scope of activities to be carried out during a planned cooperative cruise. At the halfway point,
roughly 1/3 of the project budget has been utilised.
A great opportunity may be presented in the near future to expand the Yellow Sea partnership to
include the Democratic Peoples Republic of Korea (DPRK). Within UNDP/GEF-approved
parameters and timeframes, the project team and partner countries should make every effort to
engage the DPRK as a full and active partner in the YSLME. The partner countries should also
consider establishing a Yellow Sea Commission and Secretariat, to serve as the frame for future
joint efforts and international support.
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Glossary
APR
Annual Project/Programme Report
AQA
Analytical Quality Assurance
AQC
Analytical Quality Control
BAP
Best Agricultural Practices
BAT
Best Available Technology
BEP
Best Environmental Practices
BOD
Biological Oxygen Demand
COD
Chemical Oxygen Demand
DQA
Data Quality Assurance
DPRK
Democratic Peoples Republic of Korea
GDP
Gross Domestic Product
GEF
Global Environment Facility
GIS Geographical
Information
System
HoD
Head of Delegation
IFI
International Financing Institution
IGO Inter-Governmental
Organisation
IMCC
Inter-Ministerial Coordination Committee
IW International
Waters
JAP
Joint Action Program
KEI
Korea Environmental Institute
KORDI
Korea Ocean Research and Development Institute
LFA
Logical Framework Approach
MOMAF
Ministry of Maritime Affairs and Fisheries (Korea)
MOFAT
Ministry of Foreign Affairs and Trade (Korea)
M&E
Monitoring and Evaluation
MOU
Memorandum of Understanding
MPA
Marine Protected Area
MTE Report
Mid-Term Evaluation Report
NGOs
Non Government Organizations
OP8
Operational Programme 8
PCSD
Presidential Committee for Sustainable Development (ROK)
PIF
GEF Project Identification Form
PIR
Project Implementation Review
PMO
Project Management Office
ProDoc Project
Document
PRC
Peoples Republic of China
PRP
Pollution Reduction Program
RBM River
Basin
Management
ROK
Republic of Korea
RSTP
Regional Science and Technical Panel
SAP
Strategic Action Plan
SEPA
State Environmental Protection Administration (China)
SGP Small
Grants
Programme
SOA
State Oceanic Administration (China)
TDA
Transboundary Diagnostic Analysis
UNDP
United Nations Development Program
UNOPS
United Nations Office for Project Services
USD
United States Dollar
WWF
Worldwide Fund for Nature
YSEPP
Yellow Sea Eco-region Planning Programme (WWF, KORDI, KEI)
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Table of Contents
1
THE YSLME AND IT'S DEVELOPMENT CONTEXT
6
1.1
BACKGROUND
6
1.1.1 GENERAL
6
1.1.2 HYDROGRAPHY AND BENTHIC SEDIMENTS
7
1.1.3 FISHERIES & MARICULTURE
7
1.1.4 POLLUTION
8
1.2
Project Start and its Duration
9
1.3
Problems that the Project Sought to Address
9
2
FINDINGS AND CONCLUSIONS 11
2.1
Project Design: clarity, logic, timing and resource usage 11
2.2
Key issues with respect to specific components and progress achieved, including scope, quality and
significance of project outputs to date. 11
2.3
Extent of Cooperation and Synergy generated at national and local levels and nature / extent of country
commitment
17
2.4
Functionality of institutional structure, role of PSC, RSTP, national committees and working groups 18
2.5
Identification and quantification of additional outputs and outcomes beyond ProDoc 18
2.6
Programmatic and financial variances / adjustments to date, their conformity to PSC decisions and
appropriateness to project objectives. 19
2.7
Project coordination, management and administration by the PMO: 19
2.8
Organizational/institutional arrangements for collaboration among the various agencies and institutions
involved in project arrangements and execution 19
2.9
Effectiveness of the monitoring mechanisms currently employed by the PMO in monitoring on a day to
day basis, progress in project execution 20
2.10 Financial management of the project, including the balance between expenditures on administrative and
overhead charges in relation to those on the achievement of substantive outputs 20
2.11 Qualified assessment of the extent to which project outputs to date have scientific credibility 22
2.11.1 Transboundary Diagnostic Analysis (TDA) 23
2.12 Lessons during project implementation 26
2.13 Mid-Term Performance ratings 26
2.14 Prognosis of the degree to which the overall objectives and expected outcomes of the project are likely to
be met
28
3
RECOMMENDATIONS 29
4
ANNEX
34
4.1
Bibliography
34
4.2
Meetings - UNDP/GEF-YSLME MTE Mission, 6 23, August 2007 36
4.3
UNDP/ GEF Project Mid-term review TOR 38
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1 THE YSLME AND IT'S DEVELOPMENT CONTEXT
1.1 BACKGROUND
The following background description includes several sections setting out Yellow Sea status
and trends, and ecosystem pressures. This information has been compiled largely from the
YSLME Project Document and Transboundary Diagnostic Analysis.
1.1.1 GENERAL
The Yellow Sea is a 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 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.
The Yellow Sea is connected to the Bo Hai Sea in the north and to the East China Sea in the
south, 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.
The Yellow Sea LME is an important global resource, supporting 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 over-fishing). Additionally, there is significant international shipping
traffic through the waters of the Yellow Sea, with associated threats from spills and collisions
with marine mammals.
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.
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1.1.2 HYDROGRAPHY AND BENTHIC SEDIMENTS
The hydrographic properties and circulation of the Yellow Sea are created predominantly by
winter cooling and summer heating, freshwater discharge from rivers and, arguably the
inflow of warm saline waters in a branch of the Kuroshio. Wind-forcing and freshwater runoff
are also influenced by the cold and dry northerly winter monsoon and the warm humid
southerly summer monsoon.
The sediments of the Yellow Sea are mostly terrigenous, carried by rivers and winds from
surrounding lands. The annual input of fine-grained detritus to the Bohai Sea was, until
recently, approximately 1 billion tonnes per year, mainly from the Yellow River. The
Changjiang (Yangtze River) discharges some 500 million tonnes of alluvial sediments per
year. Other rivers discharge only 50 million tonnes of sediments, including a considerable
amount of coarse-grained material from rivers in the Korean Peninsula.
1.1.3 FISHERIES & MARICULTURE
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.
Over fishing has also caused a decline in stock abundance for searobin, red sea bream,
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.
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, whereas 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 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.
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, cookies, 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
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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. 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.
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) (Ministry of Maritime
Affairs & Fisheries, 1998, Annual Report of Fisheries Trend. 286p.) 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.
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.
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.
Unlike animal mariculture, seaweed culture is non-polluting. Indeed, seaweeds absorb
nutrients (which has become pollutants) and improves water quality (e.g. generally increases
dissolved oxygen content). Unfortunately, as a result of lower price (compared to animal
mariculture), the culture of seaweed has significantly declined over the years.
1.1.4 POLLUTION
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 near shore areas of the Yellow Sea each year. The major pollutants carried by sewage
and wastewater are oils, mercury, cadmium, lead, COD, and inorganic nitrogen.
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
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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 current might inhibit the
growth of HAB organisms.
1.2 PROJECT START AND ITS DURATION
The YSLME had a long germination period. The initial concepts for the project grew out of
meetings held in 1992, sponsored by the World Bank and the US National Oceanographic
and Atmospheric Administration (NOAA). The project commenced in April 1999, with
initiation of the PDF-B planning process. In June and July of 1999 the partner countries held
their first interministerial committee meetings and first national stakeholder meetings. During
the PDF-B process, the partner countries carried out a comprehensive review synthesis and
analysis of existing information of the sources and fate of transboundary pollutants in the
Yellow Sea. Degraded and threatened habitats were identified, and an initial review of
existing pertinent environmental policies and legislation in the countries was carried out. The
PDF-B process resulted in the YSLME Project Document being submitted to the GEF
Council in April 2000. The Project was approved; however several years of effort were
required for the countries to agree on project staffing and the project office location. The
project manager began in mid-September 2004, with the rest of the team selected in early
2005. A five-year project timeframe sets closure for the end of 2009.
1.3 PROBLEMS THAT THE PROJECT SOUGHT TO ADDRESS
As noted in the YSLME Project Document: The Yellow Sea is amongst the 50 largest marine
ecosystems (LMEs) in the world, and 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. There are six major
metropolitan areas near the Yellow Sea (Qingdao, Tianjin, Dalian, Shanghai, Seoul/Inchon,
and Pyongyang-Nampo) with tens of millions of inhabitants. These urban populations are
dependent on the Yellow Sea as a source of marine resources for human nutrition,
economic development, recreation, and tourism.
The Yellow Sea LME is an important global resource, supporting 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. Major changes in the structure of fisheries
have resulted from non-sustainable fisheries practices. The three littoral countries, with their
massive populations living in the Yellow Sea drainage basin, share common problems with
pollution abatement and the control of municipal and industrial sites 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, 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 to achieve `Ecosystem-based, environmentally-sustainable
management and use of the YSLME and its watershed'. This is to be attained by reducing
development stress and promoting sustainable exploitation of the ecosystem in this densely
populated, heavily urbanized, and industrialized region.
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The Medium Term Objectives of the YSLME are:
Enhanced national capacities in protection of marine environment and sustainable use of
marine and coastal resources.
Strengthened regional co-operation in marine environment protection and management.
Increased cross-sectoral co-operation and co-ordination of relevant national institutions
dealing with marine environmental management
In order to achieve these objectives, the project has been designed to
(i)
Prepare a Transboundary Diagnostic Analysis; based on the preliminary TDA
undertaken during the PDF-B phase of the project. The TDA should identify threats to
the Yellow Sea ecosystem and their root causes, and serve as the baseline for joint
measures within a regional Strategic Action Plan to mitigate these threats.
(ii)
Prepare a regional Strategic Action Programme and National Yellow Sea Action Plans
(NYSAPs). The SAP is expected to consist of a series of legal, policy and institutional
reforms and investments to address the priority transboundary issues identified in the
TDA. The SAP should include consideration of land and sea-based sources of marine
pollution, degradation of critical habitats and over-fishing. The SAP is expected to
include consideration of the costs and benefits of priority actions.
National Yellow Sea Action Plans are also expected, focusing on specific national level
actions that will be taken in compliance with the agreed regional SAP.
(iii)
Initiate demonstration and pilot activities to facilitate implementation of the SAP. These
activities should provide lessons and replication opportunities underpinning SAP
implementation.
(iv)
Following completion of the TDA, SAP and NYSAPs, the Project is expected to initiate
and facilitate SAP implementation.
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2 FINDINGS AND CONCLUSIONS
2.1 PROJECT DESIGN: CLARITY, LOGIC, TIMING AND RESOURCE USAGE
The YSLME has been designed appropriately. The TDA/SAP structure utilised is quite
common to the GEF International waters project portfolio and has a good track record of
success in getting countries to work together to jointly address common water resource
issues. The design emphasis is on confidence building, information sharing and capacity
strengthening, which are all highly relevant to the Yellow Sea regional situation.
The YSLME in its planning stage (PDF-B) included an initial threats/problems analysis. The
main project was then set up to further investigate and elaborate a TDA. The additional
research and analysis that went into the TDA process helped to provide a more complete
picture of ecosystem stresses in the Yellow Sea ecosystem and their root causes. Future
project developers may want to consider carrying out the full TDA process at the PDF-B
stage and then immediately launch demonstration projects and SAP development during the
main project implementation.
The YSLME included expectations that the TDA and SAP could be completed within the first
3 years of the project, allowing 2 years of SAP implementation. This was then changed by
the Project Steering Committee, allowing 4 years for TDA and SAP development. The
revised schedule stands a reasonable chance of being achieved, as the drafting of the SAP
has recently commenced, with the 1st draft SAP slated for completion in March 2008.
It is important to note that since approval of the Project Document, economic development in
both China and ROK have continued to escalate, with accompanying increases in cost of
living and increased costs to the YSLME Project. In addition, the Project Document was
approved in 2000, yet the project implementation began only in 2005, with consequent
escalation in operating costs. The budget established for the effort should still be sufficient to
meet anticipated outputs and objectives, if the effort stays as a two-country initiative.
Should agreements be reached to expand the project to include DPRK participation,
additional support will be necessary from China and ROK, and international donors. To that
end a project proposal (Project Identification Form - PIF) has been developed and submitted
to GEF for a medium size project (MSP) to integrate the DPRK into the Yellow Sea effort.
2.2 KEY ISSUES WITH RESPECT TO SPECIFIC COMPONENTS AND PROGRESS
ACHIEVED, INCLUDING SCOPE, QUALITY AND SIGNIFICANCE OF PROJECT
OUTPUTS TO DATE.
The YSLME essentially includes 5 sectoral components:
1.
Fisheries & Mariculture: designed to develop regional strategies for sustainable
management of fisheries and mariculture
2.
Biodiversity: proposing and implementing effective regional initiatives for biodiversity
protection
3.
Ecosystems: including actions to reduce the stress to the ecosystem
4.
Pollution: proposals and implementing actions to improve water quality and protect
human health
5.
Investments: to develop and pilot regional institutional and capacity building
initiatives
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There have been several iterations of the Project Implementation Plan, taking into account
the passage of time between ProDoc development and project start-up. The expected
outcomes have not been significantly altered although dates for activity completion have
changed. The discussion below is built from the June 2007 Progress Implementation Report
(PIR). The PIR is directly based from the initial Pro Doc elaboration of outputs, differing only
by combining the above-listed components 3 & 4.
The Fisheries Component (F) involves 9 outputs, including: TDA development, SAP
development, SAP implementation, Stock assessment report, Carrying Capacity
Assessment, Mariculture Production, and Disease in mariculture, Regional agreements and
national laws, and Fisheries Management. Most of the expected fisheries outputs are on
schedule, with the notable exception of stock assessment activities tied to the cooperative
cruise.
The TDA process is complete. Initially planned for completion at the end of year 2, the
PSC shifted this to year 3, and in fact it was completed early in year 3. The TDA holds
minimal fisheries information; however the national data reports and regional synthesis
report are more robust. A report on legislative gaps for fisheries was also produced.
The draft SAP was initially planned for distribution by the end of 2007. Two meetings of
the ad hoc SAP drafting group have been carried out. An analysis of fisheries
agreements in the region has been done together with recommendations for a Yellow
Sea fisheries agreement.
A preliminary Stock Assessment report has been done, as well as regional guidelines for
carrying out stock assessments. Follow on activities associated with the cooperative
cruise remain to be carried out.
The Regional Working Group on Fisheries suggested revising the Carrying Capacity
Assessment expectations to focus specifically on mariculture. The PSC approved this
suggestion. A workshop has recently been held (Sept 2007) to discuss progress in the
region and an initial report was received on a suitable model for the estimation of
mariculture carrying capacity in embayments around the Yellow Sea.
A report on existing status and trends for Mariculture, also providing recommendations
for a joint research programme has been completed. Demonstration projects are to be
carried out in 2008 & 2009.
The disease in mariculture outcome was grouped together with the Mariculture status
and trends effort. The team set up an electronic web-based discussion group in 2006 but
experts have not used it. There will be a workshop for disease control and prevention
held in November, 2007.
A report on regional fisheries agreements and national laws is nearing completion.
The Fisheries Management Plan is scheduled for completion in project year 5.
The Biodiversity Component (B) similarly covers 9 outputs, many of which mirror the
outputs in fisheries: TDA, SAP, SAP Implementation, Habitat Conservation, Vulnerable
Species, Genetic Diversity, Introduced Species, Regulations, and regional Assessment /
Regional Biodiversity Action Plan.
The TDA process has concluded and there were national and regional synthesis
biodiversity data provided.
The SAP process is underway. The project was able to utilize the critical habitats
identification work of the Yellow Sea Eco-region Planning Programme (YSEPP),
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November 2007 12
sponsored by WWF in collaboration with KORDI and the Korean Environmental
Institute (KEI). It is expected that the YSEPP will continue to assist in narrowing the
target list of sites for demonstration project sites. The Project is advertising for two
biodiversity advisors to identity the representative habitats using the Ramsar
classification. The consultants have been asked to shortlist the best examples of each
habitat type according to the extent and integrity of the habitat, the continuity with other
habitats and degree of human impact. A site in each country will be selected for
demonstration activities after an analysis of the current management of habitats by
local government.
YSLME and YSEPP have teamed with the Panasonic company to implement
biodiversity conservation in the Yellow Sea. Panasonic has indicated it will contribute
$1.8 million to the effort.
There were expectations that a regional habitat conservation strategy would be
developed by the end of project year 3 and at least 2 new protected areas identified by
the end of project year 2. These indicators have not been achieved. A review of
regional practices has been carried out. Habitat conservation is an extremely important,
albeit very difficult issue along the Yellow Sea coast.
The YSEPP effort has identified some 23 priority habitats for various species. The
sites are widely configured and together cover virtually the entire Yellow Sea coast.
Most of these areas are already faced with significant development pressures, from
industrial and municipal development, and especially from aquaculture/mariculture and
salt production. Interestingly, one of the most important habitat areas is the
demilitarized zone between ROK and DPRK. This `no man's land' is home to the least
disturbed, most biodiverse area in the Yellow Sea region. There may be a unique
opportunity over the next few years to preserve this habitat-rich area, through the
YSLME effort as well as other initiatives, such as the DMZ Marine Peace Park,
sponsored by the ROK Presidential Committee for Sustainable Development (PCSD).
The YSLME Project Manager is a member of the International Advisory Group to the
PCSD.
Expectations were to conduct a national review in both countries on vulnerable species
and then to develop and implement a regionally coordinated strategy for their
protection. This effort has not proceeded. The project team expects to handle these
expectations jointly with the habitat conservation strategy effort.
Recommendations on conservation measures for preserving genetic diversity were
expected. A regional workshop on the subject was held, during which experts
concluded that the greatest threats to genetic diversity were reflective of the issues for
biodiversity as a whole, namely: pollution, habitat loss, and over-exploitation. These are
being covered in the SAP development now underway. Additional threats are from
mariculture and restocking practices which are being addressed in the Project's
mariculture component. A database on genetic diversity is intended to be established
and linked to other sites.
No efforts have been done on the Introduced Species output as the PMO indicated
that another GEF project GloBallast, executed through the International Maritime
Organization (IMO), has developed an analysis on introduced marine species and has
developed regulation and control recommendations. The project team is justified to let
this effort be carried out through GloBallast, which included a regional pilot site in
Dalian, China.
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The component includes the expectation for a regional assessment and regional
biodiversity action plan, to include the signing of a regional biodiversity conservation
agreement by the end of year 3. This will not happen. The regional assessment is
underway and national assessments were done during the TDA process. It should be
expected that some biodiversity actions will be included as part of the SAP.
The Ecosystems Component (E) includes: TDA & SAP development, Reduced Stressors
to the Ecosystem, understanding of carrying capacity, understanding and control of
contaminant inputs and levels, the monitoring and control of harmful algal blooms and
emerging diseases, hot spot analyses, emergency planning and preparedness strategies,
the development of legal and regulatory measures to counter pollution, and analysis of the
fate and transport of pollutants. It is important to note that the project team for its planning
and budgeting has divided this component into two parts: Ecosystems and a new Pollution
Component. The change is welcome and provides for an improved clarity in activities.
The SAP development effort in (E) includes an expectation that recommendations be
developed for upgrading the regional monitoring network, and then to seek external
funding for the network upgrade. This effort is expected to be completed by year 4.
Expectations are that a carrying capacity study on primary productivity will be carried
out at the end of 2007. The initial expectation was somewhat unrealistic in calling for
carrying capacity to be included as an aspect of the countries' State of the Environment
Reports for 2007. The project team has indicated within this activity set that the
development of a new ocean colour algorithm for the Yellow Sea is underway, and a
first round of surveys of plankton has been carried out.
The project plans call for development and implementation of a strategy to assess and
monitor contaminant and nutrient inputs and levels in the Yellow Sea. In particular, a
regional QA/QC system should be established and then annual contaminant input
reports published. Also, as noted above, a monitoring network upgrade is envisioned.
These achievements have not yet been realized; however national pollution reports and
a regional synthesis report were developed and a report on regional monitoring
guidelines has been done. There is a significant level of sensitivity in the region
regarding the gathering and sharing of pollution data, as a consequence, the
participants of the Regional Working Group on Pollution agreed that data analyses
rather than raw data, would be provided from both countries. This was a useful initial
confidence building agreement that should hopefully set the stage for the routine
exchange of monitoring data in the future.
The process of developing and then using a joint regional monitoring network is likely to
be very slow. In other shared water bodies where there is such sensitivity to sharing
data, agreements have been reached to first expand the sharing of archived (dated)
information
HAB events have been documented. There is significant debate in the community over
the attention given to HABs, and increasing recognition that HABs are not as high of a
priority problem in the Yellow Sea as was perceived during the YSLME PDF-b project
planning period. Increasing attention is being given to jelly fish populations, especially
as they intrude further into Japanese waters (where they are not economically
harvested).
The TDA process has provided a bit of information for the hot spot analysis effort;
however it is clear that this set of activities has not been carried out as originally
intended. The expectation was to have technical reports done by year 2 and agreed
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procedures by the end of year 3. The plans called for a ranking of hot spot sources,
procedures for remediation, development of investment strategies and implementation
of procedures. Given that these are essentially land based sources of pollution being
discussed, the partner countries have viewed this output in national rather than regional
focus. The identification of specific point sources has not been undertaken and there
has been no prioritization of these sources. It is unlikely that the countries will agree to
a more robust point source identification and prioritization effort to be included in the
SAP. Nevertheless, the countries should be urged to delineate their national efforts at
reducing point source discharges to the Yellow Sea, and to provide specific examples
of the positive impact of increased regulatory enforcement.
The ecosystem component also included development of a strategy for Emergency
Planning and Preparedness. The partner countries have considered this a low priority
and of national rather than regional scope. It can be expected that very little progress
will be made on a regional effort, other than to include some discussions of the subject
within the regional SAP
The Investment Component (I) includes a variety of activities relating to economic analysis,
institutional capacity building, stakeholder involvement and information management. There
are 9 outputs:
TDA
SAP
development
SAP
Implementation
Stakeholder involvement in YELLOW SEA protection
Enhanced Regional Coordination
Strengthened National Institutions
Sustainable
Financial
Institutions
Data and Information Management
Public Awareness and Information Campaign
The Project has been preparing Guidelines for Cost-benefit Analysis of Management
Actions. This is a first attempt to develop guidance for GEF projects to incorporate
economic aspects into environmental decision-making, in particular for SAP development.
The Guidelines will provide theoretical background, methodology, and examples on how to
measure impacts of conservation activities in terms of monetary value. Some previous GEF
projects have introduced economic data in their SAP-development; however there have been
no standardized analytical procedures in place. The Guidelines should not only help assess
the economic impact of recommended management actions for the Yellow Sea, but also
serve as guidance for economic analyses in other GEF projects.
Governance Analyses, covering stakeholder, institutional and legislation/policy issues have
been developed. National analyses were conducted in China and ROK in 2006. The
combined regional governance analysis was then put together in 2007, based on the findings
of the national analyses and additional inputs. The national analyses have contributed to
TDA development, while the regional analysis supports SAP preparation. GEF IW projects
typically include analyses on stakeholders, legislation and institutions. With these
governance analyses, the YSLME has effectively linked these aspects.
The YSLME has developed a Public Awareness Strategy. It emphasises joint activities with
other regional partners, rather than focusing just on project-specific activities. Its
implementation depends very much on the cooperative efforts of the Yellow Sea
Partnership, which the project developed in response to the Pro Doc expectation to
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November 2007 15
establish a network of local, national and regional stakeholders to provide input into the SAP
development. The Yellow Sea Partnership has expanded now to 20 local, national and
international government and private organisations. The Partnership has a web site up and
running, and coordinated activities are underway, including:
A set of joint public awareness activities with NOWPAP.
A joint education and public awareness program implemented by the Global Village, a
major NGO in China.
A teaming arrangement between YSLME and the Shangdong local government to
protect the Kong Dong Island, an important fisheries area. The YSLME has signed an
MOU with Shandong, and relevant actions will soon start. A private company, the
Oriental Ocean, will cover the major costs of this effort.
Additional stakeholder activities include two NGO workshop held in Korea with 30
participants each; 1 Yellow Sea partnership workshop held with 20 participants; 1
parliamentary seminar held with 20+ participants; and perhaps 40 or more NGO's
participating as observers at RWG, RSTP and PSC meetings. The YSLME PMO has
also continues to discuss with PSC members how to increase the involvement of NGO's
in the PSC.
Two youth programmes, one each in ROK and PRC have been completed, a local
government training workshop was held with 20+ participants and a university internship
was initiated.
A small grants programme has been carried out. Six small grants were carried out in
2006 and six in 2007. During 2006, small grants were awarded for public awareness
activities carried out by:
Liaoning Ocean and Fishery Department (LOFD) China: Educating the Public on
ecosystem protection and management around the northern Yellow Sea area. More
than 3,800 students participated in activities organized by the LOFD in Dandong,
China, including environmental education classes, drawing competition, shoreline
debris cleanups and fish releases into the estuary of the Han River.
Citizens Institute for Environmental Studies (CIES) ROK: Program for exchanging
information and experience about reclamation work among local communities in the
west coast of Korea: For a Sustainable Yellow Sea. The CIES conducted two
workshops for local residents focused on the environmental and economic
development issues relevant to tidal flats.
Shihwa Lake Saver, Korea: Marine environmental education course for school
teachers and youth groups in the Shihwa lake Region
Global Village of Beijing, China: Welcome to the green Olympics and protect the
Yellow Sea surrounding us.
Haimen Ocean and Fisheries Bureau of China: Liyashan oyster reef ecosystem
protection
Dalian maritime University: Community based conservation of coastal ecology in
Dalian.
The project timeline initially included having NYSAPs approved by the governments prior to
the end of year 3. The PSC considered this sequence and decided to alter the plan, so that
the regional SAP would be drafted prior to the development of NYSAPs. As a consequence,
the drafting of NYSAPs is expected to commence in early 2008, as the regional SAP takes
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November 2007 16
form. The decision to revise the process of NYSAP and SAP development is logical and
should help to ensure that national strategy development is carried out within the parameters
being defined in the regional SAP. The setting of national and regional plans needs to be an
iterative approach whereby national plans comply with regional agreements, while regional
agreements get developed taking existing national strategies and treaty obligations into
consideration.
The project team should come up with a regional data and information management (DIM)
strategy and implement it. There is concern at the PMO that many databases already exist in
the region and globally, that are designed to harness oceanographic information. The team
has expressed interest not to duplicate other database development efforts but rather to
serve as a repository and linking mechanism that enables interested persons to gain access
to the Yellow Sea information of interest. So the current plan is to gather and store the data
being generated through the project, and then to utilize a web-accessed meta-database
system that links to a wide variety of data sources. So far, a database of nationally collected
data is in progress and the meta-database is under development, with the management of
the database outsourced. This DIM strategy is logical and holds out promise as a template
for other LME and regional seas efforts.
The project web site is relevant, well organized, and informative and kept up to date. Also
included in the promotional efforts has been the launch of the YSLME Partnerships website.
The Partnership site remains a work in progress, as other partners have so far not paid too
much attention to it and content is weak.
2.3 EXTENT OF COOPERATION AND SYNERGY GENERATED AT NATIONAL AND
LOCAL LEVELS AND NATURE / EXTENT OF COUNTRY COMMITMENT
Interviews with government officials in China and ROK suggest that country buy-in at the
national level is in evidence, but could be improved. Project interest and involvement is
strong amongst middle-level officials, especially at the marine science focused ministry
departments and agencies. As an example, both of the National Project Coordinators (Li
Haiqing of China and Hyung-Tack Huh of ROK) attended the Yellow Sea Science
Symposium in Hangzhou. It is also noteworthy that in China, the YSLME team was
requested to share their implementation experiences with a UNDP/GEF country-level project,
serving as a model for effective project implementation.
The MTE mission provided evidence that attention is needed to expand project awareness
and commitment amongst government ministries that are not directly responsible for the
project, but are otherwise central to natural resource management and protection. In
particular, it was evident that the State Environmental Protection Administration (SEPA) of
China has had minimal involvement in the project, despite their central role in dealing with
land based sources of pollution.
Synergies and cooperation have varied at and between national and local levels. The
project has successfully brought local and regional officials into the process, although at this
stage the local government participation has been limited focused in a couple of areas in
both countries and linked (in China) with the small grants programme. Strong interest has
been indicated from the PMO and key stakeholders to continue and broaden local
government participation. The expanding role of local governments in decision-taking on
coastal development issues in China and Korea means that they are on the front lines of
ecosystem protection.
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Across the more than 40 interviews carried out during the mid term evaluation, there were
varying levels of awareness of the project and varying opinions on its achievements, yet
there was unanimity on its importance. Stakeholders fully realise that economic development
and the population surge taking place around the Yellow Sea periphery represent grave
threats to this vital marine ecosystem and fishery unless concerted action is taken. It is clear
to the national and local government officials, NGOs and marine scientists interviewed, that
the YSLME represents an important opportunity to bridge historical and resource
competition-driven barriers between the Yellow Sea countries.
2.4 FUNCTIONALITY OF INSTITUTIONAL STRUCTURE, ROLE OF PSC, RSTP,
NATIONAL COMMITTEES AND WORKING GROUPS
The YSLME is directed by a project steering committee (PSC), and there are a regional
scientific and technical panel (RSTP) and regional working groups (RWGs). There is
significant overlap within these three bodies nevertheless they are successfully carrying out
expected functions. It can be noted that in addition to the area-specific RWGs, an ad-hoc
RWG has been established to focus specifically on drafting the SAP. These institutional
arrangements are appropriate. There have been a variety of GEF International Waters
projects designed to develop TDAs and SAPs. Some have utilised an RWG approach,
others have taken a regional `Centres of Excellence' approach. It can be seen from the
YSLME experience and from other IW projects, that the RWG approach is more flexible, and
more productive in getting international collaboration.
The RWGs were formed as planned, meet as scheduled and are performing their intended
functions. Turnover has been low on the Chinese side, higher amongst Korean experts. A
concern voiced on the Korean side has been the low financial benefit to work group
participation. Some work group participants requested compensation for meeting
attendance in addition to the provided per diems. It was discussed and agreed that the
project will not provide consultancy fees for attending meetings. Co-financing sources from
the participating governments will need to be utilised if this continues to be an issue in either
delegation.
Internal coordinating mechanisms established through the project have been nominally
effective. Most International Waters TDA-SAP projects include an expectation to establish
interministerial coordinating mechanisms. Rarely is this effectively carried out, and usually
the internal governmental communications are handled through existing structures be it
through the Cabinet of Ministers, or an existing water resources intergovernmental structure.
The YSLME is no exception. Intergovernmental coordination in both China and Korea is
handled on an ad hoc, as needed basis. Observations from the evaluation mission suggest
that the Chinese State Oceanic Administration (SOA) and State Environmental Protection
Administration (SEPA) have not been closely cooperating on the YSLME project. The key
Korean agencies, Ministry of Maritime Affairs and Fisheries, (MOMAF) and Ministry of
Foreign Affairs and Trade (MOFAT) appear to be working together constructively.
2.5 IDENTIFICATION AND QUANTIFICATION OF ADDITIONAL OUTPUTS AND
OUTCOMES BEYOND PRODOC
The YSLME project team together with key stakeholders have successfully built interest and
support amongst parliamentary officials in China and Korea. More than 50 persons from the
two countries, including 14 parliamentarians, attended a YSLME sponsored regional
conference on the sustainable use of marine resources in the Yellow Sea. The event was
held in Qingdao China in March 2006. This reportedly marks the first time that a GEF
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November 2007 18
International waters project has sponsored a conference specifically for parliamentarians.
The event was very well received by the participants and there is interest to continue and
broaden the discussions. Expectations are for a follow on exercise to take place in October
2007 in Korea.
A small grants program was added to the project during implementation. This decision by
the Project Steering Committee to add a small grants program builds on the recognition
across GEF projects that small grants are a useful mechanism for NGO development and
public awareness raising. The $110,000 made available has been used in 2006 and 2007 to
award grants to 6 recipients each year.
2.6 PROGRAMMATIC AND FINANCIAL VARIANCES / ADJUSTMENTS TO DATE,
THEIR CONFORMITY TO PSC DECISIONS AND APPROPRIATENESS TO
PROJECT OBJECTIVES.
The only major variance at this stage has been an underutilization of the project budget,
stemming in particular from the lack of partner country approval for the cooperative cruise.
Negotiations for the cruise continue and have been characterized by the project team as
close to completion. The PSC has supported the PMOs efforts to negotiate an agreement
between the parties, and to retain funds in the budget for this activity.
2.7 PROJECT COORDINATION, MANAGEMENT AND ADMINISTRATION BY THE
PMO:
Generally high marks should be given for PMO administration, management and project
coordination. The Project team is technically experienced, works well together and has had
minimal turnover. Project management has been sensitive to the delicate process of building
confidence between the participants from PRC and ROK. Project management has also
handled well the sensitive issue of DPRK participation. One area where the PMO has itself
recognized a deficiency is in the area of public awareness raising and communications.
Some concerns were raised during the evaluation concerning the fee balance that should be
struck concerning consultancy services. In particular, the issue arose over payment for data
collection services in preparation for the TDA. On the one hand, concerns were raised in
China that there is twice the amount of China's Yellow Sea coastline than for ROK, so
consultancy assignments for data collection to Chinese experts should reflect this size
differential. On the other hand, Korean cost of living has been higher than for China,
suggesting higher consultancy rates for ROK data collectors. PSC discussions led to both
sides agreeing to keep payments balanced. All subsequent consultancy assignments have
been through open bidding and bid reviewers take into account cost and size discrepancies
in the decision process. To date, the consultancy fee disbursements have been fairly evenly
balanced.
2.8 ORGANIZATIONAL/INSTITUTIONAL ARRANGEMENTS FOR COLLABORATION
AMONG THE VARIOUS AGENCIES AND INSTITUTIONS INVOLVED IN
PROJECT ARRANGEMENTS AND EXECUTION
There are essentially six partners in the international management circle for the YSLME:
GEF secretariat (Washington DC); UNDP headquarters (New York), UNDP GEF regional
office (Bangkok), UNDP Beijing; UNDP-Seoul, and UNOPS (Copenhagen). During project
implementation, and on a day to day basis, the PMO looks to UNOPS for budgetary/financial
issues, to the UNDP/GEF regional office (and then UNDP headquarters) for technical
support, and then occasionally to the country UNDP offices for some logistical support. The
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PMO team is very experienced and can work well within this arrangement. The project team
has benefited from UNOPS budget management, in particular with the flexibility to utilise an
impress account. The extent of implementing and executing agency oversight has been
generally fine during the TDA process.
It may be useful for the UNDP country offices to play a more direct supportive role once a
draft SAP is under consideration for approval by the countries. SAP efforts in this and other
regions have encountered long delays during the approval process, so it is crucial that the
PMO, Steering Committee members, UNDP country offices and national implementing
agencies cooperate on a strategy to achieve rapid consideration, negotiation and approval of
the SAP. The UNDP country offices should consider supporting the SAP process in the
following ways:
Help to ensure harmonisation between on-going UN-supported projects in the region and
SAP recommended actions by disseminating the draft SAP to related UN project
managers for comment.
Assist the efforts of the project team and national counterparts (SOA and MOMAF)
through written correspondence, urging each government to swiftly consider and
approve the draft SAP.
Help sponsor and attend the ministerial SAP signing meeting, including participation by
the Resident Representatives.
Work with the PMO, implementing national agencies and funders (including GEF) to
identify opportunities, and write up concept notes, for follow on assistance to help with
SAP and NYSAP implementation. This should include new objectives and outputs for the
UNDP China Country Programme, and for the DPRK country programme, (when
reactivated, and assuming DPRK joins the YSLME effort).
2.9 EFFECTIVENESS OF THE MONITORING MECHANISMS CURRENTLY
EMPLOYED BY THE PMO IN MONITORING ON A DAY TO DAY BASIS,
PROGRESS IN PROJECT EXECUTION
The PMO is well organised with respect to progress monitoring. The PMO operates based
from a project implementation plan and annual work plans, and uses an internal budgeting
process that mirrors the UNOPS Atlas system yet connects disbursements to specific project
outputs and activities from the PIP. A Microsoft Project-based Gantt chart has been
developed and is used to track work schedules and expected milestones. Attention has
been paid to updating the plans on an annual basis as part of an effective adaptive
management programme. The PMO CTA carries out annual job performance evaluations
based on the UNDP/UNOPS established criteria.
2.10 FINANCIAL MANAGEMENT OF THE PROJECT, INCLUDING THE BALANCE
BETWEEN EXPENDITURES ON ADMINISTRATIVE AND OVERHEAD CHARGES
IN RELATION TO THOSE ON THE ACHIEVEMENT OF SUBSTANTIVE
OUTPUTS
The project budgeting process has encountered some difficulties with respect to
overestimating planned annual budget expenditures. This has made it difficult for UNDP and
UNOPS to plan for annual expenditures to the Yellow Sea Project and has complicated
disbursements for other UNDP/UNOPS implemented projects in the region.
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The total project budget for fisheries is $1,881,406, of which approximately $254,000 has
been spent to date. The fisheries budget for 2007 is $630,994, with $22,144 so far spent
(3.5%), and another $10,000 identified in contracts payable. The largest 2007 planned
allocation in fisheries is for contractual services, yet none of the $418,372 has yet been
spent. A second large unspent pocket of funds, $256,372, is reserved for rental of the ship
for the cooperative cruise, and $120,000 of the contractual services budget has been
earmarked for performing regional stock assessments as part of the cruise activities. Since
the cruise is on hold, it is understandable that some of these funds have not been utilised.
With respect to the other fisheries activities, "training on disease diagnosis, prevention and
control" recently took place (16th & 17th of September, 2007) and not yet reflected in the
budget, and an expert exchange is planned for October November 2007. All that remains
is the hiring of a Mariculture advisor. Subtracting out the cooperative cruise costs, half of the
fisheries budget for 2007 has not been spent. This suggests a recalibration of the budget for
2008, with an opportunity to use these funds for additional demonstrations and small grants.
The biodiversity area includes an expectation that $75,000 will be utilised each year 2007
2009 ($225,000 total) for institutional contracts to implement a regional strategy for
conservation areas. The 2007 allocation has so far not been utilised and there are no
indications of planned expenditures for these activities during the remaining months of 2007.
This planed budget expenditure fits within the annual work plan, objective II, Output IIA,
Activities 2 & 3, which set expectations to develop regionally coordinated strategies of
conservation and restoration of habitat and for the protection of vulnerable species (2006
2007), and then to provide inputs to the SAP by October 2007. Hopefully, revised timetables
and planning for these activities are under discussion during the September 14 Biodiversity
Working Group meeting.
There are similar albeit less pronounced under-spending issues for 2007 in the other output
sets. At the end of July, 33% of the 2007 PMO internal budget had been spent, 24% of the
biodiversity budget, 23% of the investment outputs budget, 11% of the ecosystem budget,
and 7% of the pollution budget. It is normal for projects to spend a significant portion of
annual expenditures in the last half of the year, especially with PSC and working group
meetings and many workshops scheduled in the fall. Nevertheless it is important to pick up
the pace now, as the project is at the halfway point and 71% of the budget remains to be
utilised. The end of 2007 and early portions of 2008 are crucial for planning future spending,
especially on demonstration projects.
There have been a few budget revisions that are not directly reflected in PSC agreements;
however these have been mostly money movements within object/output frames and have
not materially changed project expectations.
There was a change from the 2006 Atlas budget to the revised budget (2007.05.23)
allocating an additional $300,000 to the miscellaneous expenses category of the PMO
activity budget (see Atlas # 745000). Nevertheless, only $4,105 has been spent under this
category, following a rising set of expenditures from $3,250 in 2004, $4,698 for 2005 and
$16,738 for 2006. Also, roughly $860,000 that was previously apportioned to local
consultant costs (71300) was reallocated to IP Staff payroll costs and miscellaneous
expenses. Some of this adjustment can be explained by the hiring of an international staff
person to handle fisheries issues. Yet the internal project (`shadow") budget shows that
much of the underutilised funding under the PMO output area is earmarked for PMO cross-
components and in particular for `contingencies'. The PMO should provide clarification on
the rationale for this increase in contingency earmarking.
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November 2007 21
The PSC approved budget for the YSLME identifies US $7.3m out of a $14.3 m total budget
for project administrative costs. These include a wide array of expenditures for: PMO staff
salaries, travel, office space and supplies, PSC and RSTP meetings, scientific conferences,
evaluation and UNOPS supervision costs. Through the end of July, 2007 the project had
spent $2.9 million on PMO and cross-component items, out of $4.2 million in total
expenditures (69%). The high percentage of funding going towards administrative items
requires correction through increased spending on substantive outputs. With the SAP
process moving forward, the PMO soon to launch demonstration projects, and the
cooperative cruise back on the agenda, an increase in spending on substantive outputs
should be expected.
The administrative (PMO / cross-component) budget for the YSLME appears excessive -
50% of total expenditures mostly because too many items that could be listed as
substantive outputs are grouped as administrative items. In particular, the YSLME budget
lumps all staff salaries and travel expenses together as administrative costs when in fact
most PMO technical expert time and travel are for substantive work addressing specific
project outcomes. In recent years, UNDP/GEF budget guidance has stressed greater
accuracy and less spending allocated to administration. Expert staff salaries, travel costs
and workshops should be apportioned to the specific project outputs and activities for which
they are intended to be used; leaving the PMO administrative budget only for truly back
office and cross-component items (e.g. office and supplies, secretarial support, audits and
evaluations, reporting and management oversight). With the advice and consent of
UNOPS, the PMO should now consider revisions to the YSLME budget to realign
substantive and administrative costs for the duration of the project.
2.11 QUALIFIED ASSESSMENT OF THE EXTENT TO WHICH PROJECT OUTPUTS
TO DATE HAVE SCIENTIFIC CREDIBILITY
As seen from the Project Document and TDA, there is an abundance of reliable secondary
data for the YSLME. There are also very competent scientists from China and the ROK
working on the project. Nevertheless, two issues were evident during the evaluation that
should be addressed by the PSC. One problem is that practically all the studies done to date
have been confined to either Chinese waters or to ROK territorial waters. The end result is
that the data from these studies are often not directly comparable, mainly because they are
carried out at different times (or seasons) and use different methods. More opportunities
should be investigated including the cooperative cruise, to better harmonise sampling
methodologies and analysis techniques, through joint studies.
A second key issue is the involvement and retention of top scientists. For China, top
scientists from the SOA and the universities appear to be participating; however there is very
limited participation from relevant agencies like SEPA and MOA. Fortunately, the turnover
rate of Chinese scientists on the project Working Groups has been very low. For the ROK,
there has been a wider array of institutions involved, yet Working Group participant turnover
has been high. The problem of scientist retention in Korea is blamed on insufficient
professional and financial incentives. The project is not engaged in basic scientific discovery
and scientists from the ROK are not given time off or additional compensation for their
involvement, so some scientists have lost interest. Despite these concerns, it should be
pointed out that the quality of scientists presently participating in this project is high (at least,
based on the quality of papers and discussions at the Open Science Meeting in Hangzhou).
The depletion of fisheries resources was the major reason for the initiation of this Yellow Sea
LME Project. Yet, the sensitivity related to fisheries data has meant that serious questions
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remain on the changes occurring in fisheries biomass. It appears that the project emphasis
has been changing - from fisheries resource management to less sensitive issues such as
waste (nutrient) discharge impacts on plankton.
2.11.1 TRANSBOUNDARY DIAGNOSTIC ANALYSIS (TDA)
The TDA is one of the two principal products/outputs of the YSLME Project:
"The centrepiece of the GGEF strategy .... Is the concept of `strategic joint fact finding' as a
means of arriving at a consensus on what actions are needed to establish threats ...
collaborating states establish technical teams that work to establish a common baseline of
facts and analysis of the problem in the form of a transboundary diagnostic analysis (TDA),
which is then used to set (national) priorities for actions to address threats to international
waters in the form of the SAP."
Although the TDA was written by an external consultant (Dr. J.M. Bewers), it summarises the
works of the numerous project scientists involved in four Working Groups (Pollution,
Ecosystem, Fisheries and Biodiversity). The quality of the TDA is thus a good reflection as to
the scientific creditability of the Project.
The TDA is a useful general document, providing an overall assessment of the current health
of the Yellow Sea ecosystem and focusing on a causal chain analysis of key risks and issues
of concern. The TDA is not especially data rich. For instance, there are no statistics given in
the pollution section indicating findings from the monitoring of land based sources or from
river discharge. The TDA identifies an interesting relationship regarding escalating nitrogen
levels in the Yellow Sea along with lowering phosphorous and silicate levels. The reduction
in silicates, in particular, has been linked (but not proven) to conditions amenable to
increasing dinoflagellate blooms.
The TDA indicates a significant development problem: 30% of the mud foreshores of the
Yellow Sea have been lost over the past 30 years because of increased mariculture plus
agricultural and salt production uses. This constitutes around 880,000 ha of reclaimed mud
flat areas, including 37% if the intertidal areas along the China coast and 43% of the
mudflats along the ROK coast. The TDA includes an analysis of biodiversity priority areas
developed by the YSEPP (WWF, KORDI and KEI) The 23 selected priority areas encompass
much of the Yellow Sea coastal area, and have been identified because of their importance
as habitats for birds, fish, molluscs, plants and algae.
A major component of the TDA is Causal Chain Analysis and Analysis of Root Causes:
"The causal chain analysis provides a basis for identifying options for management
intervention. Such options for intervention, to reduce or rectify a given problem, exist in
relation to each cause of the problem from immediate cause through secondary, tertiary and
quaternary causes to the root cause as shown in Figure 1 (in the TDA). "
The reason a fifth Working Group (Investment) was added to the Project relates to the
following TDA comment:
"However, it generally takes longer to develop a systematic and commonly-agreed forma of
intervention to address root cause because it can only be developed within a policy
framework. This is one of the primary reasons why the development of the Strategic Action
Programme is a process that must engage all stakeholders including politicians."
Since there is now an emphasis on working at the lower trophic levels (concentration on
nutrients and plankton), it is useful to note that the TDA recognises there remain significant
YSLME MTE
November 2007 23
data and information gaps concerning phytoplankton, zooplankton, benthos and harmful
algal blooms. Indeed, during the Open Science Meeting in Hangzhou there was considerable
discussion about phytoplankton blooms, red tides and the extent to which the Yellow Sea
has a harmful algal blooms (HAB) problem.
A scientific discussion on the HAB issue is beyond the scope of this evaluation exercise, and
this issue is being extensively debated within the YSLME ecosystem working group. Here it
is useful just to clarify the HAB and red tide terminology. According to UNESCO/IOC, in
some areas the term "red tide" is used to describe all phenomena in which the water is
discoloured by high algal biomass. This term is potentially misleading because it includes
many blooms which discolour the water but cause no harm, and ignores blooms of high toxic
cells that cause problems at very low ( and essentially invisible), cell densities. As a result,
many bloom events which are harmless end up having negative impacts because skittish
consumers avoid purchasing or eating seafood which is perfectly safe, or tourists and
residents avoid using beaches because of mistaken concern over swimming safety. The
term harmful algal bloom (HAB) is now used by scientists and government officials in most
countries to describe the subset of these phenomena which are toxic or cause harm.
Some findings that have been put forward through the working groups and at the Yellow Sea
marine science symposium, suggest there are anomalies in the results from the two
countries that require further analysis. For instance, historical data show a trend of
increasing planktonic biomass in Korean coastal areas, with a decreasing trend along the
China coast. The difference in plankton distribution and its trends has been highlighted in the
TDA. It must be realised that these differences (between the Chinese and Korean studies)
are to be expected:
The studies were carried out in different location. The YSLME is not a homogeneous
water body. There are different currents (and thus different water masses) and this is
complicated by stratification in the winter months (mainly due to freshwater runoff).
"Patchiness" is a very characteristic feature of plankton distribution so that even if
studies are carried out at the similar sites (even at the same time), the results may be
very different (perhaps unless there has been very intensive sampling).
The methods used are often different. As pointed out in the TDA, different size plankton
net meshes were employed.
A pulse-modulated chlorophyll fluorescence measurement system has been purchased and
will be used for primary productivity studies. This is encouraging (and an incentive) to the
scientists on the Project to get a chance to work with state of the art equipment. It will also
encourage good scientific discussions between scientists of the two Countries involved
fostering real collaboration and trust. There are however a number of caveats in using the
pulse-modulated chlorophyll fluorescence instrument for primary productivity studies:
One of the problems when measuring phytoplankton productivity is deciding on which
method to employ. Traditionally three methods are commonly used (each with their
only pros and cons): the dissolved oxygen light- and dark-bottle technique, the
radioactive carbon-14 technique and the chlorophyll method (either by measuring the
extracted pigments or through chlorophyll fluorescence). To overcome the patchiness
problem, a combination of methods is necessary for any comprehensive study.
The relatively simple dissolved method requires incubating bottles for a period of time
(usually half a day or a whole day) and it measures respiration as well as both net and
YSLME MTE
November 2007 24
gross productivity. Its main disadvantage (apart from the need for a long incubation
period) is that it is not accurate in oligotrophic waters.
The technically complex carbon-14 method also requires incubation (anywhere from
half an hour to twelve hours for the) but is very accurate. Unfortunately, there is a
problem as to whether net or gross productivity is being measured (the shorter the
incubation period, the closer to gross productivity and the longer the incubation period,
the closer to net productivity).
With the chlorophyll/fluorescence method, it is possible to take a large number of
samples (covering long transects and at different depths. The disadvantage of this
method is that it is not a direct measure of productivity. It has to be calibrated against
either the dissolved oxygen or carbon-14 method to be really useful.
With the pulse-modulated fluorescence method, whilst there is no incubation, there is a
need to dark-adapt the chlorophyll (phytoplankton) for about half an hour. This means
that the number of samples become limited since measurements cannot be taken in
situ (as with the non-modulated older fluorescence system). [Quote from: John A.
Raven, John Beardall (2006): Chlorophyll fluorescence and ecophysiology: seeing red?
New Phytologist 169 (3), 449451. "Chlorophyll fluorescence data as a proxy of
biomass in situ must clearly be interpreted with caution."]
One other alternative is to do the primary productivity correlation in real time with
satellite sensing of chlorophyll a. This is cheaper and covers a wider area (the whole of
the Yellow Sea) than can be done with an in situ profiling fluorometer. There is however
a need to coordinate the ground measurements with satellite passes
The Causal Chain Analysis / Analysis of Root Causes in the TDA indicates that the most
frequent root cause for the environmental problems in the Yellow Sea is "Development being
undertaken with limited comprehensiveness and coherence of the legislative base for
environmental and biodiversity protection coupled with poor enforcement and inadequate
public information". This differs from the second most frequent entry by the inclusion of the
additional words "... and inadequate public information". Thus, the most frequent root cause
appears no less than eighteen times. Furthermore, the root cause "Inadequate balance
between development and environmental protection policy" has much similarity to this major
root cause, bringing the total entries for this class of root cause to no less than twenty-one.
It is clear that these root causes have more to do with "governance" than a lack of
scientific understanding. Thus, if the analyses have been correctly carried out, the
emphasis on the next steps in this Project should reflect the need for expertise in the
governance area. The emphasis should switch from natural science to social science,
with policy makers, local officials and parliamentarians, NGOs and other stakeholders
(e.g. fishers and those from land-based industries) becoming more involved. This is
critical for the formulation as well as implementation of the National and regional SAPs.
China has indicated it will reduce fish catch/production by 30% as of 2020, and will reduce
nutrient loading by 10% every 5 years starting from 2007. These are ambitions targets,
especially given the continuing rapid expansion of the coastal population in China. Verifying
achievement of these self-set targets will be a major challenge. The target reductions in wild
fisheries catch will also likely increase pressure to expand mariculture production. China has
indicated its interest to expand offshore rather than coastal mariculture production. Yet in all
likelihood, pressures on coastal water quality and wildlife habitat will continue to rise.
Some fisheries research suggests that fisheries biomass in the Yellow Sea may be
transitioning from fin fish dominated to jelly fish dominated. The implications for this
YSLME MTE
November 2007 25
transition ("fishing down the food chain") are significant to humans and the entire Yellow Sea
marine ecosystem. Reducing nutrient discharge and fisheries catch can directly contribute to
solving the problem; however actions need to be grounded in science. Unfortunately,
sensitivities over fisheries has so far limited joint research that could gauge the extent of this
biomass transformation. Benthic community studies and investigations of sea sediment also
appear to be delicate subjects for joint research.
2.12 LESSONS DURING PROJECT IMPLEMENTATION
There are many positive lessons to take away from the first 2.5 years of YSLME activity,
including the effective establishment and operations of supervisory and technical teams.
These are crucial bodies for project success, especially to ensure that projects stay relevant
and achievable within policy and political constraints. There are effective supervisory and
advisory structures in place for the YSLME, including the PSC, RSTP and the ad hoc SAP
working group. The effectiveness of these committees bodes well for future achievements,
and serves as an example to future projects. The key learning involves effective meeting
management and due diligence in attracting and retaining top experts.
It was unfortunate that the project inception was kept on hold for over three years while
negotiations proceeded on CTA and office location selection. In future situations where
there are two parties to a project at loggerheads on such management issues, it is important
to quickly identify a face-saving solution that allows the project to move forward.
Agreements could have been made to rotate the office location over the course of the
project, and to have one country fill the CTA post while the other country selects a deputy
CTA. It creates unneeded stress to project implementation when the project cycle gets drawn
out over such issues.
The Yellow Sea cooperative cruise serves as a cautionary tale. While it should be expected
that the YSLME cooperative cruise will finally launch, its difficult and prolonged development
offers lessons for future LME and Regional Seas projects. Project developers should
consider lowering the sensitivity threshold by arranging for a series of smaller scale joint at-
sea activities, each covering a specific marine aspect and/or sea area, and involving a small
number of researchers from each country. The point is to make the exercise a normal,
unremarkable aspect of joint research efforts.
2.13 MID-TERM PERFORMANCE RATINGS
The evaluation team was requested in the evaluation TOR to rate various criteria from the
project at its mid point, based on a five-step system: 1 5, (1= highly satisfactory, the
project has greatly exceeded expectations and is utilising adaptive strategies that improve on
ProDoc expectations; 2 = quite satisfactory, the project is meeting ProDoc expectations, with
some notable achievements; 3 = satisfactory, the project is meeting or close to meeting
expectations, with any deficiencies largely beyond project management control, 4 =
marginally satisfactory, the project is not meeting expectations, with significant gaps to be
bridged during the remaining project period, and 5 = unsatisfactory, the project is failing to
achieve key activities and immediate interventions are necessary to get the project back on
track).
The ratings set out below are necessarily subjective, yet based on consideration of project
achievements to date, and taking into consideration similar GEF/IW projects. The ratings
recognise that at a project's mid-term it is quite early to measure many criteria such as cost
effectiveness, sustainability and impact, so the ratings serve as a prediction of what may
happen based against current achievement levels and trends.
YSLME MTE
November 2007 26
Rated Criteria
Rating
Comments
1. Achievement
The project is moving in the right direction, with the TDA process
of objectives
completed and SAP under development. The PIP revised some
2
and planned
ProDoc expectations in particular with respect to timing of SAP
results
implementation. Adaptive management has been reasonably applied.
2. Attainment
of
Most outputs and activities are well underway. The fulfilment of outputs
outputs and
3
such as a cooperative cruise and fisheries management plans are
activities
delayed largely due to factors beyond PMO control.
It is difficult to determine cost effectiveness even at the conclusion of
3. Cost-
many confidence and capacity building projects. Here at mid-term,
3
effectiveness
positive signs include the expansion of in-kind and direct support from
the private sector (Panasonic, Amway, etc).
The YSLME The YSLME has had limited impact on the environment
and on policy and legislative development in the ROK and China;
however at the project mid-term, with a SAP still under development, it
4. Impact
3 is early to expect achievement on these elements. There is real
potential for impact once the SAP is developed. Indirect impacts
already can be mentioned with respect to improving bilateral relations
between officials and scientists involved in the project.
Sustainability is a difficult criterion to gauge at the project mid term.
Interest has been building in both China and ROK on forming a YSLME
Commission and Secretariat. Geopolitical and economic resource
5. Sustainability
2 issues continue to limit the pace and scope of the partnership, however
there is a real potential for future enlargement of the project to include
DPRK and generate subsequent donor support.
Public and NGO involvement has in some cases been weak but this
reflects national realities more than project deficiencies. High marks
6. Stakeholder
are given for the PMO efforts to involve parliamentarians and local
2
participation
government officials. The participation of private sector interests is
developing, with some notable successes in getting companies to
support public awareness and education activities.
The implementing agencies in both countries appear firmly committed
7. Country
to the effort. There is active participation in the PSC, RWGs and RSTP.
3
ownership
Greater awareness and involvement of other agencies and institutes is
desirable especially to ensure SAP approval and implementation.
The PMO has made significant process in building towards
achievement of the YSLME aims despite long-standing geo-political
tensions in the Yellow sea area. Project management has struck the
right tone and approach pushing for activities to be accomplished, yet
8. Implementation 1
cognizant of national sensitivities. The Yellow Sea Partnership can
approach
develop into an effective mechanism for coordinating Yellow Sea
activities and for expanding public awareness and support for
ecosystem protection measures. The PMO is well-managed with an
effective team in place.
The PMO has made very good use of local / regional expertise. It has
been able to conserve its resources during the early project period
9. Financial
which provides financial flexibility for expanded use of demonstration
3
planning
projects and possible support to DPRK. Improvements are needed in
annual budgeting, as the PMO has been overestimating its planned
annual budget expenditures during the first several project years,
YSLME MTE
November 2007 27
which has the carry-on effect of complicating disbursements for other
UNDP/UNOPS implemented projects in the region.
The project's efforts to involve parliamentarians are already the subject
of an IW LEARN Experience Note, used for recommending successful
10. Replicability
3
project activities to other GEF projects. Some of the ideas being
discussed for demonstration projects may hold good potential for
replication (for example on polyculture/mariculture).
Monitoring and evaluation efforts are in line with UNDP and GEF
requirements. The PMO has paid close attention to budgeting and
11. Monitoring and
2
financial aspects. The project has been closely monitored by UNOPS
evaluation
and the UNDP Seoul office. An independent audit was commissioned
and was taking place simultaneous to this MTE.
2.14 PROGNOSIS OF THE DEGREE TO WHICH THE OVERALL OBJECTIVES AND
EXPECTED OUTCOMES OF THE PROJECT ARE LIKELY TO BE MET
SAP projects stand a greater likelihood to meet expectations when involved stakeholders
represent both scientific and policy leadership. The YSLME has so far been primarily a
discussion amongst scientific experts, which is especially relevant for the TDA development
process, but is not ideal for ensuring passage of the SAP, which constitutes a binding legal
document between governments, and requires effective implementation at national and local
levels. YSLME SAP development plans call for an expansion of stakeholder inputs into the
SAP process during late 2007 - early 2008, including local government involvement. It
should also be expected that follow-on meetings of the parliamentary group will focus on the
SAP recommendations. Opportunities should also be identified for involving other
stakeholders in the SAP-draft commenting process.
The YSLME will be viewed as a successful project if a regional SAP can be developed,
approved and implemented. Based on the activities and achievements to date, there is
reason for cautious optimism, mixed with a sober awareness of the challenges still to be
overcome. There is steadfast interest amongst the parties to achieve SAP approval. China
and ROK laboured for 15 years to get to this point, and there is momentum towards a
positive conclusion. Government officials in both countries appear keen to address
environmental issues, and upcoming events, like the 2008 Beijing Olympics, should keep
worldwide attention riveted on the region's environmental challenges. The high calibre talent
included in the ad hoc SAP drafting group is certainly capable of drafting a well-conceived
SAP. However, based on past precedent, negotiations on the final content of the SAP may
be drawn out and contentious, especially if verifiable indicators and monitoring procedures
are included for gauging implementation success.
YSLME MTE
November 2007 28
3 RECOMMENDATIONS
1. To build a case for continuing GEF support, China and Korea should strive during 2008
to move quickly to negotiate and approve the YSLME SAP, setting verifiable targets for
protecting the Yellow Sea ecosystem and restoring its fisheries. The SAP should include
a regional fisheries agreement. To counter natural government tendencies toward drift
and delay, it will be useful to carefully choreograph the SAP drafting, negotiating and
signing processes. The PMO and the ad hoc SAP RWG are already hard at work on
SAP formulation; however several suggestions may be useful to consider:
Push for a quick negotiation and approval process for the SAP. Even before the SAP
is fully drafted, seek an upfront commitment from each country that they will conclude
their negotiations and approve the SAP in 2008. This timing is crucial for successful
implementation of the YSLME and for consideration of a GEF follow-up support
effort. It may be that a joint memorandum of understanding between the
governments and the PMO can help to cement their commitment.
Hold several stakeholder consultations for January, through March 2008 so that
NGOs, private sector organisations and the general public have a chance to
comment prior to final drafting. The Yellow Sea Partnership may be a useful umbrella
for these stakeholder review efforts.
The ad hoc drafting group is expected to release a draft of the SAP in March, 2008.
Already a head of time the PMO should develop terms of reference and select
consultants to elaborate costs and benefits, as well as policy and legislative
considerations. These supporting documents should be completed by the end of May
2008, so that a full package of the SAP and supporting documentation is submitted to
each government at the start of June, giving three months for internal review
procedures.
The SOA and MOMAF should identify senior level officials to lead final negotiations
during September of 2008, to clarify all remaining issues, and agree on the wording
of an accompanying joint statement and agreement for the SAP. These officials
should have high level authority to negotiate, which means that other ministries have
had a chance previously to provide input.
A ministerial level meeting and signing ceremony could then be scheduled for early
November, 2008, timed to coincide with the annual YSLME PSC meeting and
perhaps an NGO or science forum. The PMO and PSC should seek to get the
ministerial meeting date set early in the year to reinforce the urgency of completing
the drafting and negotiation process. The PSC should aim to make this a major, high
publicity event.
2. The initial PIP expects that demonstration projects should await SAP completion. This
will not work within the project time constraints and is not necessary. Already at this
stage in the SAP drafting it is becoming clear what are the subject areas that would
benefit from demonstration efforts (e.g. mariculture, coastal wetlands and habitat
protection, the management of marine protected areas, etc.). Planning for
demonstrations should start immediately after agreement is reached at the upcoming
2007 Project Steering Committee.
YSLME MTE
November 2007 29
3. The health of fisheries in the Yellow Sea was a critical driver for launching the YSLME
project. The partner countries have demonstrated a willingness to set national targets for
reduced fisheries catch, and to establish bilateral agreements for working together to
solve the problem. These are encouraging signs; however difficulties in achieving
effective cooperation are evident in the fact that fisheries research has been removed
from the cooperative cruise. Now with the SAP being drafted, and demonstration projects
soon to be developed, the time is ripe for a significant increase in joint fisheries activities.
In particular, attention should be given to gauging the extent that species displacement is
occurring in the Yellow Sea, with finfish biomass being supplanted by jelly fish.
4. There appears to be a strong mutual interest between China and Korea to improve
mariculture management both to increase fish quality and health, and also to reduce
pollution loading. Demonstration sites and types of techniques, including polyculture,
should be identified during the final months of 2007, with one or more demonstrations
tendered in early 2008. The partner countries, together with the YSLME PMO have a
great opportunity during the next two years to expand knowledge and undertake training
on innovative mariculture techniques, to increase production while reducing disease and
pollution. The long history and extensive production of mariculture in the yellow sea
coupled with increasing demands in a densely populated region suggest that this is an
ideal location for such demonstrations. The YSLME can have a positive global impact in
this field.
5. A high priority within the expected biodiversity project outputs is to develop coordinated
strategies of conservation and restoration of habitat and the protection of vulnerable
species. The project has established an effective relationship with the YSEPP
consortium to identify priority areas for habitat protection. A useful next step will be to
identify one or two particular sites and demonstrate effective coastal zone management
techniques.
6. The TDA recognises the importance of instituting marine protected areas to enhance
habitat for threatened species of flora and fauna. The TDA notes that there are a
number of Marine Protected Areas (MPAs) established around the coastal areas of
China and Korea. Many of these areas have been designed to provide for multiple uses,
including both habitat and also coastal development, in particular aquaculture,
mariculture, and salt production. The mixed use of MPAs is certainly common, and
reasonable recognising the population densities in the area. The problem is that very few
of the MPAs have established habitat protection baselines that enable the MPA
managers to identify when development has surpassed the `carrying capacity' or "limits
of acceptable change" of the ecosystem and needs to be cut back or curtailed. The
project could play a valuable role in its demonstration phase to assist in the
establishment of baselines and management strategies in at least one MPA in each
country. The results should then be shared and replicated with the other MPAs in the
respective countries.
7. The discussions and presentations at the 1st Yellow Sea Research Symposium (August
2007, Hangzhou) included consideration of various techniques to gauge the carrying
capacity of the Yellow Sea ecosystem. There are expectations across many of the
YSLME project outputs fisheries, biodiversity, ecosystems and investments, to
undertake carrying capacity analyses. There is a risk that the project will expend lots of
resources for capacity analyses in each of the focal areas and yet arrive no closer to
concrete recommendations for improving the Yellow Sea ecosystem. In particular, there
YSLME MTE
November 2007 30
is a significant risk that a lack of verifiable data on the status of the Yellow Sea
ecosystem will ensure a large margin of uncertainty, rendering the carrying capacity
analyses useless as an aide to policy decision-making. It is suggested to restrict the
carrying capacity effort to demonstration scale, utilising selected small sites in both
countries where human species interactions and impacts can be closely monitored,
sufficient data can be gathered, and an iterative process can be employed.
8. The small grants in the YSLME commenced as an additional activity not specifically
budgeted within the ProDoc. As such, it has had limited funding and each year's
continuation funding depends on approval from the Project Steering Committee (PSC).
The budget was set at $100,000 and revised to $110,000. The awards have taken place
and there is no expectation for future funding. However, there are lots of opportunities
for YSLME public awareness raising, there is continuing value in supporting local
environmental NGOs, and there will be demonstration projects identified as part of SAP
implementation. The PSC should give serious consideration to earmarking an additional
$100,000 for another round of small grant funding, and to utilise the additional funds for
public awareness, educational opportunities, habitat protection efforts, etc. linked to the
demonstration programme. This type of targeted small grants effort could significantly
raise the prominence of the demonstrations while building a local constituency and
support base to increase the chances these demonstration activities can be sustained
and replicated after the YSLME concludes.
9. The project has made significant progress in its public awareness efforts and is on the
right track with the Yellow Sea Partnership, which can help to systematise and improve
the efficiency of regional public awareness campaigns focused on Yellow Sea ecosystem
protection. It will be important now for the other YS Partners to see this initiative as also
benefiting their specific activities and interests, so that it becomes more of a mutually
shared effort, and less of a YSLME directed effort.
10. Future Yellow Sea Partnership activities should continue to expand private sector
support mechanisms, such as those already developed with Panasonic on the EESP,
with AMWAY on the Laioning youth programme, and with Oriental Ocean Company and
Shandong Province for the Kong Dong Island protection effort.
11. Through the YSLME website and supported by the Yellow Sea Partnership, the PMO
should pay greater attention to opportunities for expanding the body of published works
on the Yellow Sea ecosystem, helping to raise the profile of Yellow Sea marine scientific
efforts.
12. The PSC may want to consider adding a communications expert for the PMO. This
person would take direct responsibility for public relations, web content, special events,
educational programmes, the Yellow Sea Partnership and the small grants programme.
Given current spending levels, and available unused contingency funds, such a position
should fit within the existing budget. Alternatively, one or both of the partner countries
could second a communications expert to the effort, perhaps on a rotating basis.
13. The YSLME Project Steering Committee should request a concept note by the end of
2008 from the PMO that sets out the costs and benefits and management mechanisms
for establishing a Yellow Sea Commission and Secretariat. This would allow
consideration for the option to be included in the SAP. A Commission can enable the
YSLME MTE
November 2007 31
partner countries to normalise their joint efforts and provide a long term repository for
bilateral and multilateral financial support.
14. It is vital to the long-term sustainability of the Yellow Sea ecosystem that the DPRK
becomes a partner in this regional effort. Recent events have set the stage for
enlargement of the YSLME partnership in the near term. In particular, during the just
concluded summit between the leaders of the two Koreas, confidence building
agreements were reached, some of which directly involve the Yellow Sea. For instance,
a joint ROK/DPRK fishing area in disputed yellow sea waters was announced, as well as
joint use of some shipping routes. Positive progress in the separate six nation nuclear
talks adds further impetus to the timeliness of engaging now with DPRK on Yellow Sea
management issues. In addition, China and DPRK are now jointly proposing a GEF IW
project on sustainable management of the Yalujiang River, serving as another instance
of water resource cooperation that should spur DPRK involvement in the YSLME Project
This recommendation to now involve the DPRK is built upon a regional consensus
that has been developing concerning their participation. The DPRK has indicated to
the PMO its interest to participate, and both Chinese and ROK officials have
signalled their desire for the DPRK to join.
The DPRK has been invited to send participants to the November 2007 PSC annual
meeting and participation is likely. A key issue that may determine the level of
participation is whether they are invited as observers or as future partners. It would
be very useful for UNDP, China and ROK to signal that this meeting sets the stage
leading to full DPRK participation in 2008.
During its November meeting, the YSLME PSC should consider the budget and
management implications of DPRK involvement. The PMO should be instructed to
draft up a revised PIP and budget, identifying likely new activities and related costs.
Additional funding from China and ROK, as well as external funders, will be required.
A project concept note should be developed and used to attract international financial
support. The GEF and other international funders should then be approached.
There is currently a freeze on direct UNDP support to DPRK, pending resolution of
an (unrelated) investigation into financial management issues at UNDP's DPRK
country office in Pyongyang. While this investigation places some restrictions on the
YSLME, it should not prohibit the commencement of partnership negotiations. The
YSLME is a regional UNDP/GEF project, executed through UNOPS, not through the
UNDP country offices. Significant financial support to DPRK for YSLME-related
demonstration projects and consultancies will require a signed agreement for YSLME
involvement, as well as resolution of the UNDPPyongyang office financial issues. In
the meantime, limited support for travel allowances of DPRK officials to participate
in YSLME negotiations, should be made available.
GEF has received an MSP PIF (project proposal) to provide support for inclusion of
the DPRK into the Yellow Sea Project. The PIF provides a good basis for GEF
financial consideration, noting that a $1 million GEF commitment would enable the
DPRK to fully integrate into Yellow Sea Project activities. The PIF estimates
$815,000 in co-financing, through in-kind contributions of office space and expert
time in the DPRK, and through bilateral support from China and other external
sources. GEF approval of this proposal in 2008 would provide a strong boost to the
YSP.
YSLME MTE
November 2007 32
The UNDP/GEF International Waters Programme is designed to protect and enhance
natural resources through transboundary cooperation. It is hoped that through the
joint sustainable management of shared natural resources, the parties will also build
greater trust and reduce cross-border conflicts. Establishing a successful three-way
partnership in the YSLME will be a crowning achievement for the project, and a
strong basis for subsequent GEF financial support for protection of the Yellow Sea
ecosystem.
YSLME MTE
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4
ANNEX
4.1 BIBLIOGRAPHY
Endo, Isao (2006). Regional Conference on Parliamentary Environment and Sustainable Use of Marine
Resources in the Yellow Sea. The Global Environmental Facility (GEF) International Waters Experience
Notes 2006-001: 1-6.
Queensland Health Scientific Services. 2006. Summary Report: UNOPS Interlaboratory Trial for
Nutrients in Seawater, China and Korea. January 2006 March 2006. Prepared and Evaluated by Gary
Prove and Dan Wruck. Queensland Government, Australia.
UNDP/GEF/YSLME (2000) Responses to GEF Council Comments on Yellow Sea Large Marine
Ecosystem (Reference: GEF/C.15/3 7 April 2000). [Comments from the Constituency of Australia, New
Zealand and Republic of Korea]
UNDP/GEF/YSLME (2004). Approved Project Document for UNDP/GEF Project entitled "Reducing
Environmental Stress in the Yellow Sea Large Marine Ecosystem [UNDP/GEF/YS/RSTP.1/Inf.4 Date: 1
December 2004. English only]. 93 pp.
UNDP/GEF/YSLME (2005):
Implementation Plan for the UNDP/GEF Project entitled," Reducing Environmental Stress in the
Yellow Sea Large Marine Ecosystem". [UNDP/GEY/YS/PSC.1/3 Annex IV]. 51 pp.
Report of the First Project Steering Committee Meeting for the UNDP/GEF Yellow Sea Project.
UNDP/GEF/Y S/PSC. 1/3.
Report of the First Regional Technical Meeting on the Preparation of the Implementation Plan of the
UNDP/GEF Yellow Sea Project. UNDP/GEF/YS/RSTP. 1/3.
Report of the Second Regional Technical Meeting on the Preparation of the Implementation Plan of
the UNDP/GEF Yellow Sea Project. UNDP/GEF/YS/RSTP. 2/3.
Annual Project Report (APR/PIR) for UNDP/GEF Projects 2005. PIR-APR 05 International
Waters_YSLME-International Waters. 25 pp.
UNDP/GEF/YSLME 2006:
Report of the Second Meeting of the Regional Working Group for the Investment Component (14th to
17th November 2005). UNDP/GEF/YS/RWG-I.2/3.
Report of the Second Meeting of the Regional Working Group for the Fisheries Component (17th to
20th November 2005). UNDP/GEF/YS/RWG-F.2/3.
Report of the Second Meeting of the Regional Working Group for the Ecosystem Component (29th
November to 2nd December 2005). UNDP/GEF/YS/RWG-E.2/3.
Report of the Second Meeting of the Regional Scientific and Technical Panel (15th to 17th December
2005). UNDP/GEF/YS/RSP.2/3.
Report of the Second Project Steering Committee Meeting (19th to 20th December 2005).
UNDP/GEF/YS/PSC.2/3.
Report of the Special Project Steering Committee Meeting (24th April 2006).
UNDP/GEF/YS/SPSC.1/3.
Report of the Second Technical Meeting for the Co-operative Study Cruises In the Yellow Sea
Marine Basin for the UNDP/GEF Yellow Sea Project (25h to 26 December 2005).
UNDP/GEF/YS/RSP.2/3.
Report of the Training Workshop for Local Government Officers Coastal Development vs. Protection
of Marine Environment: How to Make A Decision? UNDP/GEF/YS/LG.1/3.
Report of the Expert Technical Workshop on Fate and Transport of Pollutants in the Yellow Sea.
UNDP/GEF/YS/WS-PFT.1/3.
Report of the Third Regional Working Group Meeting for the Pollution Component (7th September
2006). UNDP/GEF/YS/RWG-P.3/3.
Report of the Third Regional Working Group Meeting for the Investment Component (12th September
2006). UNDP/GEF/YS/RWG-I.3/3.
Report of the Third Regional Working Group Meeting for the Ecosystem Component (21st September
2006). UNDP/GEF/YS/RWG-E.3/3.
Report of the Third Regional Working Group Meeting for the Biodiversity Component (23rd October
2006). UNDP/GEF/YS/RWG-B.3/3.
Report of the Third Regional Working Group Meeting for the Fisheries Component (28th September
2006). UNDP/GEF/YS/RWG-F.3/3.
Report of the Third Regional Scientific and Technical Meeting (22nd November 2006).
UNDP/GEF/YS/RSP.3/3.
Report of the Third Project Steering Committee Meeting (24th November 2006).
UNDP/GEF/YS/PSC.3/3.
Annual Project Report UNDP GEF APR/PIR 2006 (1 July 2005 to 30 June 2006). 28 pp.
GEF International Waters Annual Project Performance Results Template: Reducing Environmental
Stress in the Yellow Sea Large Marine Ecosystem. 18 pp.
Governance Analysis of YSLME: Korea's Case. [Small Contract for Services: Ref. I-6-rok-govern-
2123, Document prepared by Cho, Dong-Oh & Choi Dong-Hyun. Korea Maritime Institute.]118 pp.
Report On Governance Analysis Of the Yellow Sea. [Document prepared by Xu, Xiangmin, Ocean
University of China.] 151 pp.
UNDP/GEF/YSLME (2007).
"Conceptual Procedure for SAP Preparation." Summary report from SAP Consultation Meeting (6-8
February 2007).
Transboundary Diagnostic Analysis. 98 pp.
Report of 1st SAP Ad-hoc Working Group Meeting (10-12 April 2007).
Report of Genetic Diversity Workshop (14-15 May 2007).
Annual Project Report UNDP GEF APR/PIR 2007 INTERNATIONAL WATERS (1 July 2006 to 30
June 2007). 26 pp.
GEF International Waters Annual Project Performance Results Template: Reducing Environmental
Stress in the Yellow Sea Large Marine Ecosystem. 11 pp.
Events List. 2 pp..
Reports List. 2 pp.
UNOPS (2007)Revised Terms of References (Draft) UNDP/GEF Project Mid-Term Review "Reducing
Environmental Stress in the Yellow Sea Large Marine Ecosystem (RAS/00/G31).
Wen, Q. 2007. Consultant Report on "Regional Guidelines for Marine Pollution Monitoring in the Yellow
Sea."
WWF (2006). WWF in China. Worldwide Fund for Nature, China. 24 pp.
WWF (2006)> WWF China Programme, Annual Report 2006. Worldwide Fund for Nature, China. 42 pp.
YSLME MTE
November 2007 35
4.2 MEETINGS - UNDP/GEF-YSLME MTE MISSION, 6 23, AUGUST 2007
6 August 2007 (Monday Seoul Korea)
Zhe Yang, UNDP Representative, UNDP Seoul, ROK
Hyun-Shin Lee, Programme Manager, UNDP Seoul
7 August 2007 (Tuesday Beijing China)
Zang Jianzhi, Senior Engineer, Senior Programme Officer, China GEF Office
Guo Yenfeng, Programme Manager, Energy & Environment Team, UNDP Beijing,
8 August 2007 (Wednesday Beijing China)
Wang Songlin, Marine Programme Officer, WWF China, Beijing,
Tobai Sadayosi, Marine Programme Leader, WWF Japan
Yuan Jun, Director, Int'l Financial Institution Division IV, Int'l Dept, Ministry of Finance, Beijing,
China, YSLME National Project Coordinator (+ colleagues)
Zhou Qiangwu, Division Chief, 4th Division, Dept. of Int'l Cooperation, Ministry of Finance
9 August 2007 (Thursday - Beijing China)
Liang Fengkui, Director, Div. Int'l. Organizations Dept. Int'l Cooperation State Ocean
Administration, Beijing, China.
Pei Xiangbin, Deputy Division Chief, Ocean Dept. State Environmental Protection Administration
(SEPA)
10 August 2007 (Friday Dalian, China)
Yihang Jiang, Programme Manager, YSLME PMO
Wen Quan, Research professor, National Marine Environmental Monitoring Center, Institute of
Marine Environmental protection, SOA, Dalian. Chairperson of YSLME Regional Pollution Working
Group
Wang Juying, Senior Scientist, NMEMC
Lin Xinzhen, International Cooperation Officer & Project Manager, NMEMC
11 August 2007 (Saturday- Dandong China)
Sun Yaquan, Dandong City Administration
Meng Dexing Liaoning Provincial Government, Marine Environment Research Institute
Wang Xinian, Marine Environment Research Institute, Liaoning Provincial Government
Cathy Wang, Liaoing Branch Senior Manager, AMWAY
12 August 2007 (Sunday Dandong & Dalian China)
Liaoning Province YSLME AMWAY Youth Programme
13 August 2007 (Monday Dalian, China )
Han JiaBo, Deputy Director, Ocean and Fisheries Science Research Institute of Liaoning Province.
14 16 August 2007 (Tuesday - Thursday, Hangzhou China )
Li Haiqing, National Project Coordinator - China
Hyung-Tack Huh, National Project Coordinator ROK Fellow, Sr. Scientist Emeritus,
Agriculture and Science Division, Korea Ocean R&D Institute, Korean Academy of Science and
Technology
YSLME MTE
November 2007 36
Sinjae Yoo, Sr Scientist, KORDI, ROK.
Zhang Kai, Global Village, China.
Jingmei Li, Professor, Ocean University of China, School of Economics
Zhu Ming Yuan, Research Professor, First Institute of Oceanography, SOA, Key Lab of Marine
Ecology and Environment Science and Engineering
Zhang Jianzhi, Senior Engineer, Senior Programme Officer, China GEF Offices, Beijing
Seong Hwan Pae, Environment Technology, PhD, Korea Institute of Marine Science and
Technology Promotion
Anatoly N. Kachur, Director, UNEP Action Plan for the North-western Pacific (NOWPAP)
(+ numerous other participants at the First Open Science Meeting from China, ROK, Japan, US
and other GEF International Waters Project)
20 August 2007 (Monday Seoul Korea)
Chang-Mo Kim, Director, Environment Cooperation Division, Ministry of Foreign Affairs and
Trade (MOFAT), ROK
Dong-Shik Woo, Director, Marine Environment Division, Ministry of Maritime Affairs and Fisheries
(MOMAF), ROK
Jong-Gil Je, Parliamentarian, National Assembly, ROK
21 August 2007 (Tuesday Seoul Korea)
Suam Kim, Professor, College of Fisheries, Sciences, Pukyong National University
Daeseok Kang, Assistant Professor, Department of Ecological Engineering, Pukyong University
Yihang Jiang, Programme Manager, YSLME Project Management Office, KORDI, ROK.
Connie Chiang, Environmental Officer, PMO
Jeong-Soo Kim, Vice Director, Citizens' Institute for Environmental Studies, ROK
Kyung Won Kim, Director, Wetlands Center, Korea Federation of Environmental Movement
(KFEM), ROK.
Sun-Mi Park, Head of Shihwa Lake Saver
22 August 2007 (Wednesday Seoul Korea)
Hi-Il Yi, Principal Research Scientist, Ocean Environment & Characteristics Research Division,
Marine Environment Research Department, Korea Ocean Research & Development Institute
(KORDI
Connie Chiang, Environment Officer, PMO
Isao ENDO, Investment & Public Awareness Officer, PMO
Mark Walton, Fisheries Officer, PMO
23 August 2007 (Thursday Seoul Korea)
Yihang Jiang, Programme Manager, PMO
Sung- Jun Park, Finance & Administrative Officer, PMO
Eui-Dea Yun, IT Supporting Staff, PMO
Kyung-Suk Lee, Administrative Assistant, PMO
Zhe Yang, UNDP Representative, UNDP Seoul
Hyun-Shin Lee, Programme Manager, UNDP Seoul
YSLME MTE
November 2007 37
4.3 UNDP/ GEF PROJECT MID-TERM REVIEW TOR
1. PROJECT BACKGROUND
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.
2. PROJECT OBJECTIVES AND EXPECTED OUTPUTS
The long-term objective of this project is ecosystem-based environmentally-sustainable management and
use of the Yellow Sea 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.
In order to achieve this objective this project will prepare a Transboundary Diagnostic Analysis (TDA), a
regional Strategic Action Programme (SAP) and National Yellow Sea Action Plans (NYSAPs). This project
will also initiate and facilitate the implementation of the SAP.
The project is relevant to the GEF Operational Strategy for International Waters, as well as for the
Waterbody Based Operational Programme (#8), with relevance to biological diversity.
3. MID-TERM REVIEW OBJECTIVES
The purpose of the Mid-Term Review is to examine the performance of the project since the beginning of its
implementation. The Review will include both the evaluation of the progress in project implementation,
measured against planned outputs set forth in the Project Document in accordance with rational budget
allocation and the assessment of features related the process involved in achieving those outputs, as well
as the initial and potential impacts the project. The evaluation will also address the underlying causes and
issues contribution to targets not adequately achieved.
YSLME MTE
November 2007 38
The Mid-term Review is intended to identify weaknesses and strengths of the project design and to come
up with recommendations for any necessary changes in the overall design and orientation of the project by
evaluating the adequacy, efficiency, and effectiveness of its implementation, as well as assessing the
project outputs and outcomes to date. Consequently, the Review mission is also expected to make detailed
recommendations on the work plan for the remaining project period. It will also provide an opportunity to
assess early signs of the project success or failure and prompt necessary adjustments.
The Review mission will also identify lessons learnt and best practices from the Project which could be
applied to future and other on-going projects.
4. SCOPE OF THE MID-TERM REVIEW
The scope of the mid-term evaluation will cover all activities undertaken in the framework of the project. The
evaluators will compare planned outputs of the project to actual outputs and assess the actual results to
determine their contribution to the attainment of the project objectives. The evaluation will diagnose
problems and suggest any necessary corrections and adjustments. It will evaluate the efficiency of project
management, including the delivery of outputs and activities in terms of quality, quantity, timeliness and cost
efficiency. The evaluation will also determine the likely outcomes and impact of the project in relation to the
specified goals and objectives of the project.
The evaluation will comprise the following elements.
i. Assess whether the project design is clear, logical and commensurate with the time and resources
available;
ii. A summary evaluation of the project and all of its major components undertaken to date and a
determination of progress towards achievement of its overall objectives;
iii. An evaluation of project performance in relation to the indicators, assumptions and risks specified in
the logical framework matrix and the Project Document;
iv. An assessment of the scope, quality and significance of the project outputs produced to date in relation
to expected results;
v. An analysis of the extent of co-operation engendered and synergy created by the project in each of its
component activities, between national and regional level activities and the nature and extent of
commitment among the countries involved;
vi. An assessment of the functionality of the institutional structure established and the role of the Project
Steering Committee (PSC), the Regional Scientific and Technical Panel (RSTP) and national
committees and working groups;
vii. Identification and, to the extent possible, quantification of any additional outputs and outcomes beyond
those specified in the Project Document;
viii. Identification of any programmatic and financial variance and/or adjustments made during the first 2
years of the project and an assessment of their conformity with decisions of the PSC and their
appropriateness in terms of the overall objectives of the project;
ix. An evaluation of project coordination, management and administration provided by the PMO. This
evaluation should include specific reference to:
x. Organizational/institutional arrangements for collaboration among the various agencies and institutions
involved in project arrangements and execution;
xi. The effectiveness of the monitoring mechanisms currently employed by the PMO in monitoring on a
day to day basis, progress in project execution;
xii. Administrative, operational and/or technical problems and constraints that influenced the effective
implementation of the project and present recommendations for any necessary operational changes;
and
xiii. Financial management of the project, including the balance between expenditures on administrative
and overhead charges in relation to those on the achievement of substantive outputs.
xiv. A qualified assessment of the extent to which project outputs to date have scientific credibility;
xv. An assessment of the extent to which scientific and technical information and knowledge have
influenced the execution of the project activities;
xvi. A prognosis of the degree to which the overall objectives and expected outcomes of the project are
likely to be met;
YSLME MTE
November 2007 39
xvii. Lessons learned during project implementation;
xviii. Recommendations regarding any necessary corrections and adjustments to the overall project
workplan and timetable for the purposes of enhancing the achievement of project objectives and
outcomes.
5. REVIEW METHODOLOGY
The Mid-term Review will be conducted in a participatory manner working on the basis that its essential
objective is to assess the project implementation and impacts in order to provide basis for improvement in
the implementation and other decisions.
The Mission will start with a desk review of project documentation and also take the following process:-
(i) Desk review of project document, outputs, monitoring reports (such as Project Inception Report,
Minutes of all Steering Committee meetings including other relevant meetings, Project Implementation
Report (PIR/APR), Quarterly Operational Reports, quarterly progress reports, mission reports and
other internal documents including consultant and financial reports and relevant correspondence);
(ii) Review of specific products including datasets, management and action plans, publications and other
material and reports;
(iii) Interviews with the Project Manager and other project staff in the Project Management Office (PMO);
and
(iv) Consultations and/or interviews with relevant stakeholders involved, including government
representatives in PR China and ROK; local communities, NGOs, private sector, donors, other UN
agencies and organizations.
6. REVIEW TEAM
Two consultants with the following qualifications shall be engaged to undertake the evaluation working
concurrently according the to planned schedule, and one of the international consultant will be designated
as the team leader who will have the overall responsibility of organizing and completing the review, and
submitting the final report.
Qualifications of Team Leader:
-
International/regional consultant with academic and/or professional background in natural resources
management and extensive experience in coastal ecosystem, marine science and international water
etc. A minimum of 15 years' relevant experience is required;
-
Substantive experience in reviewing and evaluating similar technical assistance projects, preferably
those involving UNDP/GEF or other United Nations development agencies and major donor;
-
Excellent English writing and communication skills; demonstrated ability to assess complex situations in
order to succinctly and clearly distill critical issues and draw forward-looking conclusions;
-
An ability to assess the institutional capacity and incentives required;
-
Understanding of political, economic and institutional issues associated with transboundary water and
large marine ecosystem in the Yellow Sea;
-
Experience in leading multi-disciplinary and multi-national teams to deliver quality products in high
stress an short deadline situations;
-
Excellent in human relations, coordination, planning and teamwork.
Qualifications of International Consultant:-
-
International/Regional consultant with academic and/or professional background in natural resources
management, especially in the areas of coastal ecosystem, marine science and international water etc.
-
A minimum of 15 years' relevant experience is required;
-
Experience in implementation of technical assistance projects;
-
Skills in international water (Large marine ecosystem) assessment techniques;
-
Knowledge and experience in coastal ecosystem planning;
-
Experience and skills in biological diversity monitoring and information systems;
-
Excellent English writing and communication skills;
-
Excellent in human relations, coordination, planning and team work.
7. PROPOSED SCHEDULE
The Review will take place in [tentative date] 2007 and it requires [tentative number of days]-day desk
review, [tentative number of days]-day country visit to PR China and ROK and the Project Management
YSLME MTE
November 2007 40
Office, another [tentative number of days]-days for consultations with various stakeholders. The draft Final
Report should be submitted to UNDP & UNDP/GEF for circulation to relevant agencies within [tentative
duration for draft] weeks after the completion of the review. The Review Team will finalize the report within
two weeks upon receiving comments and feedbacks from stakeholders compiled by UNDP & UNDP/GEF.
Detailed schedule will prepared in due time by UNDP & UNDP/GEF in consultation with the Project
Management Office.
8. DELIVERABLES
The Review mission will produce the following deliverables to UNDP, UNDP/GEF and the Project Steering
Committee:
An executive summary, jointly prepared by the consultants, including findings and recommendations;
A detailed evaluation report covering items (i) (xiv) of 4. Scope of the Mid-Term Review with attention
to lessons learned and recommendations; and
List of Annexes prepared by the consultants, which includes TORs, Itinerary, List of Persons
Interviewed, Summary of Field Visits, List of Documents reviewed, Questionnaire used and Summary of
results, Co-financing & Leveraged Resources etc.
The report together with the annexes, shall be written in English and shall be presented in electronic
form in MS Word format.
9. ESTIMATED COSTS
The total cost for the Review Mission is estimated at USD48,000, which includes consultant fees, their daily
subsistence allowances, as well as international and domestic air fares.
10. RATING PROJECT SUCCESS
The evaluators may also consider the form of the rating used in the International Waters Program
Monitoring Questionnaire prepared by the GEF Monitoring and Evaluation Unit. This will be provided to the
consultants by the Project Manager at the inception of the review.
The evaluation will rate the success of the project on a scale from 1 to 5, with 1 being the highest (most
successful) rating and 5 being the lowest. The following items should be considered for rating purposes:
· Achievement of objectives and planned results
· Attainment of outputs and activities
· Cost-effectiveness
· Impact
· Sustainability
· Stakeholders
participation
· Country
ownership
· Implementation
approach
· Financial
planning
· Replicability
· Monitoring and evaluation
Each of the items should be rated separately with comments and then an overall rating given. The following
rating system is to be applied:
1=Excellent (90 % -100 % achievement)
2=Very Good (75 % - 89 %)
3=Good (60 % - 74 %)
4=Satisfactory (50 % - 59 %)
5=Unsatisfactory (49 % and below)
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November 2007 41
Document Outline
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