PIMS 4868 PRODOC China Anhui 20131126-Anhui+UNDP-final

PRODOC: Strengthening the management effectiveness of the wetland protected area system in Anhui Province 3

Contents

SECTION I: Elaboration of the Narrative .................................................................................................. 7 PART I: Situation Analysis ...................................................................................................................... 7

Introduction .................................................................................................................................... 7

Biodiversity Context and global significance ................................................................................... 9

Threats, Root causes and Impacts .................................................................................................. 26

Long-term solution and barriers to achieving the solution .............................................................. 29

Introduction to site Interventions ................................................................................................... 32

Stakeholder analysis ...................................................................................................................... 35

Baseline analysis ........................................................................................................................... 38

PART II: Strategy .................................................................................................................................. 44

Project Rationale and Policy Conformity ....................................................................................... 44

Project Goal, Objective, Outcomes and Outputs/activities ............................................................. 48

Project Indicators .......................................................................................................................... 59

Risks and Assumptions ................................................................................................................. 61

Incremental reasoning and expected global, national and local benefits.......................................... 64

Cost-effectiveness ......................................................................................................................... 67

Project consistency with national priorities/plans ........................................................................... 67

Country Ownership: Country Eligibility and Country Drivenness .................................................. 69

Sustainability and Replicability ..................................................................................................... 69

PART III: Management Arrangements ................................................................................................ 71

Project Management ..................................................................................................................... 71

PART IV: Monitoring and Evaluation Plan and Budget ...................................................................... 74

Monitoring and reporting .............................................................................................................. 74

Independent Evaluations, Audits and financial reporting ............................................................... 79

Learning and knowledge sharing ................................................................................................... 80

Communications and visibility requirements ................................................................................. 80

Audit Clause ................................................................................................................................. 81

PART V: Legal Context ......................................................................................................................... 81

SECTION II: STRATEGIC RESULTS FRAMEWORK (SRF) AND GEF INCREMENT .................... 83

PART I: Strategic Results Framework, SRF (formerly GEF Logical Framework) Analysis .............. 83

Indicator framework as part of the SRF ......................................................................................... 83

Part II: Incremental Cost Analysis ........................................................................................................ 88

Baseline trend of development of Anhui WPAs and key baseline programs ................................... 88

Alternative .................................................................................................................................... 88

Key Baseline Programs ................................................................................................................. 88

Summary of Costs ......................................................................................................................... 90

SECTION III: Total Budget and Workplan .............................................................................................. 92

SECTION IV: ADDITIONAL INFORMATION ...................................................................................... 96

PART I: Other agreements .................................................................................................................... 96

Co-financing Letter ....................................................................................................................... 97

PART II: Organogram of Project .......................................................................................................... 99 PART III: Terms of References for key project staff .......................................................................... 100

Project Administrative Assistant .................................................................................................. 104

Overview of Inputs from Technical Assistance Consultants ......................................................... 107

PART IV: Stakeholder Involvement Plan .......................................................................................... 112


Project Annexes ........................................................................................................................................ 116

ANNEX 1: Management Effectiveness Tracking Tool (METT) ......................................................... 116

ANNEX 2: Economic Valuation of Ecosystem Services and Wetlands Sustainability in Shengjin Lake Wetlands Nature Reserve and Adjacent WPAs .................................................................................. 117 ANNEX 3: Ecosystem Health Index (EHI) Methodology ................................................................... 121

3.1 Summary of Ecosystem Health Index Methodology ............................................................... 121

3.2 Ecosystem Health Index Assessment Results in three WPAs ................................................ 125

ANNEX 4: Capacity Scorecard Assessment Results ........................................................................... 143

ANNEX 5: Yangtze Corridor Wetland PAs in Anhui Province......................................................... 161 ANNEX 6: Tables of Anhui Protected Area system ........................................................................... 171

ANNEX 7: Knowledge, Attitude Practice (KAP) ............................................................................... 175 ANNEX 8: Environmental and Social Screening Summary ............................................................... 177

ANNEX 9: Letter of Agreement for UNDP Direct Project Service .................................................... 186

List of Tables

Table 1: Comparison of major biological groups between Anhui Province and China as a whole ........... 10

Table 2: List of wild plants and wild animals under priority protection in Anhui Province ...................... 10

Table 3: Endangered species under national protection in Shengjin Lake NNR .................................... 12

Table 4: Selected endangered waterbirds above the 1% criterion of world population in Shengjin Lake NNR...................................................................................................................................................... 13

Table 5: Economic situation of Anhui Province relative to surrounding provinces .................................. 15

Table 6: Linkage of Anhui 12th 5-Year Plan with 12th National 5-Year Plan. ....................................... 23

Table 7: Stakeholder analysis. ............................................................................................................... 36

Table 8: On-going baseline funding of Shengjin Lake NNR, Anhui Province* ...................................... 41

Table 9: Elaboration on Project Objective, Outcomes, Indicators and Targets. ....................................... 59

Table 10: Project Risks Assessment and Mitigation Measures ................................................................ 62

Table 11: M&E Activities, Responsibilities, Budget and Time Frame .................................................... 76

Table 12: Incremental Cost Matrix ........................................................................................................ 90

Table 13: Overview of Inputs from Technical Assistance Consultants .................................................. 107

Table 14: Coordination and collaboration between project and related initiatives ................................. 114

Table 15: Nature Reserves for Forest and Terrestrial Wildlife Protection in Province ........................... 171

Table 16: Wetland nature reserves in Anhui Province .......................................................................... 172

Table 17: National wetland parks in Anhui Province ............................................................................ 173

List of Figures

Figure 1: Asian Migratory Bird Flyways ................................................................................................ 11

Figure 2: Location map of Anhui Nature Reserves ................................................................................. 17

Figure 3: Wetland protected areas of Anhui Province ............................................................................. 18

Figure 4: Map of Shengjin Lake National Nature Reserve ..................................................................... 33

List of Boxes

Box 1. Risk Assessment Guiding Matrix ................................................................................................ 62

Box 2. List of the Project’s Key Stakeholders ...................................................................................... 112


Acronyms and Abbreviations

AED Anhui Environment Department AFD Anhui Forest Department APR Annual Progress Report ARR Annual Review Report ATLAS UNDP financial reporting system AWP Annual Work Plan BRCUP Biological Resources Conservation and Utilization Plan (for Anhui Province) CBD United Nations Convention on Biological Diversity CBPF China Biodiversity Partnership Framework and Action Plan CDRC City Development and Reform Commission CITES Convention on International Trade in Endangered Species of Wild Flora and

Fauna CNY Chinese Yuan CPAP Country Programme Action Plan DRC Development and Reform Commission EA Executing Agency EIA Environmental Impact Assessment EHI Ecosystem Health Index EPB Environmental Protection Bureau FYP Five Year Plan GEF Global Environment Facility (fund) GDP Gross Domestic Products IA Implementing Agency IBA Important Bird Area IRBM Integrated River Basin Management ITA International Technical Adviser IUCN International Union for the Conservation of Nature IW Inception Workshop IWRM Integrated Water Resources Management M&E Monitoring and Evaluation MEP Ministry of Environmental Protection METT Management Effectiveness Tracking Tool MDRC Municipal Development and Reform Committee MSL Mainstreams of Life MWR Ministry of Water Resources NBCSAP National Biodiversity Conservation Strategy and Action Plan NDRC National Development Reform Commission NEX National Executed NGO Non-governmental Organization NNR National Nature Reserve NPMS Nature Protection and Management Station NR Nature Reserve NWP National Wetland Park PA Protected Areas PDRC Provincial Development and Reform Commission PIR Project Implementation Review (GEF) PB Project Board


PBM Project Board Meeting PCU Project Coordination Unit PD (Provincial) Project Director PM Project Manager PMO Project Management Office PNR Provincial Nature Reserve PoWPA Programme of Work on Protected Areas PPD Provincial Project Director PPP Public Private Partnership PPR Project Progress Report PSC Project Steering Committee ProDoc Project Document RCU Regional Coordinating Unit RMB Remimbi (Chinese currency -Yuan) RTA Regional Technical Advisor SFA State Forestry Administration ToR Terms of Reference UNDP United Nations Development Programme UNDP-CO UNDP Country Office USTC The University of Science and Technology of China WPA Wetland Protected Area WWF World Wide Fund for Nature


SECTION I: Elaboration of the Narrative

PART I: Situation Analysis

INTRODUCTION

1. Wetlands have been, historically, very extensive in Anhui Province, especially in the Yangtze River Basin. These have played a central part in the rich biodiversity along this basin that has relied upon the large numbers of riparian lakes that are interconnected with the hydrology of the Yangtze River. For millennia these wetlands have provided nesting, staging and migratory habitat for wildfowl along the East Asia Pacific flyway and for local species that reside in this area. Over the past 40 years, and especially in the past 20 years, there is a trend that the wetlands in Anhui are decreasing and their quality is degrading through a combination of land conversion to agriculture (mainly to paddy rice), overfishing, pollution both from aquaculture and agriculture, and from other land-based sources of pollution. The introduction of caged fisheries in the 1990's now occupies large areas within core zones. This intensive aquaculture of fish and crabs has destroyed all natural habitat within the caged areas and has seriously depleted wild fish stock 1 . Loss of the natural annual hydrological cycle as a consequence of the disconnection of the WPAs from the Yangtze River except some lakes because sluice gates were built, which further reduced water circulation and increased pollution and sedimentation.

2. Anhui contains 11 large lakes that are designated as Wetlands of National Importance of which one, Shengjin Lake (a subject of this Project) is designated as a National Wetland Reserve (a higher level of designation). There are three National Nature Reserves for wetlands and wildlife, but only Shengjin Lake National Nature Reserve (NNR) is focused on wildfowl (the others are Yangtze Dolphin and Chinese Alligator). Additionally there are eight wetlands designated as Provincial Nature Reserves. All of these Wetland Protected Areas (WPAs) are, in fact, poorly protected which is typical of wetland conservation and management across China. This lack of protection results from a variety of issues -- from legal to institutional to technical. Legally, the State Forestry Administration proposed the Management Regulations on Wetlands Conservation, but the Regulations of the People’s Republic of China on Wetlands Conservation has not been issued although this has been in development for at least four years; the Anhui Provincial Wetlands Conservation Regulations have been drafted but have yet to be approved by the Provincial People's Congress (PPC).

3. For most wetlands, the reserve authorities don’t own these lands. Wetlands institutions have the mandate to 'manage' wetlands but do not have jurisdiction over wetlands The only area in which WPA institutions have exclusive jurisdiction is wild birds but not over their habitat. The Water Bureaus have a singular focus on flood control and do not consider the need for a managed water level for wetland habitat purposes. With one exception, all of the Yangtze riparian lakes are connected to the Yangtze River by sluices that are operated mainly for flood control in the summer and fish harvest in the winter, and which prevent fish migration in/out of

1 According to local fishermen and the Daqing Lake Eco-fishery Cooperative of Shengjin Lake.


the Yangtze River. Though different authorities on wetlands management have different administrative rights, they have realized the main problems existing in wetlands conservation, so they begin to setup coordinating mechanism, which is helpful for the issuing and implementation of the regulations on wetlands.

4. This lack of jurisdiction by any one agency results in extensive land use conflicts that are mainly driven nowadays by local governments and local bureaus using wetland uses to raise revenue and with no consideration to long term sustainability. Generally, there is also no higher authority that can intervene so that the various bureaus and departments develop an integrated and multi-sectoral approach to wetland planning and management. At present, Chizhou City is establishing a coordinating institution, and its vice mayor leads and coordinates several related departments to jointly manage wetlands.

5. Shengjin Lake National Nature Reserve (NNR), under the jurisdiction of the forestry authority in Chizhou City, has adopted a multi-sector vision of this WPA that focuses on conservation and waterbirds as a basis for sustainable, low impact, tourism. This project will provide an example of what can be done, and mechanisms required for sustainable management of the WPA and contribute towards development of a model that can be replicated in the rest of the province (and also the country) in wetland biodiversity planning and management.

6. Currently, some 50,000 tourists visit Shengjin Lake NNR each year, however the Chizhou City government would like this NNR to become a regional centre for eco-tourism in conjunction with farm-stay and other types of tourism in the immediate vicinity. Too many tourists have a negative impact on wetlands and, in particular, to over-wintering waterbird populations. With two exceptions (Dolphin Reserve and the Chinese Alligator Reserve), none of the WPAs benefit financially from tourism nor is there significant financial benefit to the surrounding communities.

7. Sustainable financing is a key issue for wetland conservation to meet the gaps for day-to-day wetland management, infrastructure improvement and capacity building. Inadequate budgets, failure to retain tourism revenue in most WPAs, and inability to control tourism pressure currently are not advantageous to NR conservation. However, opportunities do exist for a more innovative approach to financing in the context of economic development and increased investment in nature conservation and ecological restoration.

8. Finally, local livelihoods, especially those that rely on wetland ecosystems (caged and wild fishing) are heavily dependent on highly degraded aquatic systems. Through a combination of compensating fishers to leave this business, implementing catch quotas that are based on sustainable yield, and remediating degraded aquatic ecosystems, Shengjin Lake will become a model for the methods that can be adopted to manage a sustainable fishery.

9. This project therefore aims to address the principal barriers identified in the situation analysis through a systematic approach at different levels of organization in order to strengthen the management effectiveness of Anhui's PA system. The project will create a strong provincial system for managing the PA system and the sub-system of wetland PAs, improving the spatial design of the PA system and bringing an additional 80,000 ha of wetlands under protection, ensuring better wetland ecosystem representation and filling ecosystem coverage gaps. As Anhui


is an inland province wetlands are part of river basin systems. By focusing both on basin management and PA management, the Project will increase the resilience of the sub-system in the face of a fast changing climate by reducing threats and increasing management capacity to cope with emerging threats such as climate change. The project will improve functioning of existing and new PAs, by strengthening management effectiveness through improved monitoring and law enforcement, development of co-management arrangements with community participation. Valuation of key ecosystem services and local resource use will underpin piloting of eco-compensation schemes to improve the sustainability of PA management. The project is designed to reduce threats by integrating wetland PA objectives into tourism plans and establishing standards for tourism development and operation, while also addressing other sectoral pressures notably from agriculture and aquaculture practices.

BIODIVERSITY CONTEXT AND GLOBAL SIGNIFICANCE

Environmental and Biodiversity Context

10. Anhui Province is located at the mid- and lower-reaches of Yangtze River and borders Hubei Province to the southwest. It has a total area of 139,000 square kilometers and a population of around 66 million. It has a diverse topography and associated diverse climate by being located in the warm temperate zone and sub-tropical zone. The average temperature varies between14 to 17 °C, while average annual rainfall is between 700 to 1,700 mm. The Province is rich in land resources: arable land (5.97 million hectares) and forests (3.29 million hectares). Diverse ecosystems and habitats in Anhui include mountains, hills, plains, lakes, and low basins, and endow the province with rich and abundant wildlife resources. It also has important water resources, tea gardens, orchards and mulberry gardens. Agriculture varies according to the climate zones with wheat and sweet potatoes as major crops in the north and rice in the south. In terms of mineral resources, there are more than 50 kinds of mines, the majority of which are producing coal, iron and copper. In the Shengjin Lake catchment area there are believed to be legacy issues created by abandoned mines, including the likelihood of low level pollution of heavy metals from abandoned mine waste leachates.

11. Anhui Province is located in the transitional area from middle sub-tropical zone to warm temperate zone. In terms of botanical geography, it lies in the intersection between northern and southern flora. For animal geography, it falls within the transitional zone from Palearctic realm to Oriental realm. According to surveys, Anhui is home to about 11,987 species of major known biological groups, accounting for 13.6% of those in China (See Table 1). Specifically, it supports 44 orders, 121 families and 742 species of major vertebrates, representing 14.1% of those in China. Anhui has 4,242 species of higher plants, or 14.2% of those in China. The natural forests, lakes and wildlife resources in Anhui Province can be mainly found in mountainous southern Anhui, Dabieshan Mountainous Area in western Anhui, hilly areas in Yangtze and Huai rivers, and the broader areas along Yangtze and Huai rivers.


Table 1: Comparison of major biological groups between Anhui Province and China as a whole Biological groups Number of species in

Anhui Province Number of species

across China % of the number of species of

Anhui Province in China Mammals 96 544 17.6

Avian 360 1253 28.7

Reptiles 68 376 18.1

Amphibians 38 279 13.6

Fish 180 2,804 6.4

Insects 6,000 40,000 15.0

Angiosperms 3,320 25,000 13.3

Gymnosperms 72 200 36.0

Fern 253 2,600 9.7

Moss 600 2,200 27.3

Algae 300 5,000 6.0

Fungus 700 8,000 8.8

Total 11,987 88,256 13.6 (Source: Task Force on Biodiversity Conservation Strategic Research of Anhui Province, 2002, Biodiversity Conservation Strategic Research of Anhui Province, China Science and Technology Press, pp4. The data were collected in 1998).

12. According to Anhui Provincial Forestry Department (1998), among 640 species of endangered wildlife worldwide listed in CITES Appendix I, 23 species out of 156 species in China are recorded in Anhui Province, accounting for 3.6% and 15% of the total number worldwide and in China respectively. Felistigris amoyensis, which was once found over the entire province, has become extinct in the province. Other wild animals such as Alligator sinensis, Lipotes vexillifer and Viverra zibetha are severely endangered. Twenty epiphyllous liverworts species including Lepdolejeunmeaellipdica and Lepdocoleanimuba are facing extinction. In addition, 210 species of vertebrates and 134 species of vascular plants are also endangered in the province. Priority is given to the protection of endangered wildlife by Anhui Province. To date, in Anhui Province, there are 122 species of wildlife listed under the national protection, 23 species in CITES Appendix I, 106 species in CITES Appendix II and 40 species under IUCN Protection. For details, see Table 2.

13. Among the species under priority protection, six species of wild plants are placed under first-class national protection, i.e., Ginkgo biloba, Isoetes sinensis Palmer, Taxus chinensis Rehd, Taxus chinensis (Pilger) Rehd. Var. mairei (Lemée et Lévl.) Cheng et L. K. Fu, Shaniodendron subaequale and Brasenia schreberi; 21 species of wild animals are placed under first-class national protection, i.e., Neofelis nebulosa, Panthera pardus, Lipotes vexillifer, Muntiacus crinifrons, Cervus Nippon, MoscLakes moschiferus, Ciconia boyciana, Ciconia nigra, Aquila chrysaetos, Aquila heliaco, Haliaeetus albicilla, Syrmaticus ellioti, Grus monacha , Grus leucogeranus, Grus japonensis, Mergus squamatus, Otis tarda, Alligator sinensis, Acipenser sinensis, Acipenser dabryanus, and PsepLakeyrus gladius.

Table 2: List of wild plants and wild animals under priority protection in Anhui Province Category Wild plants Wild animals Total

National protection (Category I) 6 21 27

National protection(Category II） 25 70 95

Sub-total 31 91 122

CITES (Appendix I) 0 23 23

CITES (Appendix II） 50 56 106

Sub-total 50 79 129

IUCN(endangered) 0 8 8

IUCN(vulnerable） 0 25 25


IUCN(rare) 0 4 4

IUCN(unidentified) 0 3 3

Sub-total 0 40 40 (Source: Task Force on Biodiversity Conservation Strategic Research of Anhui Province, 2002, Biodiversity Conservation Strategic Research of Anhui Province, China Science and Technology Press, pp28-29. The data were collected in 1998).

14. According to incomplete statistics of wetland survey in Anhui Province in late 1990s, 798 aquatic plant species belonging to 439 genera and 814 aquatic animal species with 192 families use the wetlands as their refuges. Of them, 48 species are national key conservation species, including Yangtze alligator, Yangtze River dolphin, white-naped crane and Ceratopteris thalictroides.

15. The large-scaled and unsustainable practices in the wetland areas along the Yangtze River in Anhui such as wetland conversion, dam/sluice building, pollution discharge and introduction of alien species have severely threatened the health of the natural wetlands in the middle and lower reaches of Yangtze River. The functional extinction of the Lipotes vexillifer (Yangtze River dolphin) may be soon be followed by Neophocaena phocaenoides (Finless Porpoise). According to the basin-wide survey carried by Ministry of Agriculture, Chinese Academy of Sciences and WWF China in November and December 2012, the population of finless porpoise is estimated as 552 individuals, sharply reduced from 2700 in 1991 and 1200 in 2006 respectively. Likewise, the habitats for many water birds over-wintering in the local wetland areas are under threat, and the fishery resources are increasingly shrinking. In addition, global climate change has had long-term impact to the local wetland areas. The natural ecosystems and wildlife are severely subject to the extreme climatic events such as ice and snow disasters, and severe drought, while the future climate change may exacerbate the vulnerability of wetland ecosystem in Yangtze River basin, and reduce the wetland ecosystem services.

16. The many lakes in the Province are home to 152 species of wetland vascular plants, 98 species of fish and 100 species of waterbirds. Of the fish species, 12 species are endemic to the Yangtze River System, including Shortjaw Tapertail Anchovy and Shortnose Noodlefish. Of the waterbird species, there are 14 species meeting or surpassing the criteria for internationally important wetlands, including 4 globally threatened species - the Oriental White Stork, Siberian White Crane, Hooded Crane and Swan Goose. There are also species listed under national key protection such as Black Stork, Whistling Swan and White Spoonbill. The Yangtze Corridor wetlands are a central component of the East Asian-Australian Flyway.

17. The wetlands along Yangtze River within the Anhui Province are of global importance – WWF list these areas as part of WWF Yangtze River and Lake Ecoregion (#149). There are 11 large lakes: Shengjin Lake, Cao Lake, Shijiu Lake, Taiping Lake and Yangtze Alligator Habitats that are listed as Wetland of National Importance. Shengjin Lake NNR is an important bird area (IBA) in the middle and lower Yangtze basin. It is located on the southern bank of the Yangtze

Figure 1: Asian Migratory Bird Flyways


River, close to Anqing. Shengjin Lake supports around 5–10% of the total water bird population within the Yangtze River floodplain. The nationally protected Chinese high fin banded shark also occurs in the lake.

18. The major protection target of Shengjin Lake NNR is the over-wintering water birds and their wetland habitat. This NNR supports 170 species of birds, including 80 species of water birds and 66 species of over-wintering migratory birds. Among them, six species of birds are placed under first-class national protection and 23 species under second-class national protection as shown in Table 3.

19. The significance of Shengjin Lake NNR in protecting the over-wintering migratory birds mainly lies in the following three aspects. Firstly, the protection of over-wintering water birds in Shengjin Lake has global importance in term of endangered species conservation. A number of global threatened species are found here. These include the critically endangered Siberian Crane, at least 2 endangered species (Oriental Stork and Swan Goose) and 8 vulnerable species (e.g. Lesser White-fronted Goose, Baikal Teal, Baer’s Pochard, Great Spotted Eagle, Eastern Imperial Eagle, White-naped Crane, Hooded Crane and Great Bustard). Surveys on water birds in Shengjin Lake NNR were conducted in January-February 2004, February 2005, October 2008-April 2009, and December 2012 respectively, with the total population of over-wintering water birds in the lake recorded to be 33,775, 47,585, 71,423 and 59,574 respectively. During these periods, seven globally threatened species (i.e., Oriental white stork, Swan goose, Lesser white-fronted goose, Baikal teal, Siberian crane, White-naped crane, and Hooded crane) and one near-threatened species (i.e., Falcated duck) were recorded. The population of 11 species has met or surpassed the criteria for internationally important wetlands (1% criterion of world population) at least in one survey. These species include: Swan goose, Tundra swan, Bean goose, Eurasian spoonbill, Hooded crane, Black stork, Oriental stork, Greater white-fronted goose, and Falcated duck (See Table 4). It is estimated that the maximum population of bean goose, swan goose and falcated duck was 77.3%, 44.0% and 21.4% of the world population respectively.

Table 3: Endangered species under national protection in Shengjin Lake NNR

Category Species National protection

class1 IUCN Red List Category2

Aquatic plants Ceratopteris thalictroides Brongn II NE

Nelumbo nucifera Gaertn II NE

Trapa incisa Sieb.et Zucc. II NE

Glycine soja Sieb. et Zucc. II NE

Birds Pelcanus crispus II NE

Egretta eulophotes II VU

Ciconia boyciana I EN

Ciconia nigra I LC

Platalea leucorodia II LC

Anser albifrons II LC

Cygnus columbianus II LC

Aix galericulata II LC

Grus grus II LC

Grus monacha I VU

Grus vipio II VU

Grus leucogeranus I NE

Otis tarda I VU

Centropus bengalensis II LC

Tyto capensis II LC


Glaucidium cuculoides II LC

Milvus migrans II LC

Accipiter gentilis II LC

Accipiter soloensis II LC

Accipiter nisus II LC

Accipiter gularis II LC

Accipiter buteo II NE

Buteo buteo II LC

Aquila hilica I NE

Circus cyaneus II LC

Circus spionots II NE

Circus aeruginosus II LC

Falco tinnunculus II LC

Falco peregrinus II LC

Fish Myxocyprinus asiaticus II NE

Amphibians HoplobatracLakes tigerinus II NE

Mammals Malayan pangolin II EN

Lutra lutra II NE 1

National protection class is adopted from Cheng Yuanqi, Cao Lei, Mark Barter 2009. Wintering Waterbird survey at the Anhui Shengjin Lake

National Nature Reserve, China 2008/2009. University of Science and Technology of China Press; 2 IUCN red list category and criteria is adopted from IUCN website http://www.iucnredlist.org, in which EX= Extinct, EW= Extinct in the Wild,

NT=Near Threatened, CR= Critically, EN= Endangered, VU= Vulnerable, LC= Least Concern, DD=Data Deficient, NE= Not Evaluated.

Table 4: Selected endangered waterbirds above the 1% criterion of world population in Shengjin

Lake NNR. Species 1% criterion 2004

(Jan-Feb) 2005 (Feb)

2008/9 (Oct-Apr)

2012 (Dec)

Swan goose 550 11483 24211 1179 302

Tundra swan 860 4333 5429 1788 374

Bean goose 600 2996 11233 28074 46382

Eurasian spoonbill 65 399 na 348 1154

Hooded crane 10 269 na 306 268

Black stork 1 17 na 25 3

Oriental stork 30 na na 70 10

Greater white-fronted goose

1300 90 7 11677 610

Falcated duck 350 na na 7365 357

Total waterbirds of the survey

- 33775 47585 71423(in Dec) 59547

Note: na indicates data not available; - not applicable.

Sources：(1) Mark Barter, Chen Liwei, Cao Lei, 2004. Waterbird survey of the middle and lower Yangtze River floodplain in late January and

early February 2004. China Forest Publishing House; (2) Mark Barter, Lei Gang, Cao Lei, 2006. Waterbird survey of the middle and lower

Yangtze River floodplain in February 2005. China Forest Publishing House;(3) Cheng Yuanqi, Cao Lei, Mark Barter 2009. Wintering

Waterbird survey at the Anhui Shengji Lake National Nature Reserve, China 2008/2009. University of Science and Technology of China

Press;(4) Anhui Shengji Lake National Nature Reserve, 2013.

20. Secondly, the protection of anatidae (in particular Anser fabalis and Anser albifrons) in Shengjin Lake NNR has great importance. The groups of water birds in the lake are mainly anatidae (especially the wild goose), which accounts for 86% of the total population of water birds in the lake, versus 67% for the Yangtze River basin (Barter et al., 2006). Throughout the winter period, the two most common water birds in Shengjin Lake are Anser fabalis and Anser albifrons, whose maximum populations were recorded to be 41,457 and 11,677 respectively. 60% of serrirostris, a sub-species of Anser fabalis, worldwide can be found in Shengjin Lake, which is the most important over-wintering site for this sub-species in Yangtze River basin.


Anser fabalis and Anser albifrons are mainly distributed in the east of upper lake and northeast of lower lake, as large areas of sedge meadow are formed with the flood subsistence at the site.

21. Thirdly, the Shengjin Lake NNR has the highest density of wintering water birds along the middle and lower reaches of Yangtze River. Shengjin Lake supports around 5–10% of the total water bird population within the Yangtze River floodplain. According to the figures of WWF China from the water birds survey in February 2005, the density of water birds in Poyang Lake and East Dongting Lake was only 67 birds/km2 and 53 birds/km2, while that of Shengjin Lake NNR was 159 birds/km2 (Barter et al., 2006). During the winter period in 2008/2009, the highest density of water birds in Shengjin Lake NNR was recorded to be 183 birds/km2.

22. The biodiversity of Shengjin Lake2 wetland has been in decline since the 1950s. For example: (i) compared with the same period in 2004 and 2005, the results from the survey conducted in 2008/2009 indicated that the populations of Tundra swan (Cygnus columbianus) and Swan goose (Anser cygnoides) feeding on tubers and Northern pintail (Anas acuta) feeding on water plants and seeds declined sharply, which was likely due to the sharp contraction of the area of submerged plants in Shengjin Lake, while the populations of Bean goose (Anser fabalis) and White-fronted Goose (Anser albifrons ) feeding on grass grew significantly, whose reason is yet to be further studied; (ii) the vegetation community has changed from a submerged macrophyte (such as Vallisneria spp. and Potagameton spp.) dominated community to a floating macrophyte (Trapa incisa) dominated community that cannot provide breeding habitat for fish and invertebrates; (iii) there have been widespread declines in species richness, population size and yields in the wild fishery across many different lakes arising from over-fishing, stocking with preferred species, loss of natural connections with the Yangtze River, habitat loss with consequence reduction in spawning and recruiting areas in these wetlands, and pollution; the consequence has been that wild fish populations have declined in Shengjin Lake as well as the other lakes of the Yangtze River floodplain; (iv) waterbird community structural changes and declines among the tuber-feeding waterbirds swan goose(Anser cygnoides L.), tundra swan (Cygnus columbianus Ord) and hooded crane (Grus monacha Temminck) between 2004/2005 and 2009/2010 at Shengjin Lake is partially caused by the invasive water chestnut and trapa that produce vast numbers of horned fruits which (dehusked) are highly nutritious. While Eastern Tundra Bean Geese (Anser fabalis serrirostris) are adept at removing the vicious spines and tough casing to eat the fruits, Swan Geese and swans are unable to do so.

Socio-economic Context

23. Han Chinese is the majority ethnic group while Hui and She are the two largest minorities in the province but are not represented in the WPAs3. Anhui is regarded as a 'poor' province in China with a per capita GDP of 3,932 USD in 2011 – 72.6% of the national level. Within the 33 provincial level administrative areas of China, Anhui ranks #27 and the lowest of the surrounding provinces (Table 5). Poverty in rural areas is pervasive. In 2005, average 'peasant' per capita income in Anhui was 2702 RMB4 however this masks strong differences at local

2 More detailed information is found in Annex 6. 3 According to local Forestry staff. 4 Gobel, C., Measuring and explaining the distributive effects of rural tax and fee reform in Anhui Province. Paper delivered at

the International Conference on Development Challenges in Rural China, University of International Business and Economics, Beijing, 25-26 October 2007. http://chinaperspectives.revues.org/3763; accessed Mar. 01, 2013


levels. Tiancheng Village, located to the east of Chizhou City, is typical of rural farming villages; the per capita net income in 2006 is recorded as only 810RMB5. Anhui Government reports that in 2011 rural residents' average income was 6,300 RMB6 however this masks the situation for rural farmers and fishermen for whom income is likely to be significantly less. Villages around the lake are notable for the relative absence of young adults who form the migrant labour pool of cities in Anhui and elsewhere.7

Table 5: Economic situation of Anhui Province relative to surrounding provinces

Name of province

Population (10,000)

GDP per Capita (USD)

Total

population

Ranking

(in China) Average Ranking

Shanghai 2,302 24 12,784 2

Jiangsu 7,866 5 9,448 4

Zhejiang 5,443 10 9,115 5

Fujian 3,689 17 7,344 9

Shandong 9,579 2 7,273 10

Hebei 5,724 9 5,300 13

Henan 9,402 3 4,446 23

Jiangxi 4,457 13 4,266 25

Anhui 5,950 8 3,932 27

24. In Anhui as in many other provinces of China, wetland protected areas (WPAs) were formed long after rural communities spread across wetland areas to expand agriculture (mainly rice in Anhui). For poor farmers in Anhui Province, this expansion has been of vital economic importance. Nevertheless, the formation of WPAs caused tensions between the legitimate economic interests of local residents (farming, fishing) and the equally legitimate interests of biodiversity conservation. Shengjin Lake NRR is a good example; the NNR is surrounded by six townships (Dadukou, Shengli, Dongliu, Zhangxi, Tangtian and Niutoushan) with a total area of 76,831 ha. All are within the Chizhou Prefecture. The local communities surrounding the NNR have a population of about 240,000 persons. Approximately 80,000 people live within the NNR, including 1,500 people in the core zone (professional fishermen and fishing teams), 15,500 people in the buffer zone and 63,000 people in the experimental zone, with a population density of 600 persons/km2. This large population living within the NNR results in serious over-exploitation of natural resources and compromises the objectives of the NNR due to incompatible interests between the NNR and the surrounding communities concerning resource use. As noted below, many fishing families would prefer to leave the fishery.

25. For Shengjin Lake NNR and, typically, for most WPAs in Anhui, the greatest socio-economic issue is the fishery. This sector employs large numbers of rural residents in community fishing and as employees of commercial fishing companies. The wetlands bring revenue in the form of rent to local governments that lease lake surfaces to commercial fishing. The economics of fishing and use of natural resources for industrial fish raising, results in over-exploitation and

5 China Wikipedia 6 "Rural Residents' Income Rises". www.cnanhui.org, accessed Mar. 20, 2013. 7 It was not possible to gather specific data on this phenomenon but is an observation of the PPG team which is consistent with

demographic trends reported in China.


is outside of the mandate of nature reserves to resolve. At present, two fishery groups in Zhangxi Township depend on fishing at Shengjin Lake for their livelihood. One group is Baihu Fishery Group, consisting of 37 households and 160 people; the other group is Tanbu Fishery Group, including 92 households and 371 persons.

26. The upper (central and southern) part of Shengjin Lake is part of the NNR core zone; it is also called Daqing Lake. In 2006, the Daqing Lake Eco-fishery Cooperative was established in the area, and the lake surface was contracted to the cooperative. Since then, purse nets in the area are being gradually removed, and the practice of open aquaculture has been adopted. During the fishing season, the cooperative may temporarily employ some professional fishermen, with the total number of staff reaching 500-600 persons. Elsewhere in the lake other fishery companies are involved in enclosure (caged) aquaculture. There are six fishery groups composed of 253 households with 1,350 persons, and with 1,062 fishing boats (including 374 motorboats).

27. The future of fishing, as planned by local government for Shengjin Lake, reflects not only concern about over-fishing but also with the current economic condition of fishing families. Fishing is currently not regarded as a high value occupation and many younger people are leaving this livelihood to find other sources of income. As a consequence, not only is the age structure of the fishing industry aging, but also the interest in fishing by the general population is declining. Local governments are now anticipating moving some part of the fishing population out of Shengjin Lake; this tends to mean moving them to farming and, in Zhangxi Township, is referred to as the "Fishermen on Land" program. These 'programs' are, however, only at the 'consideration' stage. In Jiangba Village, Shengli Town, Dongzhi County, the Fisheries Bureau has just completed an initial survey of the aquaculture fishery in that part of the core zone lying in the central part of Shengjin Lake to establish cost and social implication of moving 754 professional fishermen (221 households) and 88 part-time fishermen (33 households) out of the fishery. The cost of moving these families out of fishing, including purchasing 726 boats, nets, etc., is estimated at 13,000,000 RMB. That survey excludes open-lake (wild) fishing. In the future, the Chizhou Municipal government wishes to make decisions on the number of fishermen in the wild fishery on the basis of scientific understanding of the current and probable future carrying capacity of the lake for a wild fishery. In summary, for the Daqing part of the lake (upper and central part of the lake) the government believes that it is essential to remove all caged fishery (aquaculture) and reduce the wild fishery to one that is sustainable based on carrying capacity of the lake under a new, scientifically-based, management program to be developed (by this Project) in concert with a new Shengjin Lake NNR Management Plan. As of 2012, however, there are no specific plans or budget to implement this change in the fisheries structure.

28. All of the WPAs, with the exception of Tongling Dolphin NNR and the Chinese Alligator NNR, are regarded by local governments as sources of revenue from leasing of lake areas for commercial fishing. The water level of Shibasuo PNR is controlled by the Water Bureau for the commercial benefit of one fishing company that leases the entire lake. While this increases economic benefits for the company and for local fishermen who are contracted by that company, it forecloses opportunities for other types of revenue from ecotourism because the annual cycle of low water that existed prior to 2004 no longer exists with the effect that migrating wildfowl that feed on roots of shallow-water aquatic plants no longer come to Shibasuo PNR. There has


been a 1.2 million RMB rehabilitation program8 in this NR, however it has not dealt with the fundamental issue of water management planning that could optimize all sources of revenue.

29. Conflict between wildfowl and farmers is a continuing economic issue in all WPAs where wild birds feed on grain and in riparian rice fields. On a trial basis, Shengjin Lake NNR has negotiated with the Village Committee of Xinjun Village to lease some of the local farmers’ paddy fields as feeding sites for the migratory water birds that over-winter here. Six farmer households and 0.78 hectares of paddy fields are involved in the experiment. The farmers are paid to grow rice; the un-harvested rice is used as food for the migratory birds. The farmers are responsible for patrolling in the region, and ensuring the safety of the birds at the feeding site. To date the reserve has paid 40,000 RMB for this project. Nature Reserve staff regard the experiment as highly successful, both for birds and for farmers9 however there is no specific data to support these claims. There is potential to significantly expand this type of participatory role by farmers. There are no other 'cash for rice' programs in other WPAs of Anhui province although there is potential to develop these elsewhere.

30. With the exception of Shibasuo NNR which has a small co-management agreement with the local community for patrolling the bird population during winter (involves only one local resident), and the cash for grain program in Shengjin Lake NNR, community co-management also exists in Anhui Wetlands NNR. During the PPG period local leaders of adjacent townships have indicated strong interest in developing farm-based ecotourism however there are no concrete plans at this time to implement such a program. There is limited recognition that increased tourism will bring not only benefits to local communities but will need to be controlled in order to ensure there is no net negative impact on biodiversity resources. At this time, however, there is little understanding of how this should be done. This lack of understanding extends from governments to sector bureaus.

Protected area system: Current status and coverage

8 Rehabilitation is not primarily focused on rehabilitation of natural habitat but rather on peripheral areas involving freshwater

pearl farming and other riparian activities such as captive fish rearing that support livelihoods of local residents. 9 There are no data other than observations by NR staff, that prove the degree of success of this experiment. In other parts of the

world such as in North America, this is a common approach to co-management of migrating birds and is regarded as highly

successful under the auspices of the North American Waterfowl Management Plan of 1986.

Figure 2: Location map of Anhui Nature Reserves (red colour indicates the national level, the mauve indicates the provincial level, and green indicates the local level)


31. The protected area (PA) system in Anhui Province covers two main types of biodiversity issues – forest habitats, and wetlands and related wildfowl habitat. Additionally, two other types of wetland nature reserves have been established to safeguard, respectively, the Chinese Alligator and the Yangtze River Dolphin.

32. The establishment of nature reserves began at the beginning of the 1980s in Anhui Province. To date there are 33 provincial and national nature reserves with a total area of 412,122 ha in the province, accounting for 3.0% of its total area. Of this, there are 7 national nature reserves with a total area of 139,221 ha and 26 provincial nature reserves with a total area of 272,901 ha. At present there is a reasonable distribution of nature reserves which is spreading along the two sides of the Yangtze River, in the Huai River are within Anhui Province, and in the Dabieshan mountainous areas in the south of the province. The nature reserves protect 70% to 80% of the wildlife species and major typical forest and wetland eco-systems.

33. Forest nature reserves are an important part of PA system in Anhui Province. At present, Anhui has 3,804,200 hectares of forest (of all types), and 217 million cubic meters of total forest stock, with a forest coverage rate of 27.5%. Natural forests in Anhui cover an area of 1,261,400 hectares, representing 9% of its land area. Forests in Anhui Province can be categorized into three types: (1) warm temperate deciduous and broad-leaved forests in northern Huaihe River; (2) northern subtropical evergreen deciduous and broad-leaved mixed forests in southern Huaihe River; and (3) middle subtropical evergreen broad-leaved forests in southern Yangtze River. It features a distinct transition from the north to the south. The representative forest species in Anhui include Ginkgo biloba, Poncirustrifoliata, Citrus reticulata, Camellia sinensis, Trachycarpusfortunei, Castanopsissclerophylla, Castanopsiseyrei, Cyclobalanopsisglauca, Pteroceltistararinowii, Cunninghamialanceolata, Aleutitesfordii, Phyllostachyspubescens, Micheliaskinneriana, Ulmusmacrocarpa, Faguslongipetiolata.

34. Currrently there are 22 nature reserves of forest and wildlife protection, covering a total area of 129,340 ha, or 0.93% of the land area of Anhui Province and 31.38% of the total area of nature reserves in the province. Three reserves are located in the warm temperate zones, with an

Figure 3: Wetland protected areas of Anhui Province


area of 13,039 ha and accounting for 10.08% of the total area of forest nature reserves in Anhui Province; six reserves lie within the northern subtropical area, with an area of 39,324ha, or 30.40% of the total area of forest nature reserves in the province; and 13 reserves are situated in the middle subtropical area with an area of 76,977ha, representing 59.5% of the total area of forest nature reserves in the province. Annex 7 contains a complete list of nature reserves of forest and wildlife protection in Anhui Province.

35. The wetland area in Anhui Province is 2,919,000ha, accounting for around 21% of the

total provincial area. This is comprised of 713,300ha of natural wetland (lakes, streams and marshes) and 2,206,000ha of artificial wetland (paddy field, ponds, reservoirs, and constructed wetlands). The Yangtze, Huai and Xin'an floodplains contain many lakes and collectively form part of the wetland network in Anhui Province. As of 2012, there are 15 wetland NRs (3 national and 8 provincial) with a protected area of 302,000 ha. Additionally there are 12 national wetland parks with a protected area of 51,200 ha. Collectively, the wetland area under the protection of wetland nature reserves and wetland parks accounts for 49.5% of natural wetlands areas in the province. There are six wetland nature reserves within the Yangtze River corridor of Anhui Province. The wetland nature reserves are shown in Figure 3 with details in Annex 6 together with details on wetland parks.

36. As one of the provinces with rich wetlands resources, Anhui has identified a total of 26 wetlands having significant value. In next a few years, it is intended to add an additional wetland area of about 80,000 ha to the protected area system of the province.

Institutional context

Wetlands versus Forest Protection 37. There is a large disparity both among provincial forestry Authorities and within Anhui Province between the size and scope of activities directed to forests relative to wetlands; this needs context and explains why wetlands are 'the poor cousins' of forests; it also brings focus to those actions that can bring wetlands into a more prominent position within the nature reserve system. In 2003, the mandate of SFA and provincial forestry departments fundamentally changed from one of forest exploitation to forest conservation with the "Decision on Accelerating Forestry Development" by the Central Committee of the Communist Party of China and the State Council. There is alignment of sector interests in forest management because forests are seen as protectors of soil erosion (prerogative of MWR); biodiversity of forests is seen as supporting non-forest product initiatives of local populations and providing them with alternative livelihoods; forests are part of the economic system insofar as managed cutting contributes to local economies and to livelihood support without exhausting the forest supply. Vast areas of China have been reforested in the past two decades to combat desertification, control erosion, rebuild a depleted forest stock, and to provide access to non-forest products by local communities. As a consequence, the manpower and budget directed to forest management, including reforestation, is immense both inside and outside designated forest PAs. Anhui is no exception to this general trend.

38. The situation for wetlands is vastly different. Wetlands, while a core responsibility of SFA and of provincial forestry departments, is a recent responsibility compared with the primary


responsibility of forest management. The imbalance in human resources allocated to forestry relative to wetlands is seen in the fact that, of a total staff complement of 27,125 under the forestry department of Anhui Province, only about 100 (0.3%) have a primary focus mainly on wetlands. Forests are a recognised land use whereas wetlands are not. Forests are regarded as contributors to economic prosperity; wetlands are not except in the sense of wetlands as managed ponds for commercial fishing. Forest biodiversity is seen as a good thing for people and for the country; wetland biodiversity and wetland goods and services are not attributed any economic value and, indeed, are seen by many as a hindrance to economic returns if commercial fishing is limited in order to conserve biodiversity. Forest protection is now taken seriously whereas wetlands biodiversity protection suffers from lack of equivalent support so that encroachment by all manner of activities is tolerated or even invited by local governments.

Institutional Responsibilities

39. Biodiversity protection at the national level is the under the overall authority of the Ministry of Environmental Protection. However, the State Council decided in 2004 10 that wetlands and related coordination amongst sectors are the responsibility of SFA which is exercised at the provincial level by the Provincial Forestry Department and its local Forestry Bureaus. Therefore, WPAs in Anhui are under the overall jurisdictional administration and guidance of the Provincial Forestry Department with the exception of Tongling Dolphin NNR that is managed by the Anhui Provincial Environmental Protection Department and is mainly focused on species conservation, not habitat protection.

40. The Nature Protection and Management Station (NPMS) of Anhui Province is the unit within the AFD that has responsibility for NR management across the province. The NPMS is a public institution managed according to the Civil Servant Law of the People’s Republic of China. It is charged with the administrative management functions of wildlife and wetland resources protection and management, nature reserves planning and development, as well as professional guidance in Anhui Province.

41. On August 17, 1988, the Nature Protection and Management Station of Anhui Province of the AFD was approved by the Anhui Provincial Government. It is authorized to perform the functions of implementing such laws and regulations as the Law of the People’s Republic of China on the Protection of Wildlife, and the Regulations of the People’s Republic of China on Nature Reserves. In 1997, it was asked to perform other major responsibilities including protection and management of wild and rare plants and animals in the province, organizing, guiding, supervising, inspecting and coordinating the activities in terms of nature reserves planning and development, terrestrial wildlife and wetland resources protection, management, development and use by the forestry agencies at various levels in the province.

42. In July 2011, the Wetland Conservation Center of Anhui Province was approved by Anhui Provincial Government. The Center is responsible for organizing, coordinating,

10 State Council. "Notice on strengthening wetlands protection” (Circular No. 50, June 2004)


supervising and guiding the wetland conservation efforts in the province. It is also responsible for implementing the CITES convention for the province, and Ramsar Convention. The Center has a staff of eight, including one section chief and one deputy section chief, and one deputy investigator. Of them, three staff have advanced professional titles and two have master degree. This Centre is staffed with the same 8 persons as that of the Nature Protection and Management Station and does not, therefore, represent 8 staff solely dedicated to wetlands issues.

43. At the provincial level, other departments have strong interests inside wetlands. The Water Resources Department of MWR has a powerful institutional presence with a very strong mandate for water management. Generally, for wetlands, water management means flood and water level control; the Water Resource Department and its subordinate Water Management Bureaus have shown little interest in a more comprehensive approach to water management that maximizes benefits across sectors. The Fisheries Department of the Ministry of Agriculture and its local bureaux licenses and controls the fishery in all wetlands. This, however, is exercised without much attention to sustainability of the fishery so that over-fishing is a major problem in all wetlands reserves. In Shengjin Lake NNR, the Fisheries Bureau is currently examining possibilities for reducing fishing pressure by moving fishers out of the lake. The Lands Department has jurisdiction over all decisions involving the use of land, including wetlands. This is one reason why NR managers cannot control land use within the NR. The Lands Department (and its subordinate bureaus) has its own priorities and interests which often conflict not only with wetland interests but also with the interests of other sectors. Indeed, the revised Lands Law (2011) maintains the classification of wetlands as 'unused land' which can be developed for urban and agricultural purposes.

44. The Environment Department and its local Environmental Protection Bureaus (EPBs) carry out monitoring of water quality, environmental planning, and permitting for waste control, however their influence is often weak and may be in conflict with the socio-economic development interests of local government which leads local EPBs. Environmental and water resources planning are usually two separate activities and often have little in common. An additional and significant institutional issue is that few agencies are willing to share primary data unless one is prepared to purchase the data, usually at significant cost. While it has no direct control over the actions of sectors, the Provincial Development and Reform Commission (PDRC) exercises a powerful role in coordinating the roles of each agency so that they achieve the overall policy goals of the national and provincial governments. At the city level, the municipal DRC plays this same role. Therefore, the PDRC and the MDRC are important organizations to promote the integrated management of WPAs. However, the institutional challenge is to bring a powerful argument that can persuade these different sectors that there is common ground for improving sector management in wetlands. The conflict between conservation and economic growth is at the centre of this challenge and is something that has, thus far, eluded wetland managers.

45. Institutional responsibility in wetlands is highly contentious insofar as many sectors have specific and overlapping mandates inside wetlands such as local bureaus of fisheries, water, lands, agriculture, tourism, etc. In recognition of this problem at the provincial level, the province created the Provincial Joint Meeting System for wetland protection and management in 2011 involving 14 sectors. This group meets twice per year and provides a communication platform for discussion on inter-sectoral issues related to wetlands management.


46. At the local level, some wetlands are the responsibility of municipal governments – the Anqing Wetland is a case in point and is managed by the Forestry Bureau of the Anqing City Government. So too is Shengjin Lake NNR which is under the management control of the Forestry Bureau of Chizhou City which pays the salaries of the NNR staff (the budget comes from Chizhou City’s finance.). For this project, this is useful insofar as Chizhou City has a strong development focus on ecotourism and city officials constantly refer to Shengjin Lake as the 'jewel in their ecosystem crown'. It is anticipated that Chizhou City will be implementing local regulations for protection and conservation of Shengjin Lake NNR. Because of the local interest in eco-tourism, the Chizhou City Tourism Commission will be an important institution for liaison with the Project.

47. Local government at the township and district level (under the municipal government) plays an important institutional role in wetlands issues. In some cases, land use is controlled by local government which leases out the wetlands for commercial fishing without thought to long-term sustainability. Wetlands are an important source of revenue for these levels of government and present a challenge in terms of finding alternative financing mechanisms. Local governments see eco-tourism as one possibility for replacing lost income as fishing pressure is reduced. Fortunately, however, leaders of local government uniformly see that long-term sustainability of the wetlands is in their economic interests and have indicated a strong desire to participate in developing NR management arrangements supported by eco-compensation arrangements that are currently being developed at central and provincial levels.

48. A significant institutional issue is the presence of strong political support for environmental protection in general and for biodiversity conservation in particular. As part of the PPG process, consultations were held directly with the Secretary of the Communist Party of Chizhou Municipality who has a long history of environmental activism in environmentally sensitive regions in Anhui Province. He expressed his strong support for biodiversity conservation activities in Shengjin Lake NNR and recognized the need for a rationale approach to eco-tourism that would bring both economic benefits and conserve the NNR and its biological heritage for future generations.

Policy and Legislative context

a. Policy 49. The province is currently operating within the 12th National Five-year Plan (2011-2015) and related policies that place importance on environmental protection and sustainable growth, enhancing “ecological conservation and restoration.” The plan urges the reinforcement of biodiversity conservation, strengthening monitoring in Nature Reserves (NR) and improving their management and protection – all of which are aligned with the objectives of the Project. Table 6 provides an overview of the alignment of the provincial Five Year Plan with the national Five Year Plan, and the linkage with this Project. At the national level, the Project will support the objectives of the State Forestry Administration (SFA) to achieve its target of adequately protecting 55% of the natural wetlands in China by the end of 2015, mitigating further loss of natural wetland areas and degradation of their functions.


Table 6: Linkage of Anhui 12th 5-Year Plan with 12th National 5-Year Plan.

50. The Provincial response to biodiversity conservation has been the Biological Resources Conservation and Utilization Plan for Anhui Province (BRCUP) for the period 2010-2020. In that plan, the main threats are identified as: habitat degradation, over-exploitation of natural resources, pollution, and invasive alien species. The two major barriers identified are insufficient funding and lack of coordination between sectors. Key conservation activities in the Plan include: biolocal resources survey and inventory; system for monitoring and recording biological resources; develop appraisal systems for conservation systems (e.g. PAs); in situe conservation, including habitat restoration; monitoring of invasive species; a policy framework for sustainable utilization of biological resources. The Project will contribute to the BRCUP in all these areas.

51. Despite the strong focus on biodiversity conservation in the National Five-Year Plan, certain parts of the sector Five-Year Plans present areas that are cause for concern. The 12th Five Year National Water Resources Plan (2011-2015) identifies five major tasks, two of which focused on the enhanced wetland service in flood mitigation and ecological rehabilitation of key rivers and lakes. The main cause of concern is that the first key objective, that of flood control includes, "complete the key harness of river section of key middle to lower sized rivers (including the tributaries of key river basins), etc….including the Yangtze…" tends to trump all other objectives. This emphasis on flood control usually is a major threat to wetlands insofar as all but one of the Yangtze wetlands has been cut off from the Yangtze River by sluices that are operated to control water level for flood purposes and, in some wetlands, for fisheries purposes. Generally, this is at cross-purposes with water management required for wildfowl management. There is a need to bridge these objectives by developing suitable water management plans for key wetlands. In productive sectors, targets for economic growth have much greater importance than environmental and wetlands conservation.

Key Content of Anhui 12th Five Year Plan Relevance to National Plan

Potential Project contribution

Speed up new types of industrial development and reframe a modern industrial system (including basic infrastructure, tourism, water, resource security, etc.)

Objective 2 Provide guidelines on development that is compatible with wetland protection and biodiversity conservation.

Promote rural development and develop the new 'socialist countryside'.

Objective 1

Developing an ecologically sustainable fishery.

Emphasize a balance of rural and urban development (promote key ecological function zoning, protection of natural ecosystems, eco-compensation, etc.)

Objective 4 Pilot demonstration of eco-compensation, improving nature reserve management, and expansion of the PA system with sustainable financing.

Promote innovation and construct a new Anhui Main role will be to provide guidance on how to develop an ecologically sustainable tourism.

Enforce energy efficiency and reduce emissions, to promote an ecological civilization

Objective 5 Project will demonstrate use of wetlands and constructed wetlands as cost-effective way to reduce pollution from rural wastewater.

Strengthen social management to achieve a 'harmonious society'.

Objective 8 Co-management function of the Project demonstrates goal of 'harmonious society'.

Cultural development Objective 9 New interest in natural culture is supported by stronger WPAs, educational and cultural programs offered to public and officials,

Continuous reform Objective 10

Supports Objectives 10.1 & 10.2 that refer to recognition of value of environmental goods and services produced by natural resources.

Enforcement of law and promote democratic development

Objective 12 Wetland legislation at the provincial level, and enhanced enforcement of wetland regulations, and public participation in decision making at local WPA levels.


52. Similarly, the Land Use and Mining 12th Five Year Plan (2011-2015) does not include any reference to wetlands, mainly because the newly revised Land Law does not recognize wetlands as a specific type of land use; wetlands are classified as "unused land" that can be used for agriculture and urban development. However, wetlands can be addressed through the national key function zoning system. Under the national zoning system wetlands, two zones are directly related to this GEF project, namely, the regulated development zone and restricted development zone. All national nature reserves such as Shengjin Lake, and including World Heritage sites, National Scenic Areas, National Forest Parks, and National Geological Parks belong to the 'restricted development zone' category which should, in principle, be beneficial for wetlands biodiversity conservation.

53. As part of the national level regional development strategy, the State Council approved the “Anhui-Yangtze Urban Industrial Demonstration Zone” in January 2010 to promote the economic development along Yangtze River (416km long within Anhui Province). This will require balancing economic development together with biodiversity conservation in the same geographical area. The Project will provide important guidance to Anhui Province on how to manage these two objectives in a compatible manner.

54. The Chinese Government supports strongly the use of an economic valuation approach to ecosystem management and is a leading country in the development of payment for ecosystems services (PES) systems of many types11. Because wetlands are perceived to fall into a category where there is less inclination or ability to levy charges for ecosystem services, the national government is rapidly pursuing an ecosystem compensation mechanism and fund, and has given the leadership of this initiative to the National Development and Reform Commission (NDRDC). Currently, the NDRC is engaged with a wide range of experts for the development of criteria and rules for implementation of this fund. It is anticipated that provinces will be required to develop their own eco-compensation funds.

b. Legislation

55. All nature reserves in China are established under one administrative rule ‘Regulations of the People’s Republic of China on Nature Reserves’ (1994); there are no other supporting laws.

56. The ‘Regulations of the People’s Republic of China on Nature Reserves’ allows for only one PA category (Nature Reserves). These can be established for three main objectives – wildlife protection, ecosystem protection or natural monument protection. These Regulations are very restrictive and rarely match actual land-use patterns on the ground. Three zones are permitted: 1) the core zone with no use, habitation or interference permitted, apart from limited observational scientific research; 2) the buffer zone

12 , where some scientific collection, measurements, management and research are permitted; and 3) the experimental zone, where scientific investigation, public education, tourism and raising of rare and endangered wild species are permitted. An external protection zone (which is a buffer zone in the usual international meaning

11 For a full review of PES systems in China refer to: Bennett, M.T., 2009. Markets for Ecosystem Services in China: An

exploration of China's 'Eco-compensation" and other market-based environmental policies.". Forest Trends. 12 The term buffer zone in this context is confusing. Maybe a better term would be ‘protected buffer’ to be distinguished from ‘external buffer’ which is an area external to the NR and thus not formally protected, although requiring some limits on development options adjacent to a NR.


of that term) may also exist, where the normal range of human activity is allowed, with restrictions only if those activities have damaging effects inside the NR.

57. All three zones would fall under the definition of strict nature reserve (1a) of IUCN’s classification of PA categories. None of the zones, according to IUCN’s classification, would allow even sustainable extraction of natural resources such as firewood, medicinal plants, game hunting, fishing or grazing. The current boundaries and zones of the NNR are thus in contradiction with the regulations, inasmuch as intensive commercial fishing occurs in the core zone and agriculture is practiced in the buffer zone.

58. The legal aspect of animal and plant protection is highly relevant to biodiversity conservation. China has at least 25 regulations and 4 laws in this regard, administrated by multiple departments in a loose manner. The forestry department is responsible for the implementation of laws on wildlife protection, while the departments of agriculture, customs, commerce and public security are responsible for the rest, while biodiversity conservation stresses ecosystem integrity protection. The decentralized management model is fundamentally inconsistent with requirements for the integrated protection of biodiversity in China.

59. This gap in national legislation and coordination can potentially be compensated by local legislation. Provinces can enact local regulations tailored to specific needs that do not contradict national legislation. A wetlands regulation is in progress in Anhui but not yet passed by the PPC.

60. In the absence of strong national regulations, there is some doubt as to the likely effectiveness of provincial regulations. In other provinces such as Heilongjiang, which was the first province to have its own wetland regulations, their introduction has had a positive impact but has not resolved many of the competing interests and conflicts over wetland areas. An additional legislative issue is that Chinese regulations in all sectors are enforced only by the sector responsible and are often ignored by other sectors especially where the responsible agency lacks a clear and exclusive mandate. The responsible sector usually is unable to bring actions against violations by other sectors except in gross cases where the public interest is heavily involved (e.g. serious pollution issues) or where there is likely to be political implications.

61. At the local level, Chizhou Municipal government has recently taken the policy decision to promote Shengjin Lake NNR as the focal point of an eco-tourism strategy and has proposed a set of regulations specifically for Shengjin Lake NNR. The strategy to promote Shengjin Lake NNR has not yet been fully developed.

62. Master Plans are required for any provincial NR that is to be raised to national level. Master plans are not long-term management plans.

63. Similarly, there is no legal basis or requirement for a NR Management Plan, nor do any of the WPAs of Anhui have a management plan except Anqing Wetlands NR. However an "Announcement on Improvement of Nature Reserve Management' issued Dec. 18, 2010 by the General Office of the State Council lays out much of the requirements for national NRs that would ordinarily be consolidated into a NR management plan. The Announcement included a specific request not to change the land use type in NRs, even where the land is owned/managed by other sectors (not by NRs). It also encouraged the provincial government to cover the expense


to release land (owned by local communities) in NRs back to the NR for conservation purposes; it also encouraged the banning of fishing inside NRs. Biodiversity monitoring, eco-compensation, database development, and co-management are also advocated in the announcement. The Announcement also determined that management should be improved by a requirement for an EIA for any infrastructure such as a highway or building within, or that would impact on, a NNR. The same announcement provided that the NDRC should be mainly responsible for infrastructure funding (for national NRs), the Ministry of Finance for capacity building, and provincial government for operational budget of NNR. The announcement is an administrative request (or order) of the State Council that applies to national NRs however the 'Announcement' encourages lower levels of government to apply its guidelines to all NRs. The Announcement does not, however, include guidelines on how to integrate these many requests into a consolidated management plan.

THREATS, ROOT CAUSES AND IMPACTS 64. The major threats to WPAs in Anhui are typical of wetlands across China. Generally, these are (i) unsustainable use of wetlands for, mainly, fisheries, (ii) pollution by urban growth, economic development and upstream land use, (iii) wetland conversion, (iv) poor hydrological management; (v) invasive alien species; and (vi) climate change. These are exacerbated by inability to effectively coordinate inter-sector interests in wetlands leading to conflicting sector objectives and conflict between conservation and exploitation of wetlands. An emerging threat is that of uncontrolled mass tourism in critical wetland areas. In addition, global climate change may be a long-term threat to wetland areas.

65. Unsustainable use of wetland biological resources. The Shengjin Lake wetlands and other wetlands in the Province provide many natural products, including salt, vegetation for grazing, reeds and fish. Over-fishing and over grazing (especially by crabs) in some wetlands directly leads to wetland degradation through serious destruction of aquatic vegetation. In Caizi lake (part of Anqing Wetlands NR) there is now almost complete destruction of aquatic vegetation in the main part of the lake. Only in areas that are too deep to fence into fish ponds has vegetation survived. In the northern section of Shengjin Lake there is little to no natural vegetation due to fish pens. The underlying cause is the increasingly growing population around the wetlands. For instance at Shengjin Lake, the population of surrounding communities is 99,200 and includes 37 villages in 6 townships with 3000 professional fishermen living around the lake. Community appropriation of wetland resources (e.g. fish) is compounded by commercial activities such as commercial fishery companies. Some 900 cattle graze on the wetland. Cultivation and grazing result in destruction of near-shore and riparian vegetation, directly decreasing the habitat of hooded cranes. Other livestock (including domestic duck and geese) compete for food with wintering birds in the water and surrounding wetlands.

66. Pollution from land use: In 2010, the Chinese Government determined that about half the ammonia and COD pollution, nationally, comes from the agricultural sector. There are no available data for water quality of the six WPAs therefore the specific link with agriculture and other upstream sources of pollution cannot be determined. However observation of Shengjin Lake and discussion with local officials shows that tributary water courses are polluted to some extent as evidenced by sessile algae (nutrient pollution), turbidity (erosion), and floating solid


waste. In Shengjin Lake pollution sources include agriculture (agrochemicals, sediment), the industrial and mining sector (chemicals, heavy metal etc.), residential wastewater, and legacy issues with abandoned mines. Given that most lakes are now closed watersheds due to cut-off from the Yangtze River for much of the year, the majority of the pollutants ultimately accumulate in the wetlands and on the lake bottom. Arguably, the most significant pollutant for wetlands is phosphorus from agriculture and from residential wastewater; this is taken up by algae and accumulates in the bottom sediments, and forces the lake into cycles of algal blooms and subsequent decay with consequent de-oxygenation of the water column that result in fish kills. The water quality of the central area in Shengjin Lake is classified as Class III and the water quality of the shallow part of the lake as Class IV, indicating serious pollution, with total phosphorus as the major pollutant. Over the recent years, water quality has not improved. Nutrients pose a real danger to Shengjin NNR and other wetlands that are enriched with phosphorus. Such lakes can 'flip' from macrophyte domination to an algae dominated aquatic system (smaller lakes are one or the other, never both); once a lake has become dominated by algae it will suffer algal blooms, produce algal toxins that can be fatal to birds and mammals, and suffer from periodic anoxia (lack of oxygen) that will kill resident fish populations. In many Chinese lakes, algal blooms are a regular occurrence and are widely reported in the press. It is difficult or impossible to restore the macrophyte domination that is required for fish and birds once algal domination has been attained. There is also high rates of soil erosion in upper reaches of the watershed with both natural causes (steep slopes and high erodability geological formation) and anthropogenic causes (herds of sheep and goats in the upper reaches of the basin removing vegetative cover, deforestation and non-sustainable agricultural practices).

67. Wetland Conversion: Wetland habitat loss has been very significant in the Anhui section of the Yangtze River, including Shengjin Lake wetland. Since the 1950s (and before the introduction of the PA system) about 6,484 ha (32.8%) have been reclaimed as cropland with significant wetland loss. Even though reclamation has been prohibited since the establishment of the PA system some illegal encroachment of cropland continues, mainly by incremental narrowing of river courses and encroachment on lakes margins. Due to the development of aquaculture and sand extraction, the habitats for waterbirds have been fragmented in Shengjin Lake NNR, especially in the southern and eastern parts of the lake. According to the fish-farming plan of Shengjin Lake by the local fishery bureau, 1,600 ha is planned for fenced aquaculture in Shengjin Lake. The wetland loss and fragmentation has led to a reduction in numbers of the traditionally vast flocks of over-wintering water birds, especially for hooded cranes and swan geese.

68. Hydrological Discontinuity with the Yangtze River. The hydrological regime (of fluctuation of water level according to season) is the most important ecological feature of wetland ecosystems. The Huangpen Sluice Gate was built in 1965 between Shengjin Lake and the nearby Yangtze River; the water level of Shengjin Lake has been controlled since that time. All but one of the WPAs are controlled in this way13. Due to the construction of sluice gates along the Yangtze River, the natural connection of the lakes (wetlands) with the Yangtze River has been interfered with, while water level is manipulated to benefit economic activities such as

13 Shijiu Lake, the sole remaining WPA that still retains a natural connection to the Yangtze is now proposed by the Water

Department for a sluice for the purpose of flood control, and to retain water levels for commercial fishing. Thus far there has been no inter-sectoral discussion on this proposal nor is it backed up by any scientific research.


fishery production in the lake and crop production in the surrounding polders. Thus, the wetland is no longer seasonally inundated nor are there large seasonal changes in water level that once occurred naturally. This has led to significant physical and biological changes of the wetlands – resulting in loss of habitat, spawning and feeding grounds.

69. Invasion of alien species. The invasive alien species in Shengjin Lake mainly include: Procambarus clarkia, Alternanthera philoxeroides and Eichhornia crassipes. (1) Procambarus clarkia was introduced from Japan. It is characterized by strong adaptation, high rate of breeding, omnivorous characteristics and fast growth. It has spread throughout the lake and has affected the growth of plankton in the lake; (2) Alternanthera philoxeroides is a weed with perennial roots and is strongly salt resistant and highly adaptable. It grows in land and water, and reproduces quickly. It's underground stem is generally 50-60m deep. A cluster of Alternanthera philoxeroides can be found both in the upper and lower parts of the lake and is distributed over some 50ha; (3) Eichhornia crassipes is a floating plant with a perennial root; it propagates quickly and has a large biomass that blocks the sunlight, causing sub-aquatic plants to die due to lack of sunlight. This, in turn, damages the food chain of sub-aquatic animals and leads to their death. About 10 ha of Eichhornia crassipes have been found in the lower part of Shengjin Lake.

70. The specific impact of climate change has not been established for WPAs along the Yangtze corridor. The Chinese Academy of Sciences has been quoted in the national press as saying the flow of the Yangtze could decline by as much as 30% over the next 50-100 years due to glacier shrinkage in headwater areas. In contrast, WWF14 reports that river flows may increase in the next several decades due to increased melting of the Qinghai glaciers. WWF also reports that climate models project that temperatures will rise while annual rainfall will remain more or less constant. However, extreme climate events such as flooding, droughts, head waves and snowfalls will become more frequent in the latter part of the 21st century. Wetlands are likely to be impacted by warmer water temperatures which could have an impact on wildfowl migration patterns that is related to changes in food supply. Farming in and around NRs is likely to be affected by a probable reduction in corn (vulnerable to higher temperatures) and potential replacement by rice. This could have significant impacts on wetlands due to the large water requirements of rice and the ease with which shallow wetlands can be converted to rice paddies.

71. The root causes lie primarily in (i) an historically large and expanding rural population; (ii) a long history of government efforts to ensure food security, especially of stable foods such as wheat and rice, and a weak land control system that has led to extensive conversion of wetland to paddy fields to accommodate both population growth and food security priorities of the government, (iii) in the past 20 years an economic development culture that has priority over environmental degradation, (iv) weak regulatory and enforcement mechanisms, (v) little understanding of the services provided by wetlands other than for fishing, and (vi) aggressive policies of flood control by the Ministry of Water Resources that believes in 'control' of rivers rather than 'managing' rivers and which has a negative impact on fish migration, recruitment, and spawning, and (vii) lack of any economic incentive to conserve wetland biodiversity15.

14 WWF, 2009. Summary of the First-ever Yangtze River Basin Climate Change Vulnerability and Adaptation Report. (on line) 15 This is explored in greater detail in the Baseline Analysis.


72. The impact of this combination of threats is a rapidly declining stock of wetlands with habitat suitable for wild fish or for migrating waterfowl. Reduction in habitat has already seen a major translocation of some migrating species away from Anhui WPAs to Dongting (Hunan Province) and Poyang (Jiangxi Province) Lakes, however these, while larger, are also subject to the same problems as those in Anqing. Experts predict that with no change, some keystone species including Anthya baeri and Anser cygnoides could vanish from Anhui in as little as 5 years.

LONG-TERM SOLUTION AND BARRIERS TO ACHIEVING THE SOLUTION

73. The long-term solution that this project proposes is to build on the strong baseline to safeguard wetland biodiversity by building an integrative mechanism for basin level management of water and wetland resources to mitigate common threats, mainstreaming of wetlands into Provincial structures and plans with secured financial support and implementing measures to reduce on-site threats. The focus on basin level coordination will help foster internal cooperation and partnerships at the basin level – in tandem with issues that emanate from areas beyond administrative boundaries and, in turn, remove overlaps, improve cooperation and enable wise use of water and natural resources for ecological and economic reasons. To improve management effectiveness of WPAs the coverage area under WPA will be increased, management and technical capacity will be enhanced, one WPA will be nominated for Ramsar status, and wetland biodiversity conservation will be mainstreamed into sectors at local and provincial levels. Economic sectors such as aquaculture, agriculture and tourism will adopt practices that do not pose negative impacts on the biodiversity within the wetland PAs in line with standards developed for specific sectors. On-site threat reduction will be achieved by equipping the NR authority and staff with the approaches, tools and skills to effectively manage them. However, the following barriers prevent the long term solution from emerging.

Barrier 1: Limited capacities for integrating wetlands issues into Provincial and Sectoral policies and plans:

74. Despite the importance of the wetlands, there is currently poor integration of wetland biodiversity conservation values into sectoral, legal and policy frameworks. This is made worse by the fact that coordination of planning and implementation of sectoral projects and plans at the Province level occur very much independent of each other and with little recognition of the impacts they are having on wetlands biodiversity. There is little awareness of wetland values and functions and hence these tend to be ignored in development plans leading directly to the loss of wetlands and the biodiversity they sustain. When developments are planned, economic trade-offs balanced, or project profitability assessed there is perceived to be little economic benefit to wetland conservation, and few economic costs to their degradation and loss.

75. Because markets and prices remain distorted against wetland conservation there are few financial or economic disincentives for wetlands-degrading sectors to modify their activities. Investment in wetland management continues to be seen as an uneconomic use of land, funds and other resources. Until very recently, wetlands did not even receive any attention in developmental planning. This insufficient understanding of the economic value of wetland biodiversity and ecosystem services needs to be changed by supplying planners and decision


makers information from detailed economic and costs benefit analyses of wetlands biodiversity and ecosystem services. Similarly opportunities for developing the eco-compensation schemes in direct support of wetland PA management need to be explored. To address the overlapping mandates – e.g. multiple claims of land/water tenure – and associated problems such as uncoordinated harmful developments as described above, an appropriate coordination mechanism that brings together different sectors including the local communities is important. The absence of a specific wetland conservation regulation that is backed by a well thought out strategy and action plan remains a critical constraint. This needs to be supported by development of standards and guidelines that specific sectors can use to identify and mitigate the impacts that their activities are having on the wetlands.

76. Planning and decision-making requires up to date information on wetland ecosystem information generated through regular monitoring. In addition it is also necessary to also protect certain specific sites within the basin by elevating their protection status (for WPAs). Finally there is currently no system that enables systematic capturing of knowledge and good practices on wetland management both at the Province and inter-Province level.

77. Systemic capacity is also seriously reduced by the inability of the Forestry Department to manage or easily coordinate the sector mandates that impact on wetlands. This requires active coordination and the development of a mandatory vetting procedure when major projects (such as building of sluices) are proposed. Anhui needs to implement systematic planning approaches to define clear visions for guiding future conservation actions, and develop flexible management and funding mechanisms geared toward sustainable use of natural resources.

Barrier 2: Limited knowledge and experience with integrated basin management of wetlands:

78. Threats to wetlands originate from a wide variety of sectoral demands for water and associated impacts that are usually found at a larger basin scale such as agricultural and other land uses in the upper reaches of the basin that will impact through soil erosion and pollution. Though all ecosystems are impacted from surrounding land use and economic activities, wetlands are particularly susceptible to impacts from immediate surrounding landuse and from economic activities far upstream. Upstream pollution, for example, can have significant impacts on wetland protected areas downstream, as well as water extraction upstream and water demands downstream can also have significant impacts. Economic and other production sectors, in particular, agriculture, livestock, water management (e.g. dam operation), urban development, and industrial operations are not made made aware of the consequent impacts on the wetlands as a result of their activities. So it follows that on-site management of specific threats (e.g. over-harvesting of wetland products) need to be completed by solutions at the basin level to ensure long term sustainability of WPAs. This is normally carried out using techniques of integrated river basin management (IWRM) however this is not done in China where basin plans are almost always sector-based and are seldom coordinated with other sectors. Therefore, there is a need to develop as standard practice, an appropriate coordination mechanism that provides the platform for all water and wetland users and stakeholders to discuss how actions by different sectors impact on the integrity and sustainability of wetlands and how the WPA fits into the larger context of basin management and development.


79. There are felt needs that an IRBM approach should be supported by the Chizhou City Government for Shengjin Lake NNR basin. An inter-agency committee has been struck by the local government and will form the platform for dialogue, then planning activities. This approach, when developed for Shengjin Lake basin, can provide a training platform for other WPAs and for provincial officials for application elsewhere in the province. In addition the basin plan, and the NR management plan will need to be necessarily linked to ensure that targets in the basin are matched by performance targets within the wetland itself. Further, there is a need for an integrated management plan at the nature reserve level that incorporates the interests of each sector and of the NR, that enables inter-sectoral coordination within the reserve and for which responsibilities for implementation and enforcement, and for funding, are clearly defined. Reduction of fishing pressures by use of innovative means such as eco-compensation funds for local fishermen to encourage them to change livelihood, and by negotiation with local and senior levels of government on a more rational and sustainable approach to fishing by commercial companies are important considerations.

Barrier 3: Limited tools and capacities for wetland PA site management:

80. At present the management of WPAs is narrowly focused and traditional. Nature Reserve (NR) managers tend to be focused on technical issues and often have low levels of management skills. There is also no evidence of the use of performance management principles. The aptitude for modern management principals may be a significant barrier within the current management cadres of NRs as there is a perception that there is no reward for adopting modern management principles.

81. There are currently limited models of wetland PA management that provide for an effective and coordinated system of conservation actions backed by monitoring and enforcement that address site-level threats such as poaching, over-fishing and illegal occupation and un-sustainable use of wetlands and wetland resources. In addition, there is limited technical capacity and information base, and awareness for wetland biodiversity conservation, planning and management decisions. Human and institutional resources are limited especially for wetland PA administration. PAs like Shengjin Lake NNR have limited capacities to undertake effective systems planning or biodiversity monitoring particularly when it comes to wetland biodiversity. In addition, WPA management is the primary responsibility of field staff that the local governments (prefecture and county) allocate, control and supervise. Staff performance is also difficult to assess as PAs do not have management plans or business plans and, thus, progress towards achieving results cannot be measured. This is a not an optimal situation. In addition to serving as front-line guardians against local threats, WPA site managers and staff also have important roles to play in monitoring biodiversity and overall environmental conditions at the sites, in raising awareness and encouraging participation, particularly among communities living in the vicinity of WPAs and in managing visitation to the sites. Furthermore, many wetland NRs have direct livelihood impact with local communities living within and around WPAs heavily dependent on resources inside many of the NRs. The WPAs provide an important resource for hundreds of thousands of families in the form of fisheries, shellfish collection and as well as ecotourism-related employment and business opportunities. However, daily intrusions into NRs by the local inhabitants are causing serious over-fishing, over-harvesting and resulting disturbance to ecosystems and biodiversity (especially water birds). Without the involvement of the local communities, effective NR management will be difficult. It is essential to develop co-


management mechanisms and promote alternative livelihood schemes. Negotiations with upstream farmers are also important to regulate the levels of chemical pollutants entering into the water system. However, the NR staff lack capacity to establish and manage co-management arrangements. Similarly, community institutional arrangements do not exist for such management in most areas and their capacities for effective management and legal enforcement are also very weak.

82. Systemic capacity is also seriously reduced by the inability of the Forestry Department to manage or easily coordinate the sector mandates that impact on wetlands. This requires active coordination and the development of a mandatory vetting procedure when major projects (such as building of sluices) are proposed. The Anhui government needs to implement systematic planning approaches to define clear visions for guiding future conservation actions, and develop flexible management and funding mechanisms geared toward sustainable use of natural resources. In addition, effective PA management is also hindered by weakness in the legal basis for PA development and management. The outdated national regulations on nature reserves do not provide much flexibility in terms of zoning and management options. The result is that the actual management on the ground is far from those required under the the strict regulations required for NRs.

83. The paramount importance currently is to bring clarity and professionalism to the PA management system within the province through a package of capacity development elements. This should include introduction of comprehensive PA planning principles and methods, training in technical areas, formulating position descriptions and carrying out capacity assessments as a basis for developing specific training programs. Specific training areas can include technical, planning and financial management while specific deficiencies in capacity such as data analysis, systematic bio-monitoring and reporting, and enforcement should be rectified. The PAs also lack essential equipment required for key activities such as poaching control. The huge co-financing available should be aligned to procure such equipment. In addition, NR staff have very limited experience with alternative financing mechanisms such as mobilizing resources through innovative investment in wetlands by the private sector both in ecotourism and in Public-Private sector Partnerships (PPPs) in the fishery.

INTRODUCTION TO SITE INTERVENTIONS 84. Site interventions are focused on the six WPAs along the Yangtze River corridor in Anhui Province. The site interventions will provide a basis for building capacity in the rest of the PA system in Anhui. For interventions at the WPA level, Shengjin Lake NNR will be the prototype with lessons-learned applied to the other five WPAs. The following is a brief description of each WPA in which interventions are planned. Detailed information for the six WPAs is found in Annex 5.


85. Anhui Shengjin Lake National Nature Reserve was established in 1986, joined Biosphere Reserve in 1995, and upgraded to a national status in 1997. It joined the Northeast Asia Crane Network in 2002 and the East Asia - Australasian Wader Bird Network in 2005. In 1965, the construction of Huangpen Gate separated the lake from the Yangtze River, and formed a reservoir. This sluice is for flood protection. The average annual rainfall is 1600 mm, with most falling from March to August and average annual temperature is 16.1°C, with an average January temperature of 4.0°C. Biodiversity of this WPA has been described above.

86. The Anhui Anqing Riverine Provincial Nature Reserve (PNR) for waterfowl is situated in southwestern Anhui Province, at the northern bank of middle and lower reaches of Yangtze River. It borders Yangtze River in the south and Dabie Mountains in the north, and consists of the catchment of hilly areas along Yangtze River. From the west to the east, it is comprised of nine lakes (Longgan, Huangda, Bohu, Wuchang, Caizi, Pogang, Baidang, Fengsha, and Chenyao lakes). Geographically, it is located between N 30º47´-31º17´ and E115º46´-117º44´, with a total area of 120,000 hectares. The PNR was established in 1995. In 1997, the Administration Office of Anqing Riverine Nature Reserve (PNR) on Waterfowl was founded under the administration of Anqing Municipal Forestry Bureau. The nature reserve management stations in Susong, Wangjiang and Congyang counties in which the PNR are located have also been put into place. To date, these organizations are supported by 15 staff.

87. Anhui Guichi Shibasuo Provincial Nature Reserve (PNR) lies in the northeastern diked area in Guichi District, Chizhou City, Anhui Province, on the southern bank of Yangtze River (refer to Map 3, Annex 8) and has an area of area of 3,651.6 hectares. It mainly protects rare water birds and their habitats. The PNR supports 121 species of water birds, including two species under first-class national protection, (Ciconia boyciana and Grusmonacha) and eight species under second-class national protection (Cygnus columbianus, Anser albifrons, Accipiter nisus,Falco tinnunculus, Falco peregrinus, Platalea leucorodia, Aix galericulata, Pelecanus crispus). At present, the wetland area is mainly threatened by high-density aquaculture, siltation, and domestic sewage pollution. In 2011, the PNR was listed in the planning of Southern Yangtze River Industrial Cluster Area under the Demonstration Area to Undertake Industrial Transfer in the Cities Belt of Anhui along Yangtze River, turning the NR into a planned construction project within the industrial cluster area. With the implementation of the project, the wetland area of the NR will be threatened by industrial and domestic sewage pollution due to large land conversion, infrastructural construction, and industrial transfer.

Figure 4: Map of Shengjin Lake National Nature Reserve


88. The Anhui Dangtu Shijiu Lake Provincial Nature Reserve (PNR) lies in the border area of Dangtu County, Anhui Province; and Gaochun County and Lishui County, Jiangsu Province (refer to Figure 3) with a total area of 10,667 hectares. Shijiu Lake is one of the few lakes in China that remain connected with the Yangtze River. It was established to mainly protect rare water birds and their habitats. This PNR supports many rare water birds, including one species under first-class national protection (Ciconia boyciana) and 13 species under second-class national protection (Cygnus cygnus, Cygnus columbianus, Anser albifrons, Centropus bengalensis, Pandion haliaetus, Circus cyaneus, Accipiter nisus, Buteo buteo, Falco tinnunculus, Falco columbarius, Falco peregrinus, Podiceps cristatus and Platalea leucorodia). The PNR is also the only NR in Anhui Province that has found the distribution of Grus japonensis (in 1980s). The major factors threatening this PNR include: enclosure aquaculture, pollutants discharge and building of water conservancy projects. These factors have led to a series of problems such as the deterioration of water quality, eutrophication of Shijiu Lake, and decline in its biodiversity.

89. The Yangtze Alligator NNR has an area of 18,565 ha consisting of four parcels of disconnected areas. This NNR has been highly successful in breeding an almost extinct species to a current population of over 10,000 animals contained within the breeding centre. Since the inception of the breeding program in 1983 the focus has been mainly on rebuilding the population. Today, the ponds of the breeding centre are bursting with the number of animals. In the past few years a limited number of animals have been relocated to natural wetlands within the NNR and there are currently appoximately 150 individuals that now feed themselves in the wild although there is a loss of some 4-6% annually. Under current conditions the carrying capacity of natural wetlands is about 300-500 animals within the NNR. With good conditions (mainly low pollution and adequate natural fish supply) total carrying capacity of the current PA area would be only about 2000 animals.

90. The Anhui Tongling Dolphin16 National Nature Reserve (NNR) is situated within the Yangtze river sections of Tongling, Congyang and Wuwei municipalities and counties in Anhui Province. Located between E117°39′30″-117°55′25″ and N30°46′20″-31°05′25″ and with an area of 31,518 ha this NNR covers the area within the dyke of the Yangtze River (including mudflat and shoals) and estuary waters and terrestrial areas connecting with the Yangtze River. Unlike the other five WPAs, it is under the responsibility of the Provincial Environmental Protection Department. The major protection target now is the finless porpoise (Neophocaena phoconoides) (not a dolphin) which is under the second-class national protection. In 1996 the baiji dolphin was determined by scientific investigations to be functionally extinct in its native Yangtze river habitat. WWF China in 2012 believed the population of endangered finless porpoise continues to decline. The objective of the Tongling Dolphin NNR is to conserve species, not to preserve habitat, so there is a fundamental difference between this and other WPAs in Anhui Province.

91. The principal interventions are addressed at three levels and are reflected in the following diagram.

16 In Chinese, the term 'dolphin' refers to both the finless porpoise and the Yangtze River Dolphin (baiji dolphin).


STAKEHOLDER ANALYSIS

92. The detailed stakeholder analysis was carried out during the PPG. The stakeholders consulted are shown in bold type in the following table. Consultations were in the form of meetings held with the Director or Deputy Director of each of the agencies noted, usually with several of their subordinate staff. Because of the prominence of the Shengjin Lake component of the project and the role of Chizhou City in providing co-financing, considerable time was spent with various city government officials, including the Party Secretary, Vice Mayor (agriculture and forestry), fisheries, water resources, lands, environment, forestry and tourism. These were all held one-on-one and not as a group. Consultations were also held with staff of five of the six17 WPAs along the Anhui part of the Yangtze River Corridor. Meetings were held with senior officials of local governments of all counties and townships around Shengjin Lake and with the Director of the Fisheries Cooperative of Shengjin Lake.

93. From the stakeholder analysis we find there is strong support for Shengjin Lake conservation program at all levels of government, by local governments, and by the Chizhou City government. There is also a general understanding of the threats faced by WPAs, especially that of Shengjin Lake NNR and a willingness to do what is necessary and affordable to make progress in reducing the threats including the need to plan for sustainable tourism. We also find

17 The Tongling Dolphin Reserve was not consulted in person by the PPG team as this reserve has a different function than the

other WPAs. The situation of this reserve was included, however, through telephone and documentation.

Provincial Level River Basin Level Wetland PA Level

1. Mainstreaming wetland conservation and biodiversity across sectors

2. Intersectoral coordination mechanisms to protect NRs from harmful sector actions.

3. PA management planning & Provincial Wetland Conservation Plan is established

4. Approval of provincial wetland regulations by PPC.

5. Financial Sustainability including business models

6. Economic valuation of wetlands goods and services as basis for monetising 'value' of wetlands

7. Information systems and data sharing

8. Sector standards and safeguards

9. Gender sensitivity 10. Mainstreaming biodiversity

into 13th Five Year Plan

11. Expansion of the WPA system; one WPA promoted to Ramsar status

• Integrated river basin planning to coordinate sector activities and reduce external threats to WPAs from inappropriate land use activities.

• Water management planning to promote biodiversity and not just commercial fisheries.

• Establishing basin-level targets for sector activities

• Training in basin-level management

• Ecotourism planning

• Establish fisheries carrying capacity as basis to develop evidence-based fishing quotas to reduce over-fishing

• WPA Management Plans

• Systematic monitoring of biological resources

• Human Resources capacity improved in technical, managerial, and enforcement areas.

• Demonstrate use of managed wetlands for pollution control

• Cooperative management systems.

• Alternative livelihoods using eco-compensation funds.


that Chizhou City officials are amenable to the concept of basin management but will require educating about this. This is understood by other WPAs. Finally, there is a very good understanding by forestry officials and provincial finance department of the importance of wetlands biodiversity conservation and strong desire to use this project as a way to move this agenda forward aggressively by both enhanced technical and financial capacities.

Table 7: Stakeholder analysis

Stakeholder1 Roles and Responsibilities Role in the Project

Ministry of Finance Operational Focal Point (OFP). Coordination and

implementation of GEF projects

No direct role

State Forestry Administration

(including National Wetland

Conservation Center)

Line management and sector policy guidance at

national level of the Project. Responsible for forest and

wetlands, most of China’s nature reserves, wildlife

issues, wildlife trade (CITES), wetlands protection

(Ramsar Convention), drafting of departmental level

regulations especially wetlands.

No direct role

Anhui Provincial Government

Executing Agency of the Project. Responsible for

provincial administration, development planning and

implementation, as well as planning and financing of

the provincial PA system.

Through its subordinate

departments, responsible for

implementation of the Project

Finance Department of Anhui

Province

Forestry Department at

provincial and local

governments (including wildlife

protection bureau)

Operational Focal Point at Provincial level. Financing

arm of the Anhui Provincial Government.

Responsible for planning and managing the provincial

PA system, and conservation of fauna and flora in the

province. Also responsible for wetland management.

Responsible for the co-financing

for this Project and will provide

oversight as part of the Project

Steering Committee

The Provincial Forestry

Department is the implementing

agency of the project.

Natural Conservation and

Management Station of Anhui

Province (includes Anhui

Wetland Conservation Centre)

Has primary responsibility for WPA management

under the AFD. Responsible for the conservation and

stewardship of wild and/or rare fauna and flora in the

province.

Key implementing agency under

the Anhui Forestry Department

for day-to-day management of

the project and for Component 1.

Standing Committee of

People’s Congress of Anhui

Province

Responsible for coordination of legislation and

regulation functions in Anhui, including the provincial

regulation of nature reserve management and

regulation of wetland conservation.

No direct involvement other than

its role in approving the draft

wetlands regulations. The Project

expects to advise this committee

Water resource department of


governments

Responsible for planning and controlling water

resource planning and allocation. Critical stakeholder

in the effort to ensure sufficient water flow to the

target wetlands.

Part of the Project Steering

Committee at provincial level.

Environment protection

department of provincial and

local governments

Key partner of the project. Responsible for

coordination of environmental issues, pollution

control, execution of CBPF, processing and

Part of the Coordinating

Committee at provincial level;

part of Inter-sectoral



coordination of drafting new environmental

legislation. Must be involved in any proposed

regulatory revision.

Coordinating Committee for

Shengjin Lake.

Yangtze River Fishery

Resources Management

Committee

Key consultation agency on fishery management

policy at Yangtze River Basin level. Responsible for

sustainable utilization of fishery resource and

protection rare freshwater animals and their habitats in

the Yangtze River and its tributaries and lakes.

Consultation. Will be invited to

participate in the Technical

Advisory Group.

Chizhou City (Prefecture)

Government

Agriculture department of


governments

Controls the territory in and around Shengjin Lake

NR, and pays its staff. The City has established a

multi-sectoral coordination committee for planning

and management of Shengjin Lake NR.

Responsible for agriculture and fisheries. Major

stakeholder in terms of water use and sources of

agricultural water pollution responsible for freshwater

and brackish fisheries. Should mainstream biodiversity

and PA protection within their plans and avoid causing

pollution of wetland sites. Can help monitor wetland

biodiversity on agricultural lands adjacent to NRs.

Key implementation agency at

local level. Plays a senior role in

basin planning and management

and co-financing for Shengjin

Lake activities. Will participate

as a member of the Project

Steering Committee (probably

represented by the City Forestry

Bureau).

Key consultation agency for

agriculture and fishery policies.

Collaboration within the Project

in areas of basin management,

non-point source pollution

control. Sits on inter-sectoral

committee for Shengjin Lake.

Chizhou City Forestry Bureau

Shengjin Lake NNR

Management Bureau

Has main responsibility for Shengjin Lake NNR.

Responsible for the planning and management of the

Shengjin Lake NNR.

Key implementation agency for

day-to-day management of the

Project at local level. Hosts the

Project Management Office and

participates in Project Steering

Committee.

The main implementer of the site

level component and hosts the

Project Management Office.

Fishery Management Bureau of

Chizhou City

Responsible for the sustainable use of fishery

resources, protection of freshwater wildlife and its

habitats, compliance enforcement, and supervise of

fishery practices. And holds the tenure of Lake and

will be a key partner during project implementation.

A key partner in developing

sustainable fishing quotas;

relocating fishing families, etc..

City Lands Bureau

WWF

Holds tenure to the Shengjin Lake and must be

consulted if there are to be changes to tenure

arrangements.

Supports biodiversity conservation in the Yangtze

Ecoregion. It has launched the Yangtze Ecoregional

Action Programme and has developed the Central and

lower Yangtze and Yangtze Estuary Conservation

Will be a consultative partner

during negotiations to change

fishing tenure arrangements.

No direct role but will be

consulted during the Project to

mobilize its expertise in support



Strategy. Available for technical support,

consultancies, training and monitoring. High capacity

for grass roots action with local communities.

of the Project.

Chinese Academy of Sciences,

several specialized and regional

academic and research institutes

and universities

Technical expertise available on hydrological,

botanical and zoological aspects. Possible collaborator

and source of consultants for carrying capacity,

habitat restoration, and biodiversity monitoring.

Will be invited to provide experts

to serve on Project Technical

Advisory Panel.

Local communities (counties,

districts and villages).

Private Sector

Fishery Cooperative of

Shengjin Lake

Primary resource users. Local communities around

the target NRs will be participants in the co-

management activities as well as being beneficiaries of

the livelihood support.

This is a wild fisheries cooperative and has a direct

stake in project outcomes that support sustainable a

fisheries. Discussions with the Director indicate strong

interest in rebuilding habitat to secure a sustainable

fishery.

To be invited to participate in co-

management, habitat protection,

and to provide advice to the

Project on local concerns. One

county will be invited to serve on

the Inter-sectoral Coordinating

Committee for Shengjin Lake.

A partner in PPP arrangements

for habitat improvement in

Shengjin Lake NNR.

Media

TV of Chizhou Prefecture

Media coverage of the PPG occurred in Shengjin Lake

NNR. The media will play an important role in getting

the Project message to local populations.

One Project staff position will

include regular interactions with

the media as part of a Project

media strategy.

BASELINE ANALYSIS Context

94. Context: Whereas forests and forest PAs are accepted as an economic contributor, wetland PAs are not! Therefore, there is no monetization of wetlands goods and services, nor by extension, monetization of benefits of well-managed sustainable wetland fisheries. The consequence is that wetland biodiversity is often perceived as not worth conserving with aggressive conservation programs. This leads to inadequate legal protection, inadequate manpower, failures in enforcement, inadequate financing, lack of resolution of sectoral conflicts, etc.

Baseline

95. The baseline for this project is the “business-as-usual” scenario that would take place during the next 5 years in absence of the interventions planned under the project. Under the project baseline state, a range of activities relating to the management and expansion of wetland PAs, and to the mitigation of threats posed by human activities and climate change within the province’s PAs, would be undertaken. These would have some positive impacts on the Anhui PA


system and their wetland ecosystems and their flora and fauna. However this baseline scenario alone (currently planned work) would not greatly reduce any of the major barriers identified above. Nonetheless the baseline does provide a useful platform for environmental conservation and PA development upon which this project can build, and upon which new synergies for the maintenance of biodiversity (through co-management and other means) can be tried, developed and applied regionally.

96. Anhui contains 11 large lakes that are designated as Wetlands of National Importance. Additionally there are eight wetlands designated as Provincial Nature Reserves. But a variety of issues – ranging from legal to institutional and technical result into the lack of protection.

97. Intersectoral Conflict: Conflict amongst sector mandates within wetlands and lack of jurisdiction over sectoral activities in PAs by WPA managers has been described elsewhere in this document, but is an integral part of the baseline situation. This situation has been extensively commented upon in the technical literature as a particular problem for wetlands. WPAs have jurisdiction only over wildfowl in six of these WPAs but no jurisdiction over land use within the NR such as the fishery, nor over the land itself (around and under the nature reserve) which is mainly controlled by the lands department.

98. Legislation: The Provincial Forestry Department currently has a draft Wetlands Regulation prepared; this is expected to be put to the Provincial People's Congress in 2013-14 period. There are no plans, however, for training PA staff and the public in the application of the new regulations. The regulations also reflect a very traditional way of dealing with wetlands management and, as noted elsewhere based on expereince in other provinces, there are no priority when there are inter-sectoral conflicts.

99. Human Resources and Capacity: Staff amount is totally inadequate for most functions as, for example, patrolling existing nature reserves, let alone PA system expansion. Shijiu WPA has, for example, only a single staff member. Shengjin Lake NNR has a staff of 15 but needs to double its staff complement in order to fulfill its current limited mandate let along an expanded mandate. AFD is limited in its ability to hire new staff due not only to funding shortages but also to government structural arrangements. This chronic shortage will remain without specific inputs from external sources that tackle the substantial recruitment bottleneck. There are no position descriptions for any of the technical positions in the WPAs; there is no formal performance assessment system that can identify staff weakness, nor a training program to raise staff competencies. In Shengjin Lake NNR staff salaries are paid by the Chizhou City government, but operational funding comes from the AFD. This disconnect betweeen operations and staffing is a continuing problem.

100. AFD field staff and community stewards (or wardens, or wildlife monitors) are handicapped by lack of transport, travel budgets, communications equipment and adequate training. This situation will not change unless it is specifically addressed by this or other similar projects. There is no video surveillance system in any of the WPAs that allow remote monitoring of human activities such as poaching. Cameras that are currently mounted in the protection stations are mainly for wildlife viewing, not for surveillance and enforcement purposes.


101. While centrally located staff in the forestry department is well trained, elsewhere in the WPA system the staff have relatively poor professional skills. There are now no comprehensive plan to significant upgrade these skills or to develop detailed ToRs for technical positions. This lack of capacity is reflected in inconsistent and often inadequate wildlife monitoring and reporting, inability to advise on habitat restoration, and lack of adequate understanding of many of the technically-based threats to wetlands. There is no technical capacity to provide a consistent form of data storage and transmission within and between Pas, the Forestry Department, or the SFA. There is no remote monitoring of wildlife during migration season, often no-onsite staff, and very limited use of cooperative arrangements with local residents for guard duties. In 2012 and 2013, poaching seems to have caught the attention of 'netizens' who have quickly organized themselves over the internet to deal directly with poaching in a number of areas of Southern China by destroying poachers' bird nets, removing poison, etc. There is now no special attention from the PA system to developing these alternative forms of poaching prevention.

102. Managers are currently quite competent in traditional forms of WPA management. However, new skills in planning, in creative financial management and business practices, in performance-based management are entirely lacking. There are no plans to promote these new skills in the absence of external stimulus.

103. Mainstreaming Wetlands Biodiversity Conservation: While there is a general acceptance that wetlands 'are a good thing' by productive sectors, this sentiment is not translated into any kind of coordinated action. Given that many sectors have interests and mandates within WPAs, the role of AFD is to attempt to coodinate these activites. In 2011 the provincial government implemented a 'coordination meeting' consisting of senior officials from 14 sectors to promote dialogue and to resolve inter-sectoral conflicts. The provincial government, in its attempt to improve the environmental condition of Chaohu Lake, integrated the once separate administration of Chaohu City into that of Hefei. A serious test of inter-sectoral cooperation will come when the water department presents its plan to build a sluice across the entrance to Shijiu Lake – without any form of comprehensive basin or lake management plan.

104. Finance and Business Practices: Investments in conservation and management of biodiversity both in and outside the protected areas and, in particular, forest management include activities such as scientific management of forests, protection of natural forests, forest rehabilitation, and agro-forestry programmes especially shelter belt plantations. The Anhui Provincial Forestry Department estimates expenditures in the 12th Five-Year Plan (2011-2015) of 4.5 billion CNY (US$ 725 million) or around US$ 145 million annually that includes wetlands management. Numerous activities such as agro-forestry, afforestation and reforestation will be supported to increase forest cover at the Province level. Of the total budget, a very conservative estimate of 5 percent of the total investment is calculated to directly relate to wetland protected areas, amounting to around US$36 million over the next five years. Of this, around 35 percent will go towards supporting provincial system activities such as such as preventative activities to eliminate invasive alien species, improving monitoring of wetland biodiversity, wetland resource surveys and developing rules for management and utilization of wetland resources. The Provincial government provides around 1.0 million CNY (≈ US$ 150,000) per annum to cover the costs of operational support to all the protected areas in the Province. These include support for recurrent costs such as personnel salaries and wages, operational expenses such as fuel and


maintenance, monitoring and compliance costs and other general administration. Operational funds do not include capital investments (e.g. property, visitor and research facilities and purchase of major equipment) nor costs for on-site specific programmes such as restoration of WPA vegetation, wetland restoration, invasive species management and removal, wetland conservation etc. The operational support costs for investments are solely those relating to PAs. In Shengjin Lake NNR personnel salaries are paid by local government.

105. The National, provincial and local governments have provided additional financial support of US$ 8.6 million since 2011 in the form of grants for a number of specific projects such as lake conservation, vegetation and habitat restoration and development of alternative livelihoods for local communities. In the case of Shengjin Lake NNR, the national government is also investing US$ 4.6 million for the construction of the Wetland Science Center which will serve to improve the research and science facility at the NNR and also the Wetland Protection Subsidy Project. These are exclusive of large sums of in-kind investment from the Provincial Government. Generally, these investments are specifically targeting PA site level activities. There are additional investments in the fisheries production sector by private industry worth some 2.47 million USD but this is not for lake conservation or improvement. Current projects and funding from all sources for Shengjin Lake NNR is shown in Table 7.

Table 8: On-going baseline funding of Shengjin Lake NNR, Anhui Province* Ongoing baseline projects

Investment (1000 US$)

Investors or funding agencies

Project duration

Project goals

Shengjin Lake wetland science centre construction project

4,620 Central government (80%) and provincial government (20%)

2011 -2012

Improve wetland science dissemination; awareness raising, training and external collaboration

NRs operation and running budget

250 Chizhou Municipal governments

Annual Staff salary, administrative expenses, equipment, and daily management of NR

Note: 1 US$=6.465 RMB

*includes national and local invested projects

106. Currently, business practices are not widely used in the PA system except for the two WPAs that focus on rearing and displaying captive species (Tongling Dolphin Reserve and Chinese Alligator Reserve). Alternative forms of revenue generation, including revenue from eco-tourism are not now collected by any of the other WPAs. Tourism is managed remotely by tour operators who do not remit revenue back into the WPA system. Shengjin Lake NNR receives some 50,000 tourist each year but does not collect funds in any meaningful amount. There has been no attempt to monetize the value of wetlands goods and services as a basis for making an economic argument for stronger financing of wetlands. In Anhui province there is one example of the principle of monetization – reduction of overfishing (a major threat) and caged aquaculture in Caizi Lake of the Anqing WPA has been dealt with in one part of the lake by a PPP arrangement amongst an ecotourism company, the local community, and the Anqing municipal government (Forestry Bureau). There, overfishing in general, and aquaculture in particular, were seen as 'bad for business' and not adding to the wetland's 'bottom line'.18 Taking a 'bottom line' approach captured the attention of the partners and led to a more effective approach to wetland management and directly contributed to threat reduction at no extra cost to

18 Staff involved in developing this ProDoc were instrumental in developing the 'bottom-line' approach in Caizi Lake. The company involved is the Little Dragon Mountain investment company.


the local government. Apart from Wetland Parks19, there are no significant examples of this elsewhere in the WPAs that conserve natural habitat.

107. Five-Year Plan Targets for Biodiversity Conservation: According to the Anhui Forestry Department there are no specific wetland or related biodiversity targets in their current Five Year Plan (2011-2015). However, the AFD is pursuing the potential for expansion of WPAs as part of its policy of increasing the representativeness of wetland systems in PAs and for increasing habitat for the expanding Chinese alligator population. At this time there are no specific proposals from the AFD on expansion plans however, this is in agreement with the proposed expansion of WPAs that is identified in the PIF. The Provincial Biological Resources Conservation and Utilization Plan for 2010-2020 (noted in Paragraph 49 ) contains biodiversity conservation objectives but lacks a specific implementation plan. Chizhou City has plans for increasing eco-tourism in their municipality which includes Shengjin Lake NNR. At this time there are no specific implementation plans for increasing eco-tourism.

108. Eco-compensation: Policy makers at national and provincial levels have become increasingly interested in developing new approaches to address China’s multiplying conservation challenges and resource constraints in the face of fast economic growth. In several of the WPAs and, in particular to manage expansion of the WPA system, new eco-compensation funds will be needed. Local government has already costed a plan for reduction of fishing families in Shengjin Lake NNR but lack funds to implement that plan. It is likely that eco-compensation funds will become available for this purpose but there is no experience in applying for, or using these types of funds, nor in applying accountability measures for fund expenditures.

109. Integrated River Basin Management (IRBM): IRBM is not practiced to any great extent in China due to many conflicts in mandate amongst sectoral interests and between jurisdictions at the basin level. In Anhui, the Water Resources Department and its local bureaus are significant players, especially as water levels in many of the WPAs are controlled solely for the benefit of flood control and for the fishery and not for biodiversity protection. There are, currently, no comprehensive water management plans for any of the WPAs. Nevertheless, there is broad recognition in the scientific community that without IRBM20 the environment of river basins and associated biodiversity will continue to degrade. This academic understanding has not been translated into practical actions in Anhui. The largest experience in IRBM in China is that of the Hai River Basin in northern China under a GEF/World Bank Project (2004-2010)21

110. Habitat restoration: In contrast with forest rehabilitation, restoration/rehabilitation of wetlands has been very limited in Anhui apart from some academic studies of habitat restoration in, for example, Caizi Lake of the Anhui WPA. Shengjin Lake received funds from the SFA in 2010 and 2012 for wetland habitat restoration.It is unlikely that significiant restoration will occur under the baseline scenario.

111. Ecotourism: Anhui is well endowed with natural and cultural tourism opportunities. Some, such as Huangshan Mountain – one of China's most famous mountains, are well developed. Anhui's 12th Five Year Plan refers to enhancing its tourism industry. For WPAs this is

19 Wetland Parks are mainly commercial ventures and manipulate wetlands for touristic purposes. 20 Generically known as 'integrated water resources management" (IWRM) 21 One of the PPG team was a member of the international advisory panel for this project.


both an opportunity and a problem. Ecotourism in China is usually not true ecotourism but is mainly 'scenic tourism' in which low value, large volume, tourism is encouraged. There is currently little understanding of the methods required to develop a sustainable tourism industry. In the baseline scenario it can be anticipated that ecotourism will further degrade wetland habitats.

112. PA System Planning: As noted in Paragraphs 61-62 there are currently no requirement for management plans to be prepared for any of the PAs in Anhui Province. Planning is done on a year-to-year basis and without the benefit of a long-term vision that has been fully developed and discussed with local stakeholders. To date, there are no examples of comprehensive NR management planning in Anhui nor are there national or provincial guidelines that provide a systematic approach to implementing the guidelines of the State Council's 2010 'Announcement' on this subject (referred to in Paragraphs 61-62). PA system planning and review has been undertaken by interested academics from time to time when proposing new PAs, however, the exercises tended to be academic and not part of official planning of local government. There remains a need for PA system planning to be agreed with the government departments concerned and integrated into the overall development plans and Tourism Master Plan for the province. In this way there is a high chance of appropriate funding being approved and plans being realized.

113. Biodiversity Monitoring: The baseline status of biodiversity (fauna and flora) monitoring remains very patchy. There were systematic surveys of wildfowl in some, but not all, WPAs in 2004-5 and 2008-9. Independent monitoring of wild birds in Shengjin Lake and surrounding WPAs continues by experts from the University of Science and Technology of China (USTC)22 in Hefei and Anhui University. These efforts have not been integrated to produce an overall monitorinng strategy. The Provincial Biological Resources Conservation and Utilization Plan calls for a comprehensive approach to biodiversity monitoring but lacks an action plan to implement the Plan.

114. Climate change has become a growing concern of the government. At national level, it forms the basis of numerous international negotiations and national programmes for finding a ‘green development’ path forward. The lead national agency on climate change issues is the National Reform and Development Commission (NRDC), and China was the first developing country to publish a National Action Plan on Climate Change. The thrust of national efforts is on increasing energy efficiency, increasing proportions of ‘green’ energy, and developing alternative energy sources. However the contribution of healthy ecosystems such as coastal wetlands to better fixation of atmospheric carbon is given inadequate attention until recent years, and the impact of climate change on biodiversity is not specifically addressed. At the provincial level, climate change attention is more focused on the increasing frequency of extreme weather events such as flooding from tropical storms that can result in serious damage to local property and local residents. However, most climate change mitigation measures taken by local government agencies are engineering oriented rather than based on ecological principles. There is little understanding in Anhui of the linkages between climate change and wetland resilience to climate-induced factors such as extreme events (floods and droughts).

22 A unit of the Chinese Academy of Sciences.


115. Information and Knowledge Management: WPAs in Anhui do not have information systems that track and control the knowledge and information required to manage the PA comprehensively. At the national level, SFA is developing a wetland and related biodiversity information system following the completion of national wetland inventory (NWI) surveys in 2007-2012. Software will be developed to handle wetland and related biodiversity information on a transparent platform for public access and to inform decision making. The NWI survey covers all provinces in China including Anhui (to be completed by the end of 2012), so there is likely to be some improvement in collection, storage and sharing of wetland and related biodiversity data organized under NWI. However it is difficult to predict how useful such a data system will be for Anhui's planning and management of the PA system, and it is likely to fall short of the information management system that is required to track and control all aspects of PA activities.

116. Public Awareness and Participation23 : There is a good level of awareness of the importance of wetland biodiversity conservation around Shengjin Lake NNR. Residents around the Chinese Alligator NNR understand the importance of habitat preservation in principle, but are divided over the fact that habitat protection disadvantages local farmers. Elsewhere, public awareness is relatively low and simplistic, such "migrating birds are a good thing" and without any real understanding of the linkages between threats and waterbird habitat. The AFD and local government mount public information campains from time to time that promote public interest in migrating wildfowl but there has been no attempt to track the impact of this activity on public awareness. Local participation in NRs is limited to seasonal use of local residents as bird monitors, and to involvement of local residents in a small-scale rehabilitation scheme in Shibasuo NR. Local township and/or county leaders are consulted on an ad-hoc basis on a variety of issues pertaining to NR operations but there is no standing coordination committee at any of the WPAs.

117. In conclusion, baseline activities though considerable are inadequate or not optimally organised to significantly improve the current management effectiveness of, and the mitigation of threats to, the existing WPAs in Anhui Province. Public awareness of the threats to wetland habitats, wildlife and biodiversity will remain low and the value of PAs to the economy will not be optimized. Local communities resident in or near PAs would remain largely marginalised. Moreover, major engineering projects are likely to proceed without consideration of implications for PAs, and the opportunity to tackle basic inadequacies in legislation and mainstreaming wetland PAs and related biodiversity into planning would be missed.

PART II: Strategy

PROJECT RATIONALE AND POLICY CONFORMITY

Fit with the GEF Focal Area Strategy and Strategic Programme

23 A full KAP study was not undertaken during the PPG; however extensive discussions were held with local residents around

Shengjin Lake NNR and the Chinese Alligator NNR to determine the level of public awareness of wetland biodiversity conservation issues.


118. The project is aligned with the GEF BD-1 objective: Improve Sustainability of Protected Area (PA) Systems. More specifically, the project contributes to Outcome 1.1: Improved management effectiveness of existing and new PAs and Outcome 1.2: Increased revenue for PA systems to meet total expenditures required for management. The project will contribute to the objective and outcomes by putting in place an integrated model for basin level resource planning and management that integrates maintenance of healthy wetlands as a water management target and reducing and mitigating common threats to WPAs in the Province. The project will develop and implement scientifically sound Lake Nature Reserve Management plans for Shengjin Lake NNR that will among others focus on rationale allocation of lake areas for conservation, sustainable use, and research. In taking an ecosystem approach the project will emplace systems for monitoring and managing impacts within and external to the PA. To deliver all these, the project will help upgrade the skills of the PA staff and ensure that training programmes designed are sustained beyond the project period by integrating them into regular formal training programmes of the Provincial Forestry Bureau. The improvement of PA management achieved will deliver increased protection to at least 434,000 ha of important wetland PA sites in the Province while reduced threats will safeguard key species such as the Oriental White Stork, Siberian White Crane, Hooded Crane and Swan Goose.

119. The project will seek to mainstream wetlands issues into Provincial level development planning and also into specific relevant Sectoral plans. This will be accomplished through (i) practical demonstration of co-operative WPA management mechanisms with a PA and basin-wide planning system for Shengjin Lake NNR and extended to selected other WPAs, (ii) development of a more rational and comprehensive NR Management Plan for Shengjin Lake and at least two wetlands and in which inter-sectoral actions and responsibilities are included, and (iii) strengthening cooperative management systems, such as the provincial inter-sectoral wetland Leading Group, that will increasingly be based on scientific understanding of risks versus benefits as a basis for making balanced socio-economic decisions in each sector. The Project will support the generation of economic valuation study results that demonstrate the importance of wetlands to the Provincial decision-makers. This will provide the basis for cost-benefit analysis that will under-pin a cooperative approach to wetland management. Integration of wetlands issues at Provincial level decision making processes and structures, and improved understanding of the role of wetlands in (i) ecosystem services and (ii) socio-economic role of wetlands in relation to their carrying capacity, will ensure increased and sustainable sources of funding for wetland PA management. In addition, the project seeks to reduce the impacts from the various production sector activities on the lake and freshwater biodiversity by developing sector specific standards and safeguards and also in parallel engineering a shift towards sustainable use of lake and fresh water biodiversity resources by local communities. This will be achieved both by developing a technical basis for determining sustainable use of wetland resources, and by reducing fishing pressure through relocation of fishers using eco-compensation mechanisms.

120. In addition, the Project directly contributes to the goals of Programme of Work on Protected Areas (PoWPA) – in particular: Goal 1.2: To integrate PAs into broader land and seascapes and sectors so as to maintain ecological structure and function; Goal 2.2: To enhance and secure involvement of indigenous and local communities and relevant stakeholders; 3.1: To provide an enabling policy, institutional and socio-economic environment for PAs; Goal 3.2: To build capacity for the planning, establishment and management of PAs; Goal 3.4: To ensure financial sustainability of PAs and national and regional systems of PAs; Goal 4.1: To develop


and adopt minimum standards and best practices for national and regional PA systems; and Goal 4.2: To evaluate and improve the effectiveness of PA management. These will be accomplished through a combination of (i) improved WPA management systems that broadens the focus of NR staff to include cross-sectoral issues as part of the management system; (ii) development of a comprehensive NR management plan for Shengjin Lake NNR; (iii) involvement of local communities in the planning and management process, and in ecocompensation schemes that promote harmony between man and migrating wildfowl; (iv) a sustainable ecotourism plan and implementation scheme that minimizes impact while maximizing opportunities for tourism, for education and on-the-ground training of students, and for joint research with universities and research institutes, and (v) a more innovative approach to the application of modern business management techniques and practices to secure long-term revenues, including PPPs, licensing, access fees, etc.

Rationale and summary of GEF Alternative 121. In the baseline scenario, significant past losses of natural habitats and species declines have occurred in Anhui, leaving fragmented remnants that are vulnerable to the impacts of continuing rapid economic development, intensive resource use and other environmental change including climate change. While there has been significant investment in the PA system in Anhui this has not yet addressed the principal barriers to the development of a sustainable and effective PA system, and funding remains inadequate to cover the operational costs required to achieve biodiversity conservation objectives. As a result, biodiversity continues to be lost inside the PAs due to the combination of weak management capacity and persistent or increasing levels of threat. In common with the general national situation, there has been little or no mainstreaming of ecosystem services into land uses, development planning and sectoral planning. This situation allows external threats arising from incompatible land uses to affect protected areas and biodiversity outside the protected area system. Urgent action is needed to prevent further degradation of critical wetland ecosystems and the loss of biodiversity and ecosystem services. The GEF alternative will address both those threats from inside the NR (such as over-fishing and habitat loss) and from threats from outside the NR though a process of basin-level integrated planning and management that will involve all relevant sectors.

122. Capacity at the provincial level for provincial wetlands planning and management and for meaningful inter-sectoral engagement is limited in the baseline scenario. The GEF alternative will mainstream wetlands biodiversity conservation into sector polices, plans and actions by establishing guidelines, targets and standards that will guide sector decisions within wetlands. A concrete example of integrated sector coordination for Shengjin Lake NNR will demonstrate the mutual benefits to mainstreaming within sectors at the local level; this will include sluice operations and water allocation (water management planning), fisheries quotas, habitat zoning within the lack to maintain viable aquatic ecosystems, eco-tourism management, riparian pollution control, and controls on agricultural activities around the NR. A second initiative under the GEF alternative is engagement with the provincial Leading Group using various sector issues as a way of demonstrating that mainstreaming of biodiversity conservation will benefit all sectors and ensure sustainability of the ecosystems on which all sectors rely.

123. In the baseline scenario, wetlands in Anhui are not attributed with any economic value by the government or by society beyond their exploitation as fish ponds. Without the ability to


monetize the value of wetland goods and services there is little incentive to invest in additional protection. For example, poaching continues to be a major threat under the baseline scenario due to lack of resources for poaching interdiction. In the GEF alternative, valuation of wetland goods and services will provide a basis to monetize the economic value of wetlands that, in turn, provides the economic justification for wetland protection that is now lacking. Except for two WPAs that are operated, in part, as touristic venues (Dolphin and Alligator PAs) the remaining WPAs receive no economic benefit from any of the economic activities that are carried out within their boundaries (mainly fisheries and some tourism). In the GEF alternative the Project has the opportunity to catalyze a new approach to the business of managing wetland PAs by bringing new sources of revenue both from managed ecotourism and from co-financing from PPPs though creation of investment opportunities related to ecotourism24. It is clear that the future protection of Shengjin Lake NNR will be increasingly allied with co-benefits from eco-tourism. None of this is likely to be accomplished without the GEF alternative.

124. In the baseline scenario, planning is limited and will continue to be a conventional approach that is limited to wildfowl management but without the ability to control habitat due to conflicts with other sectoral interests. There are no management plans25 that permit the effective implementation of a more complex vision of the future of the NR. Through effective planning the GEF alternative will engineer a shift towards a scenario where pressures on site from various sources are reduced. In addition it would support a shift from unsustainable uses (including by local communities) to one that is managed and sustainable. Planning will encompass the following aspects: (i) inter-sectoral planning within NRs so that internal threats are reduced according to measurable targets; (ii) integrated basin planning so that external threats are managed comprehensively; and (iii) long-term planning for NRs that will operationalize the guidelines enunciated by the State Council in their 2010 Announcement on NR management. Planning content will include human resource development and staffing, financial and business planning, strategic approaches to long-term development including business development opportunities, poaching interdiction strategies, habitat rehabilitation, modes of community involvement, and communication. The objective of the GEF alternative is to provide a management planning model that can be replicated elsewhere in the province.

125. In the baseline scenario, NR staff are not well trained to carry out the tasks of core duties such as biodiversity inventory and monitoring and protection of wildfowl. Without the GEF alternative this situation is unlikely to change materially. The GEF alternative is to incentivize capacity development of NR management staff by bringing more modern approaches and standards to management and technical duties; by linking duties to a much more comprehensive approach to NR management described above under 'Planning'; by breaking down barriers between NR staff and staff in other sectors in the wetland so that each group can do their jobs more effectively.

24 We have one recent example of this in Caizi Lake of the Anqing WPA in which, under the EU Biodiversity Programme, the Little Dragon Mountain Park development company agreed to invest significant resources into eco-conservation activities in the lake that had direct and significant benefits to the ecology through reduced fishing impact, better control over pollution sources, improved habitat management and habitat restoration, and control over poaching. Local benefits were felt by the local community through community engagement in the project, direct employment of rural residents, and the development of a 'farm stay' tourism component of their business model. The EU programme was instrumental in creating the business environment within the WPA management system in which this development could take place. 25 Management planning is discussed elsewhere in this document.


126. The ability of NR staff to carry out habitat restoration is negligible under the baseline scenario due to lack of resources and lack of technical capacity to assess restoration requirements and to develop a full restoration implementation plan. The GEF alternative will incentivize a phased habitat restoration process in Shengjin Lake that has meaningful and verifiable targets. The methodology will provide a sound example of how to plan and carryout wetlands habitat restoration elsewhere in Anhui.

127. Tourism in wetlands under the baseline scenario has few economic benefits to most WPAs and increases the probability of wetland degradation by uncontrolled tourist traffic. Chizhou City wishes to develop farm-based tourism around Shengjin Lake NNR. However, without appropriate guidance, such developments can be detrimental to ecosystems, wildlife habitat and biodiversity in general and with few benefits to local communities. Under the GEF alternative the Project will provide specific guidance on the planning and implementation of sustainable ecotourism that both maximizes economic benefit to the NRs and minimizes risks created by tourism. It will also catalyze involvement of local communities in tourism activities so that benefits are shared with the community.

PROJECT GOAL, OBJECTIVE, OUTCOMES AND OUTPUTS/ACTIVITIES 128. The project’s goal is: to contribute to the conservation and sustainable use of globally significant biodiversity in Anhui Province, China. The project strategic objective is to strengthen the management effectiveness of the wetland protected area system in Anhui in response to existing and emerging threats to the globally significant biodiversity and essential ecosystem services. The site focus is on Shengjin Lake NNR that will provide a basis for developing meaningful interventions that can be replicated elsewhere in the WPA system.

129. In order to achieve the above objective, and based on a barrier analysis (see Section I, Part I), which identified: (i) the problem being addressed by the project; and (ii) its root causes, the following components and corresponding outcomes and outputs have been designed. Component 1 "Enhancing Provincial capacities for WPA system management" focuses on the enhancement of a broad range of provincial capacities for planning and management of the wetland PA system. It deals specifically with: inter-sectoral issues in wetland management including mainstreaming wetland biodiversity conservation and sustainable use. Component 2 "Strengthened basin-level coordination for sustainability of the WPA system" addresses the issue of river basin management so that wetland PAs can be managed within an holistic rather than geographically circumscribed context that is limited to the nature reserve itself. Component 3 "Reducing on-site threats to biodiversity at the Shengjin Lake NR and adjacent WPAs" tackles specific interventions within Shengjin Lake NNR and adjacent WPAs that mitigate the threats from inside the NNR, demonstrate restoration of degraded wildfowl habitat, builds capacity in a variety of core competencies, and involves local communities in Shengjin Lake NNR management.

130. The three components will result in the following project outcomes:

131. Enhanced Provincial capacities for WPA system management. This will be achieved through support for the development and implementation of a provincial WPA system strategy


and action plan, mainstreaming wetlands biodiversity conservation into sector plans and actions though guidelines, targets and safeguards; a financing plan for the WPA system that addresses identified financing gaps and widening the range of available sources informed by demonstrated sustainable financing at site level; monetization of the value of wetlands goods and services and strengthened supervisory capacity of AFD and related agencies for planning and monitoring WPAs.

132. Strengthened basin-level coordination for sustainability of the WPA system. Integrated river basin management is the key to reducing and controlling those threats that come from outside the boundaries of most wetland PAs such as pollution, land use change, agricultural use of fertilizers and pesticides, and legacy issues involving abandoned mines. The Outcome will be a demonstrated method for intersectoral coordination and planning that achieves a satisfactory IRBM outcome for Shengjin Lake basin in which all relevant sectors are engaged. The Outcome will include a basin level and regional-level information sharing system that contributes to the MSL programme as well as to river basin systems in adjacent WPAs.

133. Reduced on-site threats to biodiversity at the Shengjin Lake NR and adjacent WPAs. The Outcome is focused on threat reduction through improved technical capacity by WPA staff, through development and implementation of a comprehensive planning process (management planning) that can be scaled up to other WPAs; rehabilitation of riparian and aquatic habitat together with a tested methodology that can be applied to other WPAs; use of carrying capacity to define sustainable levels of (wild) fishing; closure of signficiant areas of caged fishing and provision of alternative livelihoods for affected fishing families; enhanced poaching interdiction; provison of adequate technical facilities that allow NR staff to carry out their duties, and community involvement in NR co-management arrangements. Lessons will be upscaled through the CBPF MSL programme to other projects and wetlands.

134. Activities under the three outcomes will be focused at three levels of intervention: (i) at the provincial level through working with provincial government agencies to develop the systemic, institutional and individual capacity to revise, plan and effectively supervise the PA system; (ii) at the river basin level so that WPA lying downstream are protected from upstream threats; and (iii) at the site level – mainly involving Shengjin Lake NNR, through working directly with selected stakeholder groups and local communities on the implementation of PA co-management, alternative livelihood and awareness activities, building management and technical capacity of NR staff, and targetted technical interventions such as habitat restoration.

Outcome 1: Enhanced provincial capacities for WPA system management

(Total cost: 4,000,271 US$; GEF 542,471 US$; Co-financing 3,457,800 US$)

135. Outcome #1 focuses on activities that mitigate the threats to wetlands that arise at the provincial level that reflect (i) deficiencies in policy, legislation, planning and management that relate to wetlands; (ii) lack of mainstreaming of wetland biodiversity conservation into sector polices, plans and activities; (iii) non-sustainable financing of WPAs, and (iv) need to increase the protected wetland area. These activities also lead to increased protected wetland area in Anhui.


Output 1.1: WPA system is expanded to meet the target.

136. The current area of the WPA system in Anhui is 353,200 ha or 49.5% of the remaining natural wetlands in the province. To enhance wetland protection the area will be increased by about 80,000 ha. AFD have identified a number of important priorities for wetland area expansion, however the most pressing is to expand the area of protection for the Chinese alligator population that is now far above the carrying capacity of the current Chinese Alligator NNR. The Project will assist the AFD in identifying suitable area(s), in dealing with conflicting land use issues in selected areas, mitigating threats that will inevitably exist in new protected areas, and in assisting in developing a long-term plan for conservation of this rare and endangered species and for reintroduction into the wild.

137. The Project will assist the AFD in identifying at least 3 wetlands of provincial or local levels to be promoted to national PAs (nature reserves or wetland parks) with sound master planning and resource surveys and at least one NR (10,500 ha) with necessary information and documentation to be listed as a Ramsar site and endorsed by SFA and Government of China.

138. Expansion of the wetland area will also be part of a larger PA strategy that the Project will support with the AFD and in concert with the AED so that the plan supports the objectives of the provincial BRCUP. This will include the development of a Wetland Conservation Plan of Anhui Province. This plan will provide the long-term vision that is currently not well articulated in the AFD planning approach to wetlands. The plan will anticipate both traditional conservation objectives as well as identifying human resources issues, investment opportunities for PPP and co-management arrangements, investments required for long-term habitat restoration, poaching interdiction strategies, facilities upgrading requirements, ecotourism strategies, and how the public, local residents and local officials will be involved in NR management. The Plan will also provide short, medium and long-term financial requirements for plan implementation.

139. Also, in support of enhanced wetland planning and management at the provincial and NR levels the Project will develop an operational, geo-referenced database and information system to be used for routine WPA management at provincial and local levels. The Project will facilitate the establishment of a wetland PA data sharing (e.g. on-line database) based on information collected from routine monitoring and reporting system. This system will contain all relevant biophysical, cultural, social, economic, enforcement, and threat information required for nature reserve management, assessment of progress, and forecasting. It will be integrated with the information sharing system to be developed at the national level, however the national system is unlikely to have the detail required for local NR management. The system will be implemented first in Shengjin Lake NNR, then extended to other wetlands in the province and to the Management Centre of the Provincial Forestry Department. Lessons and information will be shared within the Province and disseminated via the CBPF-MSL Programme.

Output 1.2: Strategies for incorporating wetland biodiversity conservation considerations are mainstreamed into policies and guidelines for production sectors.

140. This output will focus on building institutional capacity for inter-sectoral coordination in order to mainstream protected area management objectives into provincial and sectoral policies and plans (such as fisheries and aquaculture, agriculture, land use, tourism, infrastructure development planning, water resources management, etc, with local governments). Lack of


mainstreaming into sector policies, plans and actions has been identified as a major problem that leads to conflicting uses within PAs and leads directly to threats to wetlands such as over-fishing, poor water regulation practices, etc. Based on a needs assessment, the Project will develop guidelines, standards and codes of best practice for those sectors that have the greatest impact on wetland PAs; these are the water, agriculture, lands, fisheries, transportation, and tourism sectors. These outputs will be accompanied with training, demonstrations, and study tours so that senior officials in each sector have a better appreciation of the role of wetlands in the sustainable performance of each sector. One end result of this activity is to ensure that PA system is mainstreamed into the development of the 13th Provincial Five Year Plan both at the provincial level and in sectoral five-year plans that respond to the provincial plan.

Output 1.3: Provincial regulatory frameworks for wetlands are adopted, ensuring protection of WPAs.

141. The AFD has developed draft wetland regulations for Anhui Province. These are currently being discussed in committee of the Anhui PPC. The Project will develop a training and educational package that will be distributed widely both to officials, to the media, to the public, and to schools. The packages will be tailored to the particular audience; for example, the package for senior officials will include the key legal elements of the regulations whereas the package for schools will be mainly focused on raising awareness of wetlands and the need for, and role of, wetlands regulations. Towards the end of the Project it will also assist the AFD in revision of the draft regulations so that revised regulations reflect lessons learned during the project.

Output 1.4: Provincial level PA financing strategy with special focus on Shengjin Lake NR improves financial sustainability.

142. Under-funding of wetlands relative to forest PAs is an established fact. The Project will catalize an additional core investment by government of 30% above current financing both for operations and for infrastructure. In addition to core funding, the Project will develop other revenue sources through (i) a revenue stream from eco-tourism, and (ii) investment opportunities by the private sector using PPP arrangements that are also linked to eco-tourism. This will rebalance the current tourism model where almost no revenues accrue to the NRs, to one where revenues are shared and tourism operators invest in the conservation activities that underly the tourism activity. The example of Little Dragon Mountain Wetland Park in Caizi Lake of the Anqing WPA is one that the PPG team have had direct involvement in, and is one that can be replicated in Shengjin Lake and in other WPAs.

143. The perception that wetlands have no economic value will be directly confronted in this Project by monetizing the economic value of wetlands goods and services through a wetlands valuation. There are several valuation procedures currently in use in China which the Project will evaluate together with advice from the National MSL project and guidance from GEF/STAP26 to ensure a systematic approach to wetlands valuation within the MSL programme. The importance of this activity lies in the economic model now prevalent in China that places value only on those components that have a demonstrated economic contribution to the economy. The fact that wetlands are chronically under-resourced relative to forest PAs demonstrates this point insofar as

26 STAP. 2010a. Payments for Environmental Services and the Global Environment Facility: A STAP advisory document.


forests are now seen as contributors to the local and regional economy. This activity will be focused on the Shengjin Lake NNR which will be used to develop and test the valuation model. The outcome will be part of the demonstration to other sectors that wetland conservation is worth (in ecomomic terms) investing in for conservation purposes. Combined with an analysis of carrying capacity of the lake, the valuation process will allow the NR to establish an evidenced-based approach to setting catch limits, licensing fees, tourism revenues etc., as a basis for sustainable financing. The example for Shengjin Lake NNR will then be used as training for managers of other wetland PAs in the application and use of wetland valuation and carrying capacity analysis as the basis for future planning. It will also form a key Knowledge Product of the Project. The valuation product will be designed with the clear objective of mainstreaming wetland PAs (and the PA system as a whole) in the 13th five-year development plan with accompanying communication products especially targeted for policy makers and for mass media.

144. The activities noted above in support of the four outputs of Outcome 1 will be supported by a comprehensive training programme designed and targeted to the different audiences covered in Outcome 1. This will include training at the provincial level to inform policy-makers and senior sectoral managements about the value and ecological importance of wetlands, in integrated and/or coordinated management requirements and the methods to accomplish this. Training will also accompany the development of guidelines, codes of good practice, and targets for wetlands biodiversity conservation for all relevant sectors so that mainstreaming is effective and verifiable. Relevant agencies include the provincial Development and Reform Commission, finance department, water department, environmental protection department, forestry department and Provincial People’s Congress, as well as officials of Chizhou City. The topics will cover: wetland ecosystem management concept, domestic and foreign best practices, legislation and policies on wetland conservation, sector standards and practices, etc. Training in the results and eonomic implications of wetland valuation will be designed to raise the awareness of senior policy makers in all sectors of the economic advantages that accrue to the local and provincial economy from wetland goods and services. This will be essential to bring wetland investments into line with those in the forestry sector and to bring the downstream benefits of a more enthusiastic and broader sectoral participation in wetlands conservation and management.

Outcome 2: Strengthened basin-level coordination and implementation of integrated management ensures sustainability of WPA system

(Total cost: 3,924,400 US$; GEF 466,600 US$; Co-financing 3,457,800 US$)

145. Whereas Component 1 provides tools for addressing the systemic problems in capacity at provincial levels, Outcome 2 focuses directly on management mechanisms at the basin level. Many (but not all) of the threats to wetlands such as soil erosion, pollution, undesirable land use change, etc. originate in the upper reaches of the watershed. In many cases, (e.g., water use within the Lake basin and subsequent impact on lake water levels; infrastructural and economic developments upstream that can completely change the character of the basin) these threats that originate away from the immediate boundary of the nature reserve or lake pose serious threats to globally significant and other biodiversity within the WPA sites. Many of these cannot be controlled in a five year period however the focus of this Outcome is to develop and implement the steps required that identify the key threats, establish the measures to control these, assign


responsibilities to the relevant sectors through a coordinating mechanism, and to implement a monitoring system using the EHI methodology to monitor the effects of these measures over the longer term. The features of this outcome are (i) developing and implementing an integrated basin plan that is accepted and implemented by all relevant sectors, (ii) a ‘coordination mechanism” is established that guides planning and management at the basin level, (iii) monitoring mechanism, and (iv) a system for knowledge management and exchange across WPAs in the Province and with the MSL programme is established. These outputs will achieve a sustainable approach to basin management that will protect downstream wetland areas. An additional emerging threat is the possibility of uncontrolled mass tourism, especially in Shengjin Lake basin which is an historically significant site of natural beauty and which the city of Chizhou regards as the centerpiece of its future ecotourism program. Therefore an important part of the basin plan will be a sustainable eco-tourism component.

Output 2.1: New integrated Shengjin Lake basin plan is accepted by sectors is in place and replicated in at least two additional nature reserves.

146. The project will support the development of basin-level integrated planning methodology leading to the preparation and adoption by Chizhou City government of a basin level management plan for Shengjin Lake basin. Based on this experience, basin planning will be extended to at least two other WPAs along the Yangtze River in Anhui Province. Specific components of the Plan will include such aspects as: (i) monitoring and surveys to generate information (such as data from bird surveys, biological and hydrological monitoring, land use, pollution sources, etc.); (ii) establishing priorities, targets and standards to be achieved for maintaining a healthy wetland ecosystem; iii) actions to regulate and monitor the impacts from various land uses from the upper reaches in the basin (e.g. to control erosion and reduce pollution from fertilizer and pesticide use); (iv) water level management; (v) monitor and allocate water uses (where required); (vi) allocation of responsibilities amongst the sectors; (vii) a reporting system to track the actions and outcomes of sector actions in the basin, and (viii) performance indicators to track the implementation of the plan.

147. A key contribution of this plan will be to prescribe and enforce sustainable land uses and practices for different sectors within the basin especially in the upper reaches (e.g. grazing; use of fertilizer and pesticides; construction of infrastructure etc.). The plan will also help evolve a locally acceptable system for water management involving water level control for wetlands habitat, for fisheries requirements, and for flood control. A water level control plan will also be essential for successful rehabilitation of aquatic habitat. This management plan will receive and incorporate guidance from the sectoral planning guidelines developed in Component 1.

148. A critical part of the basin plan will be an eco-tourism plan for Shengjin Lake NNR and for the basin as a whole. This will be developed with the participation of Chizhou Tourism Commission which has requested the Project's assistance in developing a sustainable eco-tourism management plan for the basin. This will require identifying the eco-tourism opportunities ('sight' tourism and 'activity' tourism), identifying and mitigating specific threats associated with tourism (e.g. solid and liquid wastes) including identification of seasonal or annual exclusion zones. This activity is closely linked with an income generation model that will be developed in Component 1. The basin tourism plan will be integrated into the Tourism Master Plan to be implemented under the leadership of the Chizhou City government. The eco-tourism plan in NR


experimental zones not only covers necessary facilities including a visitor center (also serving as an exhibition and education hall), bird-watching hides, wooden walkways, and recreation sites, but also includes tour routes and interaction activity design, marketing and public environmental education. Ecotourism guidelines will then be applied to at least three additional WPAs.

149. As part of the methodological development both for the basin-level plan and for the ecotourism component, the Project will capture 'lessons learned' in a set of manuals that will form part of the knowledge sharing activity within Anhui and as part of the MSL programme.

Output 2.2: Cross-sectoral basin level coordination mechanism is in place.

150. A basin-level consultative coordinating mechanism will be established for Shengjin Lake and other WPAs along the Yangtze River and their watersheds to facilitate decision making on issues that affect WPAs such as dam and sluice gate operation, agricultural and livestock practices to reduce impacts on wetland PAs at the basin level, decisions on fishing quotas and caged areas, etc. The Project will support the nascent inter-sectoral coordinating group (Leading Group) of Chizhou Prefectural government that will be led by the Vice Mayor in charge of forestry and agriculture. The purpose of this Leading Group is to ensure that subordinate sector bureaus participate in joint management of the basin, and can enforce basin level actions such as water allocation, dam operation, pollution control, land use planning etc. The Project will recommend that this coordination entity should have powers to decide on and enforce key water and land use issues within the Shengjin Lake Basin. The project will develop detailed ToR and operating guidelines for the Coordination Entity. This entity should be tasked to supervise and review studies and proposals including proposals for dam operation, pollution and erosion control. It will have the responsibility to ensure that the combination of projects and investments allowed to move forward within the basin represent a sustainable mix. This coordination entity will be represented on the project steering committee for the Shengjin Lake NNR component of this Project (Component 3).

Output 2.3: Systems for knowledge management and exchange across WPAs in the Province and with the MSL programme.

151. Most of the activities in all of the three Outcomes of the Project will lead to important new understanding of interventions that will lead to successful oucomes; these can be replicated in Anhui and elsewhere in China. Theses 'lessons learned' will be captured in guidelines or other methods documentation that can be shared across the MSL programme. These knowledge products will also be made generally available though the Project and/or the SFA or UNDP website that will support the MSL programme.

Outcome 3: On-site threats to biodiversity at the Shengjin Lake NNR and adjacent WPAs are reduced.

(Total cost: 11,893,073 US$; GEF 1,520,200 US$; Co-financing 10,373,773 US$) Output 3.1: Shengjin Lake NNR Management Plan is developed and approved by the AFD.


152. None of the wetland PAs have Management Plans, in part because none are legally required. Yet, the State Council's 2010 'Announcement' on NNR management instructs NNRs and, by extension, other PAs to include a more comprehensive approach to PA management. Therefore, this Project will pioneer the process of developing comprehensive PA management plans in Anhui by, initially, focussing on Shengjin Lake NNR, then replicating this process in two additional wetland nature reserves. Management plans are different than basin management plans; the latter focus on managing external threats to WPAs whereas a NR management plan expresses a vision for the future of the NR and focuses on what is required to achieve that vision. Therefore, a management plan includes all aspects within the NR that are (i) under the jurisdiction of the NR manager, and (ii) those aspects that intersect with conservation management but which are not under the direct control of the NR manager.

153. Recognising that the powers of the forestry department in wetland management are mainly limited to one of coordination amongst sectors, the management plan will be an inter-sectoral document that takes a holistic view of the reserve and includes all activities that impinge on the long-term sustainability of the reserve. The Project will develop a methodology and content for a modern approach to NR planning that: (i) uses intersectoral consultative mechanisms to identify a future vision for the reserve and how that vision is to be addressed by the various sectors; (ii) clearly articulates the threats that need to be addressed, the mechanisms for addressing those threats, and the responsibilities of the various sectors in threat management/reduction; (iii) contains an agreed set of actions for near, middle and long-term time frames to be undertaken by all sectors, together with agreed targets, including integrated coordination and management of Huangpen Sluice for ensuring optimum water level during the bird-wintering period27, (iv) an ecotourism sub-component within the plan that sets tourism objectives and identifies how sustainability of tourism can complement conservation objectives; (v) options for sustainable financing including potential for PPPs, external investments and other types of partnerships; (vi) types of priority research that are required to support the long-term NR objectives and how research programes should be implemented; (vii) a monitoring and reporting system that is shared by all sectors; (viii) a communication plan, and (ix) a set of performance indicators by which the management plan can be assessed during implementation.

154. A compendium to the management plan will contain actions that are the primary responsibity of the NR manager. This will include include: (i) zonation of different uses and management types – as per the national guidelines for WPA developed as part of the national project to explore the optimal planning scheme for WPAs; (ii) effective governance and law enforcement e.g. to control poaching, fishing (shared with the fisheries bureau), harvesting of wetland biomass, etc.; (iii) habitat maintenance and restoration for wintering birds, especially endangered species such as hooded crane and oriental white stork; (iv) a long-term monitoring plan that focuses on all parts of the ecosystem and responds to the Environmental Health Index for each nature reserve; (v) facilities maintenance and life-cycle management system for all critical facilities in the NR; (vi) community participation and co-management schemes, and (vii) human resources management component that will identify capacity requirements as a basis to develop a long-term training plan to upgrade and maintain essential skills.

27 Useful guidance on water allocation is provided in a variety of documents, including the Ramsar Convention Secretariat, 2010.

Water allocation and management: Guidelines for the allocation and management of water for maintaining the ecological functions of wetlands. Ramsar handbooks for the wise use of wetlands, 4th edition, vol. 10.


Output 3.2: Fishing quotas based on ecological carrying capacity are established and accepted by the Fisheries sector.

155. Over-fishing of wild fish is partly caused by lack of understanding of the concept of 'carrying capacity' that can ensure a sustainable fishery. The Project will develop a methodology and undertake a scientify survey of carrying capacity for Shengjin Lake. This will provide a technically sound basis to recommend fishing quotas that will optimize fish harvesting yet conserve the fish stock. It will be integrated with the water level management plan so that carrying capacity will reflect sluice operations and migration of fish in/out of the Yangtze River through the sluice. It also will privide the basis for valuing the economic contribution of a sustainable fishery. Overfishing is, however, accompanied by large areas of the NR that are enclosed for caged fishing. Therefore, these two issues will be addressed together. Using a co-management arrangement with the Shengjin Lake cooperative fishing company the Project will initiate a multi-year program of habitat restoration/habilitation in the southern and central parts of the lake. The Project will identify manageable areas of the lake (e.g. bays) that can be temporarily fenced to exclude fish and crabs (and fishermen) so that natural vegetation can recover. In areas where the natural aquatic vegetation has been mostly or totally destroyed by crab predation the Project will work with scientists from Hefei University to expand their methodology of habitat restoration used elsewhere in Anhui28, to Shengjin Lake. In particular, the aquatic plant Vallisneria spinulosa will be re-introduced. The Project expects that the crab fishery will be closed permanently in the central and southern parts of of the lake29 under this initiative. Additionally, the NNR will procure parts of the nearshore area of the lake and adjacent riparian areas as demonstration sites for habitat restoration for waterbirds. These two approaches to habitat restoration/rehabilitation will have a significant impact on increasing viable waterfowl habitat. These actions will lead to important knowledge products, including one on carrying capacity methodology and a second on habitat rehabilitation/restoration needs assessment methods and intervention procedures.

Output 3.3: Capacity strengthening tools developed and operational for WPA staff and local communities.

156. Capacity has been identified as a major impediment to successful PA management. To build capacity the Project will untake a wide range of capacity building activities. This will include:

i. The project will form a small working group involving AFD and AED management staff to review the standards and develop recommendations for their application towards improving professional competencies for the provincial protected area system through their institutionalization and long term use. The project will provide support for adoption of the professional competency standards, including reviewing and advising on job descriptions, and providing training using external providers to address immediate short term needs for implementation of technical activities, such as monitoring and evaluation for the PA system strategy and action plan.

28 For example, at an experiment level in Caizi Lake of the Anqing WPA. 29 Even though part of the core zone, the north section is leased by local government to a commercial fishing company until 2015;

there has been no discussion thus far on extension of the lease.


ii. The capacity of AFD and AED for inter-agency coordination for the PA system will be strengthened through team-building, exposure to international models of intersectoral collaboration, and domestic training including communication and negotiation skills, conflict management, etc. based on capacity assessment results and professional competency standards in Component 1.

iii. A new biodiversity monitoring plan that will be developed by the Project requires the development of capacity to monitor and interpret critical biodiversity information through monitoring and surveys (e.g. data from bird survey, biological and hydrological monitoring). These will be used to help gauge the health of the wetland ecosystems in the WPAs. It will also identify and set targets and standards as determined by key indicators (e.g. biodiversity status; vegetation cover; water discharge levels etc.). These data are essential for informing the development of the NR management plan (Output 3.1), and for assessing the effectiveness of plan implementation through the Environmental Health Index.

iv. The design, construction and demonstration of a small 'artificial' wetland (using an existing wetland channel) that can manage the domestic sewage of the new NNR Management Centre that is being constructed on the shore of Shengjin Lake. The purpose is to build capacity to design specifications that can be used by riparian communities around Shengjin Lake to reduce domestic sewage that is now directly discharged into the lake. Demonstrating this at the NNR Management Centre, together with its important role as a visitor centre, will maximize the visibility and impact of this demonstration.

v. Training in a wide variety of skills is required by PA staff. The Project will carry out a training needs assessment in the first few months of the Project in the six WPAs in order to provide more specificity. Generally, in the PPG period, the following training needs at the PA level were identified: management training; planning and basin management; planning and PA management; biodiversity monitoring in general and migratory waterfowl monitoring and reporting in specific; use of media to mobilize social action against, for example, poaching; habitat management; ecotourism management; communication and presentation skills; community co-management objectives and methods; media interaction; financial planning; business development; managing cross-sectoral issues; etc.. As many of these training needs will have commonality across the MSL programme, coordination of training with other MSL projects will be undertaken to maximize interactions amongst component projects and to reduce training costs.

vi. Capacity includes the technical requirements to meet PA management needs. NRs are currently very under-equiped. The majority of equipment and facilities required under this Project will be co-financed however the Project will lead in the identification and prioritization of equipment and facilities that are required to implement the (i) basic functions of NR management, and (ii) enhanced functions as these become better identified under the NR management planning activity. Currently, for example, Shengjin Lake NR (nor any of the other WPAs) has neither boats nor boat operators, nor any training in safe boating operations. It has no facilities for remote surveillance of wildfowl or for poaching interdiction. There are four observation stations located around Shengjin Lake but all need to be upgraded to handle the large numbers of tourists that come during the migration season and all need improved communications facilities. Monitoring facilities will be developed to collect data and record the status and changes of water, plants, water birds. In all cases NR staff will be trained in their use. There are few facilities serving ecotourism


such as board walks, blinds for observing birds, observation towers, etc.. These investments will be part of a larger strategy of sustainable financing so that the tourism component is self-supporting by the end of the Project.

vii. Community co-management arrangements will be an important vehicle for including local residents in the planning and management of WPAs. Lessons on community co-management can be learned from a variety of sources including that of the GEF/STAP30. A community co-management committee will be established with riparian villages and the NNR manager. Capacity will be developed so that this committee can meet at least once every year to develop rules on migratory birds protection in areas under the control of each village. This will lead to an increased community role in decision-making on the sustainable use and management plans of the NR; participation in patrolling, monitoring and enforcement of PA regulations including community patrolling. With development of communication flyers, brochures and textbook for local middle schools, and the establishment of specimen exhibition for fauna and flora of the lake, the NNR organizes communication activities to build awareness and local capacity in areas such as non-timber products collection, bird-watching, patrolling, and fish monitoring. This will be supported by the building of capacity at the village level to fully participate in NR planning and management as partners and co-managers in key areas of sustainable wetlands biodiversity conservation. Capacity will be developed at the community level to better understand the how 'sustainability' is transferred to actions in the NR and how this intersects with community interests. Capacity building will also focus on community resource use and ways to diversify local incomes. In addition, to ensure that local communities are able to participate and benefit from these activities, targeted capacity development will be designed and implemented (e.g. agreeing on community co-governance mechanisms for wetlands, assigning, monitoring and enforcement of sustainable use thresholds) to strengthen capacities for community-based sustainable management of lake NRs.

viii. With reduction or elimination of commercial fishing in parts of the NNR, a major task of the Project is to provide practical training, technical guidance, and support that leads to alternative livelihoods for affected persons and families. Alternative livelihoods under discussion by local government, includes eco-agricultural tourism, growing of greenhouse vegetables in the Donghuyu diked area, and fish-house tourism in Zhangxihe. The NNR leverages the technical and HR advantages of its own, and of universities and research institutions that work with the NNR, to promote practical S&T achievements and provide S&T training and technical guidance for the local people. These technologies include those required for growing greenhouse vegetables, planting commercial forest species, animal raising, and processing wildlife and wetland products, and best practices for raising shrimp and snails in paddy fields. At this time, the blend of options available to the government has not been determined and awaits critical baseline information, such as the carrying capacity assessment, that will be done by the Project and that will refine the options for improved livelihoods. It is clear that the government places high priority on improving the socio-economic situation with the assistance of this Project.

30 STAP. 2010. The Evidence Base for Community Forest Management as a Mechanism for Supplying Global

Environmental Benefits and Improving Local Welfare: A STAP advisory document


ix. While none of the topics of training to be delivered to forestry and sector officials has inherent gender bias, the Project will emphasize gender balance during training sessions31 and the importance of gender equity in the workplace. Capacity development at the community level will be inclusive, especially in regards to livelihood training that may have a disproportionate impact on women.

PROJECT INDICATORS 157. The project indicators are contained in Section II / Part II (Strategic Results Framework)

and include a number of 'SMART' impact (or ‘objective’) and outcome (or ‘performance’) indicators and targets. An elaboration of the key indicators is shown in Table 9.

Table 9: Elaboration on Project Objective, Outcomes, Indicators and Targets.

31 To the extent that it is possible with the current staffing complement that is predominantly male.

INDICATOR EXPLANATORY NOTE

OBJECTIVE: To strengthen the management effectiveness of the wetland protected area system in Anhui in response to existing and emerging threats to the globally significant biodiversity and essential ecosystem services

New wetland protected areas coverage increase by 80,000 ha.

The current protected wetland area coverage of 353,200 ha or 49.5% of natural wetlands in the province will be increased by 80,000 ha (47%) over the life of the Project.

Increase in METT for 6 WPAs in the province

The METT scores for the six WPAs in Anhui will increase from an average of 54% to 76.5% through a combination of training, technical interventions, and enhanced interaction and coordination of NR management with riparian communities and other sectors.

Improvement in financial sustainability of the Provincial PA system

Core operations funding to wetlands ($ 1,077,000) and infrastructure funding ($3,970,000) will each be increased by 30%. Additional funding from income-generation and co-financing from PPP arrangements in AFD-managed WPAs will be established (baseline is zero) through placement of appropriate business models.

Outcome 1: Provincial capacity for PA management is enhanced and pressure on wetland systems are reduced by provision of safeguards and legislation that provide protection from sector practices, by increased and sustainable financing of the PA system, and by increasing the protected wetland area in the province.

Strategies for incorporating wetland biodiversity conservation considerations into sector policies and guidelines for production sectors

The Project will promote mainstreaming of wetland biodiversity conservation into production sectors by use of standards and guidelines of best practices in other relevant sectors. This will be accompanied by training provided to other sectors and to key provincial policy makers in the Department of Finance and the Provincial Development and Reform Commission.

Provincial regulatory frameworks for wetlands adopted ensuring protection of WPAs

Provincial regulations have been developed but are yet to be approved by the Prov. People's Congress. The Project will facilitate an improved understanding of the rationale and content of the draft regulations to the PPC sub-committee, will recommend updating these towards the end of the Project, and will provide training to AFD and others in content and application of the regulations when approved.

Provincial level PA financing strategy with special focus on Shengjin Lake NNR improves financial sustainability of WPAs.

Increases in core funding will be supplemented by additional revenues to be generated through PPPs and ecotourism revenue. For Shengjin Lake NNR, the objective is that costs related to tourism activities and infrastructure should be fully financed by eco-tourism revenues by the end of the Project. The Shengjin Lake Management Plan will include a financial plan that encourages revenue-generating linkages with the private sector.

Economic valuation of Shengjin Lake NNR is quantified with a growth target of 10% over the life of the project.

Economic valuation is currently regarded as 'zero' by the government. The project will demonstrate that economic valuation is substantial and can be increased by at least 10% over the life of the project through improved comprehensive management. The purpose of this valuation is to ensure that wetlands are accepted as part of the 'economic order' which drives most decision-making in China.

Outcome 2: Integrated management systems established for collaborative planning and management for managing threats at the


158. The project may however need to develop a certain number of process-oriented indicators to compose the ‘M&E framework’ at the site level. Process indicators allow for improved day-to-day management of the project for all three outcomes. It is envisaged that the project’s overall

basin level.

Establishment of an effective basin level cross-sectoral institutional mechanism with representation from conservation, production sectors and local government

The Project will pioneer a 'Leading group' mechanism that will have the authority to coordinate plans and actions across sectors at the level of the river basin. This will be developed first in the Shengjin Lake basin which is entirely within the control of Chizhou City government. The Leading Group will be represented in the Project Steering Committee for the program that will focus on Shengjin Lake (Component 3) NNR. The Shengjin Lake basin model will be raised upwards to provincial authorities as a mechanism that should be applied widely within the WPA system in the Province to improve not only to systematically reduce WPA threats from the basin, but also as a more effective approach to manage basin development with reduced conflicts amongst sectors.

Basin Plan for Shengjin Lake basin that provides an enabling framework for managing multiple uses and guides production sector actions is developed and approved by Chizhou City government.

A complete, inter-sectoral basin level plan will be developed for Shengjin Lake basin. The Project will develop the methodology and content in concert with an intersectoral planning group that will be assembled for this purpose. The Plan will contain objectives, actions and costs, priorities, responsibilities by sector, accountability and oversight mechanisms, targets, public relations and communication, and a performance monitoring component. The plan will identify short, medium and long term targets and actions.

Manuals for application of basin level integrated planning developed and applied in at least two other WPAs

The output of basin planning will be knowledge products that describe the objectives, methods, and outcomes of basin-level planning. This will also be the case for many of the other activities such as NNR Management Planning, habitat rehabilitation, etc.. All of these will result in manuals that will allow sharing of experiences across Anhui and within the MSL programme. The application of basin planning will be applied to at least two other WPAs that will be selected during the first year of the Project.

Application of new basin-level plan: Sustainable eco-tourism plan for Shengjin Lake NR and basin.

The Project will assist the NNR in developing a sustainable eco-tourism plan within the NR, and will expand this assistance to the basin in support of an integrated eco-tourism plan that will be adopted into the Chizhou City Master Tourism Plan. The part of the plan that applies to the NNR will be a subcomponent of the NNR Management Plan (Component 3).

Outcome 3: Strengthened operational capacities reduces on-site threats to biodiversity in Shengjin Lake NNR

Shengjin Lake NNR Management Plan is developed an approved

A regulatory deficiency is the absence of a requirement for a long-term management plan for NRs even though the 2010 'Announcement' of the State Council calls for many of the actions that would normally be contained in a management plan. Therefore the Project will develop the methodology and content of a full Management Plan for Shengjin Lake NNR. The Management Plan will include all topics that concern NR management, including those that are under the control of other sectors such as the fishery. The Plan will be developed together with other sectors so that comprehensive management of the NR can proceed in an integrated and coordinated manner.

Biodiversity and ecosystem health improves.

As a result of Project interventions the EHI for three WPAs will be improved as: Shengjin Lake NNR 45% to 56%; Anqing NR 46% to 49%; Shibasuo NR 63% to 70%

Reduced pressures from fishing improves and key wildfowl habitat in Shengjin Lake is recovered. Populations of key species such as Oriental White Stork, Siberian White Crane, Hooded Crane and Swan Goose are stabilized.

100% of Shengjin lake fisheries habitat is currently degraded and 50% is seriously degraded from over-fishing and pollution from caged fishing. The Project will reduce fishing pressure by restricting caged fishing in the south and central parts of the lake with the objective of banning caged fishing in these two areas. The Project will develop sustainable wild fishing quotas based on an assessment of sustainable carrying capacity. 30% of wildfowl habitat areas in shallow water and riparian areas will be restored; 50% of co-managed near-shore fisheries habitat will be restored. Restoration will use the experience developed experimentally in habitat restoration in Caizi Lake in the Anqing NR.

Economic benefits to local communities in Shengjin Lake NNR increase by 10% from baseline (to be established in Year 1 of project).

Apart from local fishing there is little economic benefit nor downstream social benefits accruing to local residents from Shengjin Lake NNR. Through comprehensive planning and restoration activities, together with an aggressive ecotourism program, the economic benefits will increase from the present low level (baseline to be established in Year 1 of the project) by at least 10% for communities in the NNR. Social benefits will follow from improved economic conditions, therefore the indicator is expressed in economic terms.

Improved site-level METT scores for Shengjin NNR

The consequence of capacity development, basin and NR planning, improved financings and renewed facilities and equipment will improve the site-level METT score for Shengjin Lake NNR from 45 to 90.


M&E framework (see Part IV below) will build on UNDP’s existing M&E Framework for biodiversity programming.

159. The organisation of the logframe is based on the general assumption that: if (Outcome 1) there is improved provincial capacity for protection and management of Anhui's ecosystems through expansion, consolidation and strengthening of the provincial PA system and increased and sustainable financing and improved management systems; and if (Outcome 2) strengthened protection, participatory management and restoration of NRs is to be achieved through basin-level management so as to control external threats and if (Outcome 3) increased capacity at the NR level reduces threats to WPAs; then (Project Objective) the management effectiveness of the wetland protected area system in Anhui will be strengthened in response to existing and emerging threats to the globally significant biodiversity and essential ecosystem services. This logic is based on the barrier and root-cause analysis carried out during the PPG phase (refer to Section I, Part I, chapter on Long term solution and barriers to achieving the solution).

RISKS AND ASSUMPTIONS

160. The project strategy, described in detail within this project document, makes the following key assumptions in proposing the GEF intervention:

• Baseline conditions in the selected areas can be extrapolated with high confidence level to other WPA areas of Anhui Province and lessons learned can be successfully disseminated outside of Anhui.

• Increased awareness, integrated planning, and enforcement capacity, will lead to a change in behavior leading to reduced wetland threats.

• Mainstreaming wetland biodiversity conservation will gradually become a national priority as knowledge and information is made available.

• Valuation of wetlands goods and services is a viable way of inserting wetlands into the economic mainstream of the country, as a basis for acceptance of wetland importance by other sectors, and the basis for developing a sustainable model for wetland conservation.

• Senior Forestry administrators will embrace a more modern and inclusive approach to wetland planning and management.

• Shengjin Lake and other WPAs are not degraded to the point that they cannot be restored.

• Community leaders and sector leaders will accept an evidence-based approach to carrying capacity as a basis to design sustainable use quotas (e.g. fishing).

161. During the PPG phase, projects risks were updated from what has been presented at the PIF stage. They were further elaborated and classified according to UNDP/GEF Risk Standard Categories 32 , and assessed according to criteria of ‘impact’ and ‘likelihood’ (Box 1) and presented in Table 10.

32 Includes the following eight categories: environmental; financial; operational; organizational; political; regulatory; strategic; and other.


Box 1. Risk Assessment Guiding Matrix

Impact

Likelihood

CRITICAL HIGH MEDIUM LOW NEGLIGIBLE

CERTAIN / IMMINENT Critical Critical High Medium Low

VERY LIKELY Critical High High Medium Low

LIKELY High High Medium Low Negligible

MODERATELY LIKELY Medium Medium Low Low Negligible

UNLIKELY Low Low Negligible Negligible Considered to pose no

determinable risk

Table 10: Project Risks Assessment and Mitigation Measures Identified Risks

Category Impact Likelihood Risk Assess

Elaboration of Risks Mitigation Measures

Mainstreaming wetland PAs into sectoral policies will be hindered by lack of incentives for other sectors and poor enforcement of agreed priorities and plans that may be incompatible with larger urban and industrial development, land conversion or other development programmes.

Political High Moderately likely

Medium

Projects that have no immediate financial benefits for other sectors often have difficulty getting traction in sector response. Conflicts between the priorities of different sectors present particular problems for wetlands, especially as each sector has quite different views of the value of wetlands from their sectoral perspective. Fisheries (Fisheries Bureau) and water level control (Water Bureau) are usually the two major obstacles to achieving a harmonized approach to WPA management.

The project will be executed by the provincial government ensuring the necessary high-level commitments to the project objectives. The project will support enabling institutional framework for mainstreaming, development of tools for mainstreaming such as the consolidated information data base on wetland PAs, wetland PA system review, and economic valuation studies. Sector specific standards and safeguards development will offer a practical measure for improving sector practices. Efforts will be made to develop viable partnership between different (and sometime competing) agencies. Ecological compensation promoted by the Government is expected to provide additional incentives.

Government sectors may not provide appropriate level representation or cooperation may not be forthcoming

Political Critical Unlikely Low

A high-level intersectoral coordination committee has been established both at provincial and municipal levels. We anticipate the risk likelihood to be 'medium' in the early stages of the project, and reducing to 'unlikely' by mid-way in

The establishment of appropriate multi-sectoral coordination committees at the Province, basin and NR levels will be important contributors to the outputs under the three respective components. These will involve active


Identified Risks



from sector representatives in the Provincial and Municipal Coordination Committees

the project as the benefits are better understood.

dialogue with sectoral stakeholders at the highest level at each level to ensure full ownership and participation. Further, the project will make sure to include a high ranking Provincial Government Official who has jurisdictional supervision over various line departments (such as the Planning Department) on the provincial-level committee. Building capacity and awareness among officials regarding wetland resources and biodiversity, their national and global values, and the link to long-term economic interests of the sectors will capture sectoral interest.

Water quality seriously deteriorates beyond the ecological threshold due to upstream activities including the urban and rural development and dam operation.

Environ-mental

Critical Moderately Likely

Medium

Poor water quality is driving some of the biotic changes in the lake. Without serious action there is the potential that Shengjin Lake could 'flip' from macrophyte (good) to algae dominated (disastrous) condition. This is a serious issue for this lake and which officials should take very seriously when properly informed.

The Project will recommend remedial actions as part of integrated basin planning that will reduce pollution sources. Rehabilitation of aquatic habitat will increase water purification capacity. The fishing cooperative in the south and middle parts of the lake have a vested interest in the success of these actions.

Severity of climate change induced floods and drought may undermine conservation efforts promoted by the project through extreme changes in water level and lake bottom conditions.

Environ-mental

Medium

Moderately Likely

Low

Currently, climate change impacts are largely offset by water level control and flow control by the upstream Three Gorges dam. The impacts are not likely to be more severe than those already imposed by man-made interventions in water management however long-term drought would create major problems.

Given that climate change impacts are likely to increase over the long term, the project will assess these changes and propose actions and approaches to increase ecosystem resilience. In addition the water management plan to be developed will include sluice gate operation guidelines and adaptive actions in the event of regional drought.

Local and provincial agencies do not take river basin planning and management seriously and

Strategic Low - Medium

Moderately Likely

Low

The IWRM in China has thus far failed mainly due to: (a) lack of a legislative base for such an approach, and (b) perceived threat to traditional privileges of agencies’ mandates and

The Project will use Shengjin Lake basin as a prototype to demonstrate the method and benefits in taking the basin approach.

Reduction in fishing


Identified Risks



local government refuses to decrease fishing pressure.

interests. This same situation is likely to exist in Anhui, but less so in the case of the Shengjin Lake basin insofar as this lies within one municipal jurisdiction where there appears to be political will to make this a reality.

Township governments depend on levies on commercial fishing companies for their revenue. Higher level governments may not be willing to compensate lower governments for loss of revenue and therefore might not intervene in ensuring a reduction in fishing pressure.

pressure is a negotiated process. In Shengjin Lake NNR there is already movement by local government to reduce fishing pressure. The Project will provide incentives to accelerate reduction in leased areas in at least half of the lake.

INCREMENTAL REASONING AND EXPECTED GLOBAL, NATIONAL AND LOCAL BENEFITS

162. The project seeks to improve WPA management effectiveness from the low end towards the effectively managed end of the spectrum in order to significantly reduce threats to biodiversity. The incremental approach of the proposed project is as follows: The Government of China and the Anhui Provincial government have clearly identified wetland conservation as a priority and are making significant investments and efforts for conservation and wetland PA management. However, many investments tend to be for physical work such as infrastructure development and hardware installations such as the Management Centre for Shengjin Lake NRR Management Bureau but with very little focus on wetland biodiversity conservation and species management. In parallel, the Chizhou City government is about to invest in tourism infrastructure development and promotion, to make Shengjin Lake NNR and surrounding area an international tourism destination. Thus far, this type of development is at its infancy and, while local government recognizes the importance of biodiversity conservation, it has little understanding of how to achieve it. At the provincial level there has been no systematic effort to remove the existing barriers to a sustainable and effective PA system to ensure that, at a minimum, wetland biodiversity within PAs can be safeguarded. In many existing PAs, pressure for the use of land and water resources, as well as threats coming from surrounding areas, and lack of sector coordination both inside and outside the boundaries of PAs, requires urgent action in order to prevent further degradation of critical wetland ecosystems and loss of critically endangered species.

163. Without the GEF investment in the proposed project, provincial management framework and the tools required for systematic management of the wetland PAs, remains at a low level of sophistication with each PA remaining largely 'on its own'. The provincial Forestry Department’s PA management work will remain site based with no uniform management standards, nor staff competency standards required for effective PA management. The PA


management work will remain site specific and investment will remain ad-hoc and infrastructure oriented. The provincial and local PA management authorities will have limited capacity for effective management and have neither the tools nor the capacity for mitigating threats coming from outside the PAs. Hence the management effectiveness of wetland PAs will remain weak and highly vulnerable to pressure from economic sectors in particular tourism and aquaculture, as well as livelihood activities from neighboring communities. As such, the Anhui PA system will remain unable to fulfill its role in safeguarding globally significant biodiversity either in terms of locally-based wetland biodiversity or in terms of supporting globally important migrating waterfowl that are now heavily impacted by degraded wetland ecosystems along the Yangtze River corridor. Insufficient technical and functional capacity of the provincial and local forestry departments, insufficient government investment in biodiversity management activities and lack of mechanisms for viable co-management with neighboring communities will remain critical bottlenecks.

164. Alternative scenario enabled by the GEF: The project complements baseline programmes and projects by addressing biodiversity conservation through strengthening the provincial PA system as a whole and demonstrating this in detail in several selected sites (including Shengjin Lake NNR). The GEF investment will enable expansion of the WPA system in the Anhui province and reducing the gap in the ecosystem coverage of the WPA system. This will be directly complemented by the improved systemic and institutional capacity of the provincial and local forestry departments for PA system planning and management, and by bringing other sectors into the management process. GEF funding will enable a basin-wide approach to managing external threats that originate upstream in the river basin of WPA, and to develop coordinated sector plans to management those threats. GEF funding will allow a more systematic approach to sustainable financing both through regular government funding as well as a more economics-focused management approach that includes eco-compensation and innovative funding arrangements such as PPPs, licensing, tourism fees, etc. The project will demonstrate effective PA management through community co-management. Taken together, this alternative scenario greatly strengthens both local wetland biodiversity both in area and in quality of wetland habitat and related wildlife, and in turn, directly contributes to global biodiversity by expanding quality habitat for globally threatened migratory waterfowl.

165. The GEF investment will provide the following Global Environmental Benefits: GEF funding will secure critically important wetland biodiversity in the existing 302,000 ha33 of wetland PAs as well as adding about 80,000ha (43.7%) more protected wetland habitat that is a key part of the Asian-Pacific flyway. This will secure habitat for the endangered species, including six first-class protected birds: white-head crane, white crane, oriental white stork, black stork, great bustard, and white-shouldered eagle. In Shengjin Lake NNR, the GEF investment will provide guidance to the government both in rehabilitating the existed degraded habitat, in developing a sustainable approach to the fishery, and in developing eco-compensation mechanisms to move fishermen to alternative livelihoods. More broadly, GEF financing will demonstrate how to implement basin-level planning and management (IWRM) as the key to reducing threats originating outside the boundaries of the NR. Because this is not now done

33 There are also 51,200 ha of Wetland Parks, but these are mainly commercial enterprises and often do not necessarily conserve

natural biodiversity.


anywhere in China, this example will be significant with replication potential for wetland systems elsewhere in the country.

166. At the national and international levels, Anhui wetlands lie on the East Asian-Australian Flyway and are a major lay-over, over-wintering, and staging grounds for migrating birds. The Anhui wetlands hold approximately 30% of the total waterbirds counted in the regional survey of 2004 and again in 2005. Shengjin Lake is home to about 5-10% of the total population found on the Yangtze floodplain, 5% of the total flyway population of black storks, and 60% of the global population of Bean Goose subspecies. Key species recorded in 2008-9 winter period in Shenjin Lake were34:

• 11 key species in internationally important numbers (criteria is >1% of total flyway population): Black Stork, Oriental Stork*, Eurasian Spoonbill, Tundra Swan, Swan Goose*, Bean Goose, Greater White-fronted Goose, Falcated Duck*, Baikal Teal*, Hooded Crane*, and Spotted Redshank (* = globally threatened)

• An additional three globally threatened species were recorded: Lesser White-fronted Goose, Siberian Crane, and While-naped Crane.

National and local benefits

167. The target WPAs make a significant contribution to the provincial economy, and to ecological and social welfare of people of Anhui. National and local populations of wildlife will benefit from improved quality and area of suitable wetland habitat. Improved financing will lead to sustainability of NR management systems by a combination of core funding and entrepreneurial funding sources through such activities as sustainable ecotourism and PPP investments in ecological conservation in support of ecotourism. Tourism revenue collected in two WPAs is currently estimated at some US$ 300,000 annually as gate revenue alone. The multiplier in terms of local benefits (hotels, restaurants, local transportation, recreational fishing, etc.) is estimated to be at least 20 times this amount. The Project will seek to increase this amount, and will move to incorporate a larger percentage of total revenue into revenue streams for the support of the WPAs. By addressing competency and capacity issues in WPA management and management systems, and by focusing on mainstreaming wetland benefits within the economic model of national development, the Project will greatly strengthen both the ability of WPA management, and bring other sectors effectively into the management process so that external threats are better controlled.

168. The wetland PAs also offer benefits in terms of public recreation and scientific studies. The Chinese Academy of Science and the Hefei University have a research presence in Shengjin Lake NNR and several of the adjacent NRs. The 100,000 residents around Shengjin Lake NNR will directly benefit from the sustainable use management system as well as full participation in PA co-management and benefit sharing arrangements, and alternative livelihood programmes. Some, especially fishing families, will benefit from eco-compensation schemes as part of the process of moving excess fishing capacity to other livelihoods. As women among the local communities are more often engaged with gathering natural resources and collecting water, they

34 Chen, Y, et al., 2009. Wintering Waterbird Survey at the AnLakei Shengjin Lake National Nature Reserve, China, 2008/9.

University of Science and Technology of China Press


are the primary beneficiaries of sustainable and quality supply of these resources. This is particularly evident in Anhui where rural women face a hard unpaid workload. Tangible socioeconomic benefits with gender dimensions will be determined and appropriate indicators will be developed during the project inception phase.

COST-EFFECTIVENESS

169. The project’s approach of addressing PA system level barriers (including inadequate provincial level management capacity, limited tools and capacities at site level, and a significant disconnect between the management of wetland PAs and development and sectoral planning) is cost-effective in that it will have broad applicability at provincial and national levels, including impacts beyond the selected demonstration sites.

170. As part of the national CBPF-MSL programme, the project contributes directly towards larger national policy, regulatory, fiscal, data management and communications goals in support of wetland biodiversity conservation and an effectively managed national wetland PA system through upscaling of its demonstration activities and approaches. The project implementation arrangements include a direct link between the project steering committee and the CBPF MSL national project to ensure that this will be realized. Additionally, technical cooperation amongst the six projects of the MSL program, and with the GEF/ADB Jiangsu project that is now commencing has already commenced and will be further developed once key staff are in place to ensure the sharing of experience.

171. At a technical level, the streamlining of approaches throughout Anhui’s PA system for law enforcement, monitoring and information management will be a cost-effective investment in terms of project impact as well as for AFD's subsequent operations. The project’s approaches in building support from across multiple sectors, stakeholders including local communities, and building capacity of the provincial forestry bureau are expected to lead to cost-effective PA management that avoids duplication of work, reduces biodiversity degradation and loss of ecosystem services from incompatible development practices, and ensures the sharing of timely information and resources. Using economic valuation of key wetland ecosystem services in Anhui, it is anticipated that the Project can make a convincing argument for inclusion of wetlands as part of the market economy by demonstrating that wetlands have significant value to other principal sectors (fishery, water resources, agriculture, and land management. Using this as the basis for mainstreaming is expected to bring significant benefits in terms of co-management with other sectors, and setting of criteria for sector activities that will maintain the economic benefits of wetlands.

172. The total GEF investment of $2,654,771 for this project will leverage $18.2 million in cofinancing from AFD and $700,000 from UNDP which is a highly cost-effective ratio of 6.86.

PROJECT CONSISTENCY WITH NATIONAL PRIORITIES/PLANS 173. The project is consistent with national policy elements of the 12th National Five-year Plan, National Biodiversity Conservation Strategy and Action Plan 2011-2030 (NBCSAP v2, 2010), provincial development plans and many national programmes (see above section). These all add up to a clear commitment on behalf of the government to ensure adequate protection and


restoration of the natural environment of the country to protect biodiversity, maintain vital ecosystem functions and help regulate climate. The project is aligned to assist the State Forestry Administration (SFA) in achieving its target of adequately protecting 55% of the natural wetlands in China by the end of 2015 and mitigating further loss of natural wetland areas and degradation of their functions.

174. The newly approved National Biodiversity Conservation Strategy and Action Plan (NBCSAP 2011-2030) also recognizes the importance of addressing threats and conserving wetlands biodiversity and ecosystems. The project will address key priorities under the NBCSAP, through implementing its priority strategy of strengthening the effectiveness of the PA system in China and contributing directly to the achievement of the following action programmes under Plan Action lines 12, 13 and 14 respectively, including: coordinating action to implement and improve the national nature reserve plan; enhancement of biodiversity conservation in priority areas of protection; and standardisation of nature reserves in order to carry out actions that will improve the quality of NR management. This document highlights the importance of WPA expansion, strengthening and management as a priority area and specifically mentions strengthening and networking of “Yangtze River Wetland Nature Reserve group” as a key protection focus in the “Huadong (East China) Garden area in the hills” which includes Anhui province (and Shengjin Lake). As part of the national level regional development strategy, the State Council approved the “Anhui-Yangtze Urban Industrial Demonstration Zone” in January 2010 to promote economic development along Yangtze River (416km within Anhui Province). The strategy also emphasizes protection and management of the various wetland PAs in the zone. Anhui Province attaches considerable importance to the conservation and management of the wetlands along Yangtze River and Shengjin Lake in particular which is the target demonstration site of the project.

175. The project is also in line with the China Biodiversity Partnership and Framework for Action (CBPF), which is China’s primary investment strategy for biodiversity conservation through the GEF and other partners. This project has been designed to address urgent, priority and catalytic issues identified under the CBPF, in particular under Theme 3: Investing and Managing Effectively in Reducing Biodiversity Loss in PAs. It will contribute directly and substantially to Results 4, 16, 17, 18 and 19 of the agreed CBPF Framework which are respectively: financial flows to biodiversity conservation increase over current baseline; effective governance and legal framework for the national protected area system; harmonized and effective national system for selecting, designing, managing and monitoring protected areas; NNRs and PNRs are effectively managed; National NRs and PNRs have stable and sufficient finance. The Project also supports priorities included in the Provincial Biological Resources Conservation and Utilization Plan (2010-2020) that are described in Paragraph 50.

176. The project is part of the GEF/UNDP Programme Main Streams of Life (MSL) - Wetland PA System Strengthening for Biodiversity Conservation, which is a sub-programme of the CBPF. The project is one of the six provincial level initiatives under the umbrella framework programme, and will contribute to the national level programme outcomes under the three programmatic components.

177. As the national executing agency for this project, the Anhui Forestry Department has been involved in the development of the PIF and this project document and, with the City of


Chizhou, has committed substantial cofinancing to enable implementation of the full-sized project. SFA is an executing partner of the overall CBPF MSL programme and its national project.

COUNTRY OWNERSHIP: COUNTRY ELIGIBILITY AND COUNTRY DRIVENNESS 178. China’s commitment to biodiversity conservation and PA development is evident in its signature to the Convention on Biological Diversity (CBD) in 1992, and its active participation in other MEAs including the Ramsar Convention (also signed in 1992, with 41 Ramsar sites totaling 3,709,853 ha as of September 2012), CITES (1981) and UNFCCC (1992). China has remained steadfast in its commitments under CBD and in particular with activities under article 17 (in situ conservation). A very extensive national system of PAs has been established.

SUSTAINABILITY AND REPLICABILITY

179. Sustainability and replicability are addressed as follows:

� Environmental sustainability will be achieved by increasing system resilience through improved PA system design in terms of size, habitat representation, connectivity within wetland areas35 and reduction in internal and external threats by reduction in fishing pressure to sustainable levels, by integrated basin management to control external threats, and by restoration of wildfowl and fish habitat. Key considerations include increasing the resilience of the PA system in the face of climate change, anticipated future developments and environmental change, reinforcing a catchment management approach to wetland systems. The environmental impact of increasing mass tourism into wetland NRs will be substantially reduced through development and application of a sustainable ecotourism plan that will be implemented with local partners and for which local partners are already committed.

� Financial sustainability will be achieved through the project’s emphasis on improving funding security for PA operations, especially to support the financial needs of effective PA management including monitoring and enforcement programmes. The project includes demonstration activities testing eco-compensation mechanisms that have potential to provide sustainable financing for PAs, linked to national level policy development through the CBPF MSL national project. The project will also test innovative market mechanisms such as PPP arrangements for ecotourism in which revenues are returned to support conservation, and revenue retention from ecotourism for support of the tourism infrastructure. This requires a new approach to business planning for selected WPAs that encourages a forward-looking business approach to managing the affairs of the WPA so that priorities are clearly articulated, the revenue base is identified, and investment opportunities are identified together with risks and benefits and inserted into the NR management plan. While the overarching objective is conservation of wetlands biodiversity, success in this will inevitably attract more tourism; therefore, the financial objective is to manage this opportunity within a modern business context. Discussions with the Shengjin Lake fishing cooperative indicates support for a PPP arrangement in which some of the financial costs of a sustainable fishery

35 These are currently badly fragmented by fencing and dikes to create fish ponds.


that supports habitat renewal, will be cost-shared through a finance-for-labour swap with members of the cooperative.

� Social sustainability: Occupancy of wetland areas is an historical phenomenon that pre-dates the formation of WPAs. Therefore, provincial and local governments are acutely aware of the need for social harmony in any plans that affect the local population. However, current trends in the most impacted areas are positive in the sense that family fishing units are increasingly seen as unattractive by young people who are moving out of this business. Interviews with fishermen/women reveal that they are generally quite willing to be relocated to an alternative livelihood providing there is adequate compensation. Already, local government in Shengjin Lake has made detailed studies of reduction of fishing pressure by potential relocation. Expansion of WPA areas may have social impacts such as dislocation of families and restriction on agricultural practices, but this is not certain as it depends on the type of use to which the wetland area will be put. For example, expansion of the alligator wetland reserve does not impact on farmland, but it will restrict the ability of local farmers to raise fish in local ponds. Predation of fish by alligators outside protected areas is a social issue, however local populations are generally supportive of this rare species. The project will experiment with eco-compensation mechanisms to overcome social issues that may arise due to loss of income arising from WPA expansion and other actions that require reduction in incomes caused by relocation. The Project will ensure meaningful participation of local communities in implementation in order to ensure community ownership and negative social impacts are minimized and managed. These social issues are addressed in Annex 8 (Environmental and Social Screening Summary). As noted in that Annex the Project will monitor these social situations and insert management measures when and as needed.

� Institutional sustainability: will be improved through capacity development measures for AFD and related agencies involved in managing Anhui's WPA system. The project specifically focuses on building staff and institutional capacity for enhanced planning and management effectiveness in the provincial PA system. In addition, the project will strengthen coordination with broader provincial development planning and sectoral agencies, and seek to mainstream WPA system objectives into key sectors including tourism, water resources, fisheries, aquaculture and coastal development. For Shengjin Lake NR, local government has already created an inter-sectoral oversight group under the leadership of a Vice-Mayor. Strong institutional support has been provided by the Party Secretary of Chizhou City (Shengjin Lake NNR). At the provincial level, an inter-agency coordination mechanism has been established to facilitate dialogue and coordination of sector activities in nature reserves across the province. The Project will work with both of these groups. In particular, the Project will introduce a much more systematic approach to comprehensive management in which science, management, and economics are brought together as part of the decision process.

� Replicability: The Project is designed to be replicable in three main areas:

(i) Planning: The Shengjin Lake NNR Management Plan that will be developed under this Project will provide guidance on a methodology for implementing the State Council's 2010 'Announcement" on NR management. It is anticipated that this type of planning will become a model for replication in other NRs.


(ii) Business Approach to Nature Reserve Management: This Project will pioneer best-practices in the development of business opportunities, such as PPPs, that will achieve both sustainability of the conservation activity, and generate revenues to supplement core government funding, and provides alternative livelihoods for local residents. The Project intends to show that wetland NRs can be successfully operated within a business model.

(iii) Basin Management: Most wetland NRs are part of a river/lake basin system. Currently, WPAs are not managed within a holistic basin context. The Project will pioneer an integrated approach to basin management within which Shengjin Lake NNR resides. This approach will involve a multi-sector approach, and a methodology, to manage the threats arising from basin activities outside the nature reserve.

PART III: Management Arrangements

180. The project’s implementation and execution arrangements will focus on maintaining strong collaboration and cooperation, and avoid duplication of effort, among WPA conservation initiatives in Anhui province during the five year implementation period. The Anhui Forestry Department (AFD) is the government institution responsible for the daily execution and coordination of the project and will serve as the government Executing Agency (EA) and UNDP Implementing Partner. UNDP is the GEF Implementing Agency (IA) for the project. The project is nationally executed in line with the Standard Basic Assistance Agreement between the UNDP and the Government of China, and the Country Programme Action Plan (CPAP).

PROJECT MANAGEMENT Project Oversight 181. Oversight of project activities will be the responsibility of the Project Steering Committee (PSC) (sometimes also referred to as a Project Board and, locally, as the Project "Leading Group"). Day-to-day operational oversight will be ensured by UNDP, through the UNDP Country Office in Beijing, and strategic oversight by the UNDP/EEG Regional Technical Advisor (RTA) responsible for the project. The PSC will be supported by technical experts selected by the AFD and by one domestic and one international expert (both part-time) who have particular expertise in WPA science, and NR management and business practices (regarding business planning and sustainable financing).

182. The AFD will take overall responsibility for the project execution, and the timely and verifiable attainment of project objectives and outcomes, but will report to the Project Steering Committee (PSC). AFD will provide support to, and inputs for, the implementation of all project activities, and recruitment of project staff and contracting of consultants and service providers with the advice from and involvement of the UNDP. International procurement will be mainly handled by the UNDP upon request of the AFD. The AFD will nominate a high level official who will serve as the Provincial Project Director (PPD) for project implementation. The PPD will chair the PSC and be responsible for providing government oversight and guidance to the project implementation. The PPD will not be paid from the project funds, but will represent a Government in-kind contribution to the Project.


183. The UNDP Country Office (UNDP-CO) will be responsible for: (i) providing financial and audit services to the project; (ii) overseeing financial expenditures against project budgets approved by PSC; (iii) appointment of independent financial auditors and evaluators; and (iv) ensuring that all activities including procurement and financial services are carried out in strict compliance with UNDP/GEF procedures. A UNDP staff member will be assigned the responsibility for the day-to-day management and control over project finances.

184. The Project Steering Committee (PSC) will be convened by the Executing Agency of the provincial government to serve as the provincial Leading Group for this Project. The PSC will comprise several relevant provincial agencies and membership by those agencies should remain consistent. The PSC will serve as the project’s coordination and decision-making body. The PSC meetings will be chaired by the PPD. It will meet according to necessity, but not less than once in 6 months, to review project progress, approve project work plans and approve major project deliverables. The PSC is responsible for ensuring that the project remains on course to deliver products of the required quality to meet the outcomes defined in the project document. The PSC’s role will include: (i) overseeing project implementation; (ii) approving annual project work plans and budgets that are proposed by the Project Manager (PM), for submission to UNDP; (iii) approving any major changes in project plans or programs; (iv) providing technical input and advice; (v) approving major project deliverables; (vi) ensuring commitment of resources to support project implementation; (vii) arbitrating any conflicts within the project and/or negotiating solutions between the project and any parties beyond the scope of the project; (viii) ensuring coordination amongst member agencies, and (ix) overall project evaluation.

185. The PSC will include in its composition representation of the following key stakeholders: Anhui Department of Finance, Anhui Forestry Department (AFD), Anhui Department of Environment Protection, Anhui Water Resource Department, Anhui Department of Agriculture (especially Fishery Sector), UNDP, and Chizhou Prefecture (local government). Specific PSC membership and terms of reference will be finalized during the Project Inception Workshop. Local universities and institutes have a range of technical expertise on relevant subjects such as freshwater ecology, wildfowl monitoring and population dynamics, biodiversity conservation, fisheries management, etc. Some of these experts have carried out long term research at Shengjin Lake and other Anhui nature reserves and can be engaged to advise on this GEF project.

Project Management 186. Project management will be subdivided into two groups – the first is a Provincial Coordinator at the provincial level who will be responsible for overall coordination of the project with provincial agencies, the executing agency and the UNDP, and for ensuring the co-financing funds are forthcoming according to agreements. The Provincial Coordinator will have technical responsibilities for those activities associated with the first outcome (provincial level activities). The Project Coordinator will be hosted by the Natural Protection & Management Station of Anhui Province, AFD and will report to the Project Director. The Project Coordinator will not have day-to-day management responsibilities for the entire project, but only for those activities assigned to him by the Project Manager in support of Output #1.


187. Day-to-day administration of the entire project will be carried out by a Project Management Office located at, or near, the Shengjin Lake NNR. In part this reflects the large percentage of total effort that is specifically directed to Shengjin Lake NNR and its surrounding basin. The PMO will be comprised of a Project Manager (PM), a Project Assistant, and a qualified financial officer. Some staff will be recruited; others will be seconded by the AFD based on criteria established by each position ToR. Recruitment of Project staff will follow UNDP and AFD recruitment procedures. The PM will report to the Project Director and will be supported by a part-time International Technical Advisor (ITA) and a domestic part-time biodiversity specialist. The PM will administer all project activities, including: (i) preparation/updates of project work and budget plans, record keeping, accounting and quarterly and annual progress reporting; (ii) drafting of terms of reference, technical specifications and other documents as necessary; (iii) identification, proposal of project consultants to be approved by the PSC, coordination and supervision of consultants and suppliers; (iv) organization of duty travel, seminars, public outreach activities and other project events; and (v) maintaining working contacts with project partners at the central and local levels. The PM will have high-level technical expertise in PA planning and management.

188. An existing provincial inter-sectoral coordination group for wetlands meets twice per year to discuss inter-sector issues. It is much larger than the Project Steering Committee and has a more general mandate. It will be used as a sounding-board for activities of the Project and as a vehicle to engage with departments and agencies that are not formally part of the PSC.

189. As this project is an integral part of the CBPF-MSL (Mainstreams of Life), the Project Manager and Provincial Coordinator will be responsible for ensuring effective coordination and collaboration with the CBPF MSL National Project and other provincial level projects through mechanisms adopted at the national level. This will take place through specific consideration of programme needs and guidance as an agenda item at each PSC meeting, and operational coordination between the PM, ITA and MSL programme, national project and other provincial project leaders. The PM and Provincial Coordinator will also liaise and work closely with all partner institutions to ensure good coordination with other complementary national programmes and initiatives.

190. The PM is accountable to the Project Director/AFD and the PSC for the quality, timeliness and effectiveness of the activities carried out, as well as for the use of funds. The PM with the advice of the ITA and Provincial Coordinator will produce two-year Work Plan and Budget Plans to be approved by the PSC. These plans will provide the basis for allocating resources to planned activities. The PM will also produce quarterly operational reports and Annual Progress Reports (APR) for submission to the PSC. These reports will summarize the progress made by the project versus the expected results, explain any significant variances, detail the necessary adjustments and be the main reporting mechanism for monitoring project activities. The technical work of the PM and ITA will be supported by contracted national and, as necessary, international service providers as well as by experts recruited by the national MSL project. Recruitment of specialist services for the project will be done by the PM in consultation with the UNDP and the AFD. The organogram for project management illustrates the working relationship among all the main project implementing parties or bodies (Part II of this document).


191. The Forestry Bureau of Chizhou City will establish a Shengjin Lake NNR Project Steering Committee that will monitor and advise the Project site office on all aspects of the implementation program. The Project Coordinator will be an ex-officio member of this Steering Committee. The Steering Committee will report on a regular basis to the Inter-sectoral Coordinating Committee of Chizhou City. The Steering Committee will be supported by local experts selected by the Forestry Bureau and by the same domestic and international experts that support the Anhui Steering Committee at the central level.

192. The PMO will engage up to 4 external (national) professionals to serve as a technical advisory panel on an occasional basis. The panel will assist with scoping the technical activities as a basis for writing ToRs, advise on technical priorities, budgets and implementation schedules, offer advice on implementation activities, and review technical reports for quality and comprehensiveness.

193. Some specific activities in areas outside of Chizhou Prefecture may be coordinated by local government (e.g. county and city levels) in which case the respective local offices of Anhui Forestry Department would be responsible for implementation under the supervision of the Project Coordinator and Project Manager.

PART IV: Monitoring and Evaluation Plan and Budget

MONITORING AND REPORTING36

194. Project monitoring and evaluation will be conducted in accordance with established UNDP and GEF procedures and will be provided by the project team and the UNDP Country Office (UNDP-CO) with support from the UNDP/GEF Regional Coordination Unit in Bangkok. The Logical Framework Matrix in Annex A provides performance and impact indicators for project implementation along with their corresponding means of verification. The METT tool (Annex 137) and Capacity Assessment Scorecard (Annex 4) will all be used as instruments to monitor progress in PA management effectiveness. The M&E plan includes: inception report, project implementation reviews, quarterly and annual review reports, a mid-term review, and final evaluation. The following sections outline the principle components of the Monitoring and Evaluation Plan and indicative cost estimates related to M&E activities. The project's Monitoring and Evaluation Plan will be presented and finalized in the Project's Inception Report following a collective fine-tuning of indicators, means of verification, and the full definition of project staff M&E responsibilities.

Inception Phase 195. A Project Inception Workshop will be conducted with the full project team, relevant government counterparts, co-financing partners, the UNDP-CO and representation from the UNDP-GEF Regional Coordinating Unit, as well as UNDP-GEF (HQs) as appropriate. A fundamental objective of this Inception Workshop will be to assist the project team to understand

36 As per GEF guidelines, the project will use the BD 1 Management Effectiveness Tracking Tool (METT). New or additional GEF monitoring requirements will be accommodated once they are officially launched. 37 Annex 1 describes the METT. The full METT is supplied as an Excel File for six Anhui WPAs.


and take ownership of the project’s goal and objective, as well as finalize preparation of the project's first annual work plan on the basis of the logframe matrix. This will include reviewing the logframe (indicators, means of verification, assumptions), imparting additional detail as needed, and on the basis of this exercise, finalizing the Annual Work Plan (AWP) with precise and measurable performance indicators, and in a manner consistent with the expected outcomes for the project. Additionally, the purpose and objective of the Inception Workshop (IW) will be to: (i) introduce project staff with the UNDP-GEF team which will support the project during its implementation, namely the CO and responsible Regional Coordinating Unit staff; (ii) detail the roles, support services and complementary responsibilities of UNDP-CO and RCU staff vis-à-vis the project team; (iii) provide a detailed overview of UNDP-GEF reporting and monitoring and evaluation (M&E) requirements, with particular emphasis on the Annual Project Implementation Reviews (PIRs) and related documentation, the Annual Review Report (ARR), as well as mid-term review and final evaluations. Equally, the IW will provide an opportunity to inform the project team on UNDP project related budgetary planning, budget reviews, and mandatory budget rephrasing. The IW will also provide an opportunity for all parties to understand their roles, functions, and responsibilities within the project's decision-making structures, including reporting and communication lines, and conflict resolution mechanisms. The Terms of Reference for project staff and decision-making structures will be discussed again, as needed, in order to clarify for all, each party’s responsibilities during the project's implementation phase.

Monitoring responsibilities and events 196. A detailed schedule of project review meetings will be developed by the project management, in consultation with project implementation partners and stakeholder representatives and incorporated in the Project Inception Report. Such a schedule will include: (i) tentative time frames for Project Board Meetings and (ii) project related Monitoring and Evaluation activities. Day-to-day monitoring of implementation progress will be the responsibility of the Project Manager based on the project's Annual Work Plan and its indicators. The Project Manager will inform the UNDP-CO of any delays or difficulties faced during implementation so that the appropriate support or corrective measures can be adopted in a timely and remedial fashion. The Project Manager will fine-tune the progress and performance/impact indicators of the project in consultation with the full project team at the Inception Workshop with support from UNDP-CO and assisted by the UNDP-GEF Regional Coordinating Unit. Specific targets for the first year implementation progress indicators together with their means of verification will be developed at this Workshop. These will be used to assess whether implementation is proceeding at the intended pace and in the right direction and will form part of the Annual Work Plan. Targets and indicators for subsequent years would be defined annually as part of the internal evaluation and planning processes undertaken by the project team.

197. Measurement of impact indicators related to global biodiversity benefits will occur according to the schedules defined in the Inception Workshop, using METT scores. The measurement of these will be undertaken through subcontracts or retainers with relevant institutions. Periodic monitoring of implementation progress will be undertaken by the UNDP-CO through quarterly meetings with the Implementing Partner, or more frequently as deemed necessary. This will allow parties to take stock and to troubleshoot any problems pertaining to the project in a timely fashion to ensure smooth implementation of project activities.


198. Annual Monitoring will occur through the Project Board Meetings (PBM). This is the highest policy-level meeting of the parties directly involved in the implementation of a project. The project will be subject to PBMs two times a year. The first such meeting will be held within the first six months of the start of full implementation.

199. The Project Manager in consultations with UNDP-CO and UNDP-GEF RCU will prepare a UNDP/GEF PIR/ARR and submit it to PBM members at least two weeks prior to the PBM for review and comments. The PIR/ARR will be used as one of the basic documents for discussions in the PB meeting. The Project Manager will present the PIR/ARR to the Project Board, highlighting policy issues and recommendations for the decision of the PBM participants. The Project Manager also informs the participants of any agreement reached by stakeholders during the PIR/ARR preparation on how to resolve operational issues. Separate reviews of each project component may also be conducted if necessary. The Project Board has the authority to suspend disbursement if project performance benchmarks are not met. Benchmarks will be developed at the Inception Workshop, based on delivery rates, and qualitative assessments of achievements of outputs.

200. The terminal PBM is held in the last month of project operations. The Project Manager is responsible for preparing the Terminal Report and submitting it to UNDP-CO and UNDP-GEF RCU. It shall be prepared in draft at least two months in advance of the terminal PBM in order to allow review, and will serve as the basis for discussions in the PBM. The terminal meeting considers the implementation of the project as a whole, paying particular attention to whether the project has achieved its stated objectives and contributed to the broader environmental objective. It decides whether any actions are still necessary, particularly in relation to sustainability of project results, and acts as a vehicle through which lessons learnt can be captured to feed into other projects under implementation of formulation.

201. UNDP Country Offices and UNDP-GEF RCU as appropriate, will conduct yearly visits to project sites based on an agreed upon schedule to be detailed in the project's Inception Report/Annual Work Plan to assess first hand project progress. Any other member of the Project Board can also accompany. A Field Visit Report/BTOR will be prepared by the CO and UNDP-GEF RCU and circulated no less than one month after the visit to the project team, all Project Board members, and UNDP-GEF.

202. Monitoring and evaluation activities, responsibilities, budget and scheduling appear in Table 9.

Table 11: M&E Activities, Responsibilities, Budget and Time Frame Type of M&E activity

Responsible Parties

Budget US$ Excluding project team staff time

Time frame

Inception Workshop Project Coordinator UNDP CO UNDP GEF

10,000 Within first two months of project start up

Inception Report Project Team UNDP CO

Translation 2,000 Immediately following IW

Measurement of Means of Verification for Project

Oversight by Project Manager Project team

To be determined as part of the Annual Work Plan's

Annually prior to ARR/PIR and to the


Type of M&E activity

Responsible Parties

Budget US$ Excluding project team staff time

Time frame

Progress and Performance (measured on an annual basis)

preparation. Indicative cost: 2,000 (annually); total: 8,000

definition of annual work plans

ARR and PIR Project Team UNDP-CO UNDP-GEF

None Annually

Quarterly progress reports Project team None Quarterly

CDRs Project Manager None Quarterly

Issues Log Project Manager UNDP CO Programme Staff

None Quarterly

Risks Log Project Manager UNDP CO Programme Staff

None Quarterly

Lessons Learned Log Project Manager UNDP CO Programme Staff

None Quarterly

Mid-term Evaluation Project team UNDP- CO UNDP-GEF Regional Coordinating Unit External Consultants (i.e. evaluation team)

30,000 (includes translation)

At the mid-point of project implementation.

Final Evaluation Project team, UNDP-CO UNDP-GEF Regional Coordinating Unit External Consultants (i.e. evaluation team)

30,000 (includes translation)

At the end of project implementation

Terminal Report Project team UNDP-CO local consultant

None At least one month before the end of the project

Lessons learned Project team UNDP-GEF Regional Coordinating Unit (suggested formats for documenting best practices, etc.)

None

Yearly

Audit UNDP-CO Project team

4,000 x 5 yrs = 20,000 Yearly

TOTAL indicative COST Excluding project team staff time and UNDP staff and travel expenses

US$ 100,000

Project Reporting 203. The Project Manager in conjunction with the UNDP-GEF extended team will be responsible for the preparation and submission of the following reports that form part of the monitoring process. The first six reports are mandatory and strictly related to monitoring, while the last two have a broader function and the frequency and nature is project specific to be defined throughout implementation.

204. A Project Inception Report will be prepared immediately following the Inception Workshop. It will include a detailed First Year/ Annual Work Plan divided in quarterly time-frames detailing the activities and progress indicators that will guide implementation during the first year of the project. This Work Plan will include the dates of specific field visits, support missions from the UNDP-CO or the Regional Coordinating Unit (RCU) or consultants, as well as time-frames for meetings of the project's decision making structures. The Report will also


include the detailed project budget for the first full year of implementation, prepared on the basis of the Annual Work Plan, and including any monitoring and evaluation requirements to effectively measure project performance during the targeted 12 months time frame. The Inception Report will include a more detailed narrative on the institutional roles, responsibilities, coordinating actions and feedback mechanisms of project related partners. In addition, a section will be included on progress to date on project establishment and start-up activities and an update of any changed external conditions that may affect project implementation. When finalized, the report will be circulated to project counterparts who will be given a period of one calendar month in which to respond with comments or queries. Prior to this circulation of the IR, the UNDP Country Office and UNDP-GEF’s Regional Coordinating Unit will review the document.

205. An Annual Review Report shall be prepared by the Project Manager and shared with the Project Board. As a self-assessment by the project management, it does not require a cumbersome preparatory process. As minimum requirement, the Annual Review Report shall consist of the Atlas standard format for the Project Progress Report (PPR) covering the whole year with updated information for each element of the PPR as well as a summary of results achieved against pre-defined annual targets at the project level. As such, it can be readily used to spur dialogue with the Project Board and partners. An ARR will be prepared on an annual basis prior to the Project Board meeting to reflect progress achieved in meeting the project's Annual Work Plan and assess performance of the project in contributing to intended outcomes through outputs and partnership work. The ARR should consist of the following sections: (i) project risks and issues; (ii) project progress against pre-defined indicators and targets and (iii) outcome performance.

206. The Project Implementation Review (PIR) is an annual monitoring process mandated by the GEF. It has become an essential management and monitoring tool for project managers and offers the main vehicle for extracting lessons from ongoing projects. Once the project has been under implementation for a year, a Project Implementation Report must be completed by the CO together with the project team. The PIR should be collaboratively prepared in July and discussed with the CO and the UNDP/GEF Regional Coordination Unit during August with the final submission to the UNDP/GEF Headquarters in the first week of September of each year. The Project Manager will have the primary responsibility for this review.

207. Quarterly Progress Reports: Short reports outlining main updates in project progress will be provided quarterly to the local UNDP Country Office and the UNDP-GEF RCU by the project team.

208. UNDP ATLAS Monitoring Reports: A Combined Delivery Report (CDR) summarizing all project expenditures, is mandatory and should be issued quarterly. The Project Manager should send it to the Project Steering Committee for review and the Implementing Partner should certify it. The following logs should be prepared: (i) The Issues Log is used to capture and track the status of all project issues throughout the implementation of the project. It will be the responsibility of the Project Manager to track, capture and assign issues, and to ensure that all project issues are appropriately addressed; (ii) the Risk Log is maintained throughout the project to capture potential risks to the project and associated measures to manage risks. It will be the responsibility of the Project Manager to maintain and update the Risk Log, using Atlas; and (iii) the Lessons Learned Log is maintained throughout the project to capture insights and lessons


based on good and bad experiences. It is the responsibility of the Project Manager to maintain and update the Lessons Learned Log.

209. Project Terminal Report: During the last three months of the project, the project team will prepare the Project Terminal Report. This comprehensive report will summarize all activities, achievements and outputs of the Project, lessons learnt, objectives met, or not achieved, structures and systems implemented, etc, and will be the definitive statement of the Project’s activities during its lifetime. It will also lay out recommendations for any further steps that may need to be taken to ensure sustainability and replicability of the Project’s activities.

210. Periodic Thematic Reports: As and when called for by UNDP, UNDP-GEF or the Implementing Partner, the project team will prepare Specific Thematic Reports, focusing on specific issues or areas of activity. The request for a Thematic Report will be provided to the project team in written form by UNDP and will clearly state the issue or activities that need to be reported on. These reports can be used as a form of lessons learned exercise, specific oversight in key areas, or as troubleshooting exercises to evaluate and overcome obstacles and difficulties encountered. UNDP is requested to minimize its requests for Thematic Reports, and when such are necessary will allow reasonable timeframes for their preparation by the project team.

211. Technical Reports are detailed documents covering specific areas of analysis or scientific specializations within the overall project. As part of the Inception Report, the project team will prepare a draft Reports List, detailing the technical reports that are expected to be prepared on key areas of activity during the course of the Project, and tentative due dates. Where necessary, the Reports List will be revised and updated, and included in subsequent APRs. Technical Reports may also be prepared by external consultants and should be comprehensive, specialized analyses of clearly defined areas of research within the framework of the project and its sites. These technical reports will represent, as appropriate, the project's substantive contribution to specific areas, and will be used in efforts to disseminate relevant information and best practices at local, national and international levels.

212. Project Publications will form a key method of crystallizing and disseminating the results and achievements of the Project. These publications may be scientific or informational texts on the activities and achievements of the Project, in the form of journal articles, multimedia publications, etc. These publications can be based on Technical Reports, depending upon the relevance, scientific worth, etc. of these Reports, or may be summaries or compilations of a series of Technical Reports and other research. The project team will determine if any of the Technical Reports merit formal publication, and will also (in consultation with UNDP, the government and other relevant stakeholder groups) plan and produce these Publications in a consistent and recognizable format. Project resources will need to be defined and allocated for these activities as appropriate and in a manner commensurate with the project's budget.

INDEPENDENT EVALUATIONS, AUDITS AND FINANCIAL REPORTING 213. The project will be subjected to two independent external evaluations as follows: An independent Mid-Term Review will be undertaken as near as possible to the mid-point of the project. The Mid-Term Review will determine progress being made towards the achievement of


outcomes and will identify course correction if needed. It will focus on the effectiveness, efficiency and timeliness of project implementation; will highlight issues requiring decisions and actions; and will present initial lessons learned about project design, implementation and management. Findings of this review will be incorporated as recommendations for enhanced implementation during the final half of the project’s term. The organization, terms of reference and timing of the mid-term evaluation will be decided after consultation between the parties to the project document. The Terms of Reference for this Mid-term review will be prepared by the UNDP CO based on guidance from the UNDP-GEF Regional Coordinating Unit.

214. An independent Final Evaluation will take place three months prior to the terminal Project Steering Committee meeting, and will focus on the same issues as the mid-term review. The final evaluation will also look at impact and sustainability of results, including the contribution to capacity development and the achievement of global environmental goals. The Final Evaluation should also provide recommendations for follow-up activities. The Terms of Reference for this evaluation will be prepared by the UNDP CO based on guidance from the UNDP-GEF Regional Coordinating Unit.

LEARNING AND KNOWLEDGE SHARING 215. Results from the project will be disseminated within and beyond the project intervention zone through a number of existing information sharing networks and forums. In particular, under the MSL programme, a national distributed data system will be established for sharing and reporting key data38. The MSL programme will also provide guidance on: institutional and legal frameworks that can more effectively be used for WPA management and on wetland valuation techniques and procedures. The project will participate, as relevant and appropriate, in UNDP/GEF sponsored networks, organized for Senior Personnel working on projects that share common characteristics. UNDP/GEF Regional Unit has established an electronic platform for sharing lessons between the project coordinators. The project will identify and participate, as relevant and appropriate, in scientific, policy-based and/or any other networks, which may be of benefit to project implementation though lessons learned. The project will identify, analyze, and share lessons learned that might be beneficial in the design and implementation of similar future projects. Identify and analyzing lessons learned is an on-going process, and the need to communicate such lessons as one of the project's central contributions is a requirement to be delivered not less frequently than once every 12 months. UNDP/GEF shall provide a format and assist the project team in categorizing, documenting and reporting on lessons learned.

216. Additionally, technical cooperation amongst the MSL components and with the GEF/ADB Jiangsu wetlands project will be formalized once the key staff is in place.

COMMUNICATIONS AND VISIBILITY REQUIREMENTS 217. Full compliance is required with UNDP’s Branding Guidelines. These can be accessed at http://intra.undp.org/coa/branding.shtml, and specific guidelines on UNDP logo use can be accessed at: http://intra.undp.org/branding/useOfLogo.html. Amongst other things, these guidelines describe when and how the UNDP logo is to be used, as well as how the logos of

38 The scope of this platform has not yet been fully defined.


donors to UNDP projects are to be used. For the avoidance of any doubt, when logo use is required, the UNDP logo needs to be used alongside the GEF logo. The GEF logo can be accessed at: http://www.thegef.org/gef/GEF_logo. The UNDP logo can be accessed at http://intra.undp.org/coa/branding.shtml39.

218. Full compliance is also required with the GEF’s Communication and Visibility Guidelines (the “GEF Guidelines”)40. Amongst other things, the GEF Guidelines describe when and how the GEF logo needs to be used in project publications, vehicles, supplies and other project equipment. The GEF Guidelines also describe other GEF promotional requirements regarding press releases, press conferences, press visits, visits by Government officials, productions and other promotional items.

219. Where other agencies and project partners have provided support through co-financing, their branding policies and requirements should be similarly applied.

AUDIT CLAUSE 220. The Government will provide the Resident Representative with certified periodic financial statements, and with an annual audit of the financial statements relating to the status of UNDP (including GEF) funds according to the established procedures set out in the Programming and Finance manuals. The Audit will be conducted according to UNDP financial regulations, rules and audit policies by the legally recognized auditor of the Government, or by a commercial auditor engaged by the Government.

PART V: Legal Context

221. This Project Document shall be the instrument referred to as such in Article I of the Standard Basic Assistance Agreement between the Government of China and the United Nations Development Programme, signed by the parties on January 29, 1979. The host country-implementing agency shall, for the purpose of the Standard Basic Assistance Agreement, refer to the government co-operating agency described in that Agreement.

222. The UNDP Resident Representative in Beijing is authorized to effect in writing the following types of revision to this Project Document, provided that he/she has verified the agreement thereto by the UNDP-EEG Unit and is assured that the other signatories to the Project Document have no objection to the proposed changes:

a) Revision of, or addition to, any of the annexes to the Project Document; b) Revisions which do not involve significant changes in the immediate objectives, outputs or activities of the

project, but are caused by the rearrangement of the inputs already agreed to or by cost increases due to inflation;

c) Mandatory annual revisions which re-phase the delivery of agreed project inputs or increased expert or other costs due to inflation or take into account agency expenditure flexibility; and

39 Requires a password to log-in. 40 The GEF Guidelines can be accessed at

http://www.thegef.org/gef/sites/thegef.org/files/documents/C.40.08_Branding_the_GEF%20final_0.pdf


d) Inclusion of additional annexes and attachments only as set out here in this Project Document.


SECTION II: STRATEGIC RESULTS FRAMEWORK (SRF) AND GEF INCREMENT

PART I: Strategic Results Framework, SRF (formerly GEF Logical Framework) Analysis

INDICATOR FRAMEWORK AS PART OF THE SRF Project Development Goal: To contribute to the conservation and sustainable use of globally significant biodiversity in Anhui Province, China.

Objective/ Outcome Indicator Baseline End of Project

target Source of

Information Risks and assumptions

Objective To strengthen the management effectiveness of the wetland protected area system in Anhui in response to existing and emerging threats to the globally significant biodiversity and essential ecosystem services

New wetland protected areas coverage increased by 80,000 ha.

Current protected area coverage is 353,200 ha or 49.5% of natural wetlands in the province

Expansion of wetland PA coverage by 80,000 ha.

Official statistics of Anhui Government and reports of PA system

Risks: 1. Less than the required amount of

additional land can be found due to social restrictions;

2. Funding for compensation to landowners may not be available;

3. Operational budgets are not increased.

Assumptions: 1. AFD will be able to negotiate

successfully with landowners for co-management of additional NRs;

2. Funding will be allocated by the provincial government;

3. Province will commit to increased funding for the PA system;

Increase in METT for 6 WPAs in the province

Shengjin: 45 Shibasuo: 52 Anqing: 58 Danshui.: 56 Shijiu: 37 Yangzi'e 58

Shengjin: 70 Shibasuo: 66 Anqing: 68 Danshuitun: 64 Shijiu: 59 Yangzi'e: 70

METT at inception and at termination of Project.

Improvement in financial sustainability of the Provincial PA system

Operations: $ 1,077,000. Infrastructure etc. $ 3,970,000

Operations: (30% increase) $1,400,000 Infrastructure etc: (30% increase) $ 5,161,000

Part II: GEF financial sustainability scorecard at inception and conclusion of Project

Outcome 1 Provincial capacity for

Outputs: 1.1 Strategies for incorporating wetland biodiversity conservation considerations into sector policies and guidelines for production



target Source of


PA management is enhanced and pressure on wetland systems are reduced by provision of safeguards and legislation that provide protection from sector practices, by increased and sustainable financing of the PA system, and by increasing the protected wetland area in the province

sectors 1.2 Provincial regulatory frameworks for wetlands adopted ensuring protection of WPAs 1.3 Provincial level PA financing strategy with special focus on Shengjin Lake NNR improves financial sustainability.

Improvement in UNDP Institutional Capacity Score for AFD and Prov. Environment Dept.

AFD 67% AED 51%

AFD 80% AED 61%

UNDP capacity assessment before and at end of Project.

Risks: PPC may not pass the wetland regulations;

The government could refuse to increase the PA operational budget;

Sectors may resist guidelines that promote wetlands biodiversity conservation as an infringement on their mandates.

Assumptions:

It is assumed that budget will be made available as part of the financial commitment of the provincial government for this project;

This legislation is now before the PPC review committee and it is expect it to pass to the full PPC for approval;

It is unlikely that increases for operational PA purposes will be declined;

Sectors will be willing to accept guidelines when they have better understanding of the value of biodiversity protection.

Existence of an appropriate Provincial level wetlands regulatory framework that ensures protection of WPAs

There are no specific provincial wetlands regulations

Prov. wetlands regulations are promulgated by the Provincial People's Congress (PPC).

Decision of Prov. People's Congress and gazetting of regulations

Increase in government financing for PA operations including PA infrastructure development.

Operations: $ 1,077,000. Infrastructure etc. $ 3,970,000

For Provincial WPAs, operational budget is increased by 30% to $1,400,000 Infrastructure etc budget is increased by 30% to $5,161,000

Official government budget figures and verified as part of PA financial scorecard at inception and end of Project

Application of new sector guidelines that reduce impacts from key production sectors operating in the WPA areas

There are no sector guidelines for integrating wetlands biodiversity issues into sectoral plans and strategies

By project end, practices of key sectors (fisheries, water, land and agriculture) are guided by revised sectoral plans informed by the sectors guidelines issued by the project

Guidelines are published ; Project M&E confirms actions



target Source of


Outcome 2 Integrated management systems established for collaborative planning and management for managing threats at the basin level.

Outputs: 2.1 New integrated Shengjin Lake basin plan that is accepted by sectors in place and replicated in at least two additional nature

reserves. 2.2 Cross-sectoral basin level coordination mechanism in place. 2.3 Systems for knowledge management and exchange across WPAs in the Province (and with the MSL programme)

Establishment of an effective basin level cross-sectoral institutional mechanism with representation from conservation, production sectors and local government

0 Operational basin-level coordination mechanism

Provincial government orders or notifications, meeting records

Risks: 1. Sectors are disinterested and do not

participate. 2. Sectors do not agree with

collaborative and integrated planning.

3. City does not adopt a sustainable tourism Master Plan.

Assumptions: 1. All sectors have a strong interest in

conservation of Shengjin Lake for a variety of sector-specific reasons.

2. Strong political support exists at Party and city government level for this type of planning.

3. Strong City and Party support for sustainable ecotourism.

Basin Plan for Shengjin Lake basin that provides an enabling framework for managing multiple uses and guides production sector actions is developed and approved by Chizhou City government.

0 A complete, inter-sectoral basin level plan is developed and used as a basis for sector actions in the basin.

Final / approved basin plan

Manuals for application of basin level integrated planning developed and applied in at least two other WPAs

No guidelines now exist.

Complete set of manuals and guidance is issued for integrated basin planning, and applied to two Yangtze wetlands.

Guidance documents and targets verified by M&E process.

Application of new basin-level plan: Sustainable eco-tourism plan for Shengjin Lake NR and basin.

No tourism plan exists.

Plan is adopted by NNR and Chizhou city government and integrated into City Master Tourism Plan

Minutes of decisions of Chizhou City Government; M&E verification of target



target Source of


Outcome 3 Strengthened

operational capacities reduces on-site threats to biodiversity in Shengjin Lake NNR

Outputs: 3.1 Shengjin Lake NR Management Plan is developed and approved by the AFD. 3.2 Fishing quotas based on ecological carrying capacity are established and accepted by Fisheries sector 3.3 Capacity strengthening tools developed and operational for PA staff and local communities.

Shengjin Lake NNR Management Plan is developed and approved

No Management Plan

Full Management Plan approved and implemented

Decision of AFD, and implementation verified by M&E.

Risks: 1. Habitat is more degraded than

anticipated; 2. EHI targets prove to be impossible

because of external factors; 3. Reduction in fishing stress is not

possible due to lack of eco-compensation funds.

Assumptions: 1. Experimental work in Shengjin

Lake indicate that rehabilitation of habitat is possible;

2. EHI targets are set at a conservative level and should be attainable;.

3. Eco-compensation funds should become available during the life of the Project from national and provincial sources.

Biodiversity and ecosystem health improves.

EHI: Shengjin Lake NR = 0.45 Anqing WPA = 0.46 Shibasuo WPA = 0.63

EHI Targets Shengjin Lake = 0.56 Anqing WPA = 0.49 Shibasuo WPA = 0.70

Ecosystem Health Index verified during M&E process

Economic benefits to local communities in Shengjin Lake NNR increase

Virtually zero. Increase by 10% from baseline

Baseline to be assessed in Year 1 by survey.

Economic Surveys

Incidence of encroachment of intensive fishing in lake habitats especially in core areas reduced Area of key habitat restored through co-management and populations of key species such as Oriental Stork, Siberian White Crane, Hooded Crane and Swan Goose are stabilised

Encroachment is taking place Several lake habitats are degraded Reports of decrease in key wildfowl species

By end of project all fishing carried out according to established quotas and outside the core areas (Note: If economic activities are excluded from the core areas, there are no waters for them, and it is impossible to implement the component of the project (ecotourism, fisheries with quotas). At least 50% of the wildfowl habitats are restored (with at least 3 times natural aquatic vegetation than pre-

Documentation on fishing quotas and monitoring reports;

Fisheries sustainability is determined by carrying capacity assessment.

Reports of periodic evaluation of habitat conditions

Annual surveys of wildfowl and habitat status.



target Source of


restoration) Population of key species remaining stable

223. A detailed activity list and a chronology of activities per output will be finalized upon project inception.


Part II: Incremental Cost Analysis

BASELINE TREND OF DEVELOPMENT OF ANHUI WPAS AND KEY BASELINE PROGRAMS 224. As noted in Part II of Section 1 of this document (Incremental Reasoning) the baseline situation leaves wetland biodiversity in a very insecure situation, with habitats continuing to degrade due to pollution, land use conversion, with conflicting management objectives and little coordination amongst sectors. This arises in part because the Forestry Administration does not exercise control over any of the functions of the WPA such as the fishery, water management, land management decisions etc.. Another important reason is that wetlands are not perceived as 'valuable' within the economic model that is now prevalent in China. Wetlands are officially classified as 'waste land' in the Land Law when, at the same time, wetlands are supposed to be protected from urban and industrial encroachment by other regulations, laws and policies. The result of the baseline situation is continuing degradation of habitat and loss of wetland functions, and loss of globally important wildfowl for which this area is a traditional resting, over-wintering, and staging area along the East Asian-Australian Flyway.

ALTERNATIVE 225. The alternative scenario supported by this GEF Project is threat reduction and enhanced global environmental benefits though a combination of: capacity improvements of WPA staff; mainstreaming wetlands biodiversity conservation into other sectors by using wetland valuation as a basis for presenting wetlands as an economic component of the landscape that is worth preserving for the benefit of all sectors and for the economy; use of economic and knowledge-based tools to bring overfishing into a sustainable situation by moving fishing families into other livelihoods and setting sustainable fishing quotas; by habitat restoration in near-shore and riparian areas that will support a larger migratory bird population; and by increases WPA staff capacity to effectively manage internal and external threats to NRs. The alternative scenario also will bring enhanced revenue to WPA management both by increasing base funding, and though innovative commercial arrangements involving the fishing sector and the rapidly developing ecotourism industry for which wetlands such as Shengjin Lake NNR is a beacon for national and international birdwatchers, and for scientific research and education. The alternative scenario will address both internal and external threats by bringing an integrated basin management approach to WPA areas. The result of these actions will increase the quality and quantity of wetland habitat, improve the livelihood of local residents, and provide suitable habitat to support the traditionally large migrations of waterbirds.

KEY BASELINE PROGRAMS 226. Key baseline programs include the following:

• Infrastructure investments to improve tourism infrastructure (boardwalks, viewing areas, etc.)

• Construction of a new management headquarters and visitor's station for Shengjin Lake NNR.

• 'Grain for birds' program in which local farmers are paid to feed migrating birds from their rice fields.


• Anhui Wetland Regulations: these are in development.

• Annual monitoring of migratory birds Global Environmental Objectives

227. Global environmental objectives are focused on increasing WPA protected area, and increasing the resilience of protected areas to withstand anthropogenic and climate change-induced shocks. This will have the net effect of ensuring survival of keystone and lesser species that use these WPAs as staging, breeding and feeding areas. These benefits will be achieved by interventions that will: (i) increase management effectiveness at the PA level through a range of interventions at Shengjin Lake NNR and five other WPAs in Anhui Province from a METT baseline of 37-65 (average 57) to 65-90 (average 76.5); (ii) improving the overall Environmental Health Index from 45-63 (average 51.3) for three WPAs to 49-70 (average of 58); (iii) increasing wetland protected area in Anhui Province by at least 43.7%; and (iv) increasing core financial support both to operations and infrastructure by at least 30%. Global environmental objectives will be also be realized through enhanced protection of WPA biodiversity through interventions in habitat restoration, anti-poaching measures, threat reduction both to those threats inside and outside the PAs through effective planning at the basin level. Inclusion of local communities in decision-making, co-management arrangements with communities, and PPP arrangements with local fishing companies based on technically sound principles of lake carrying capacity will add resilience to the WPA ecosystems. Sustainable ecotourism will be developed that will both bring revenue to conservation activities, and ensure continued viability of the aquatic ecosystems and the migrating wildfowl that use these ecosystems. Finally, inter-sectoral conflicts over WPA uses will be significantly reduced through mainstreaming, by collective management decision-making, and through an economics-based focus on the economic value of wetlands goods and services.

System Boundary 228. The project aims to achieve the in situ conservation of Anhui's wetland biodiversity - fauna, flora, habitats and ecosystem processes. Geographically, the project is limited to Anhui Province but will have strong connections with two other parallel wetland projects in Hunan and Hebei Provinces (the latter is one of the six MSL projects). Some aspects of the project (Components 1) cover the entire province, including professional competency standards, institutional capacity building, economic valuation of wetland goods and services and WPA financing, and mainstreaming. Component 2 focuses on bringing a basin management approach that will be pioneered in Shengjin Lake NNR and extended to at least two other WPAs. Component 3 focuses on building human resource capacity as well as on technical issues (such as habitat restoration) and strengthening the management effectiveness of the WPA system. It also supports in-depth interventions on management planning, community co-management, wetland restoration, targeted awareness raising and applied research at specific demonstration sites. Overall, the project strategy aims to achieve a greatly strengthened network of wetland PAs that effectively conserves Anhui's highly important and unique wetland ecosystems within the context of a more efficient and expanded provincial PA system with a strengthened financial basis to support operational management costs. Baseline and incremental costs have been assessed over the five-year life span of the project.


SUMMARY OF COSTS 229. Table 11 provides a summary of costs relative to baseline, the Alternative, and the Increment that is leveraged by the Project. During detailed costing of activities during the PPG, it was found that there was some small imbalance in funds allocated to the three Outcomes in the PIF. These have been revised as follows: relative to the GEF allocation to each Outcome in the PIF, Outcome 1 is +7.2%, Outcome 2 is -7.7%, and Outcome 3 is -0.1%.41. There is no change to the co-financing allocated to each Outcome. The total amount is the same as that in the PIF.

Table 12: Incremental Cost Matrix Cost/Benefit Baseline

(B) Alternative

(A) Increment

(A-B)

BENEFITS

Global Benefits

Inadequate legal protection, PA management capacity, financing for PA operational costs, and mainstreaming of PA system concerns into other sectors results in ineffective PA management and PA system weaknesses. Globally significant wetland ecosystems inside and outside Anhui's PA system are partially protected but being degraded. Globally significant wetland biodiversity is declining inside and outside Anhui's PA system.

Upgrading of legal status for selected PAs, extension of the PA system by creation of new PAs and integration of others; financing plan for PA system and review and demonstration of sustainable financing options, enable improved PA management and improved protection; Improved protection and management through development of professional competency standards, capacity building and demonstration activities, enhanced community co-management, awareness levels. Threats reduced through improved legal protection and enforcement, sector specific standards and inter-sectoral collaboration mechanisms established, enhanced awareness of economic values and improved information management.

Increased area of globally significant ecosystems included in Anhui's PA system, and receive enhanced legal protection. Threats to globally significant wetland biodiversity within protected areas are reduced. Globally significant wetland biodiversity is conserved and used sustainably within Anhui's wetland PA system. Increased security for globally significant species reliant on Anhui’s wetland PA system.

National and local benefits

Wetland ecosystem services in PAs threatened by encroachment, unsustainable uses and lack of inter-sectoral cooperation; ecotourism potential unrealized.

Wild fishery is greatly impaired; caged fishery destroys all wetland services.

Wetland ecosystem services in PAs maintained through improved integrated resource management, increased awareness of economic values of ecosystem services, and ecotourism standards and incentives. Fishing and other wetland product harvesting are regulated, community resource use conflicts managed through co-management agreements, and sustainable resource usage improved through awareness raising, alternative livelihoods and eco-compensation schemes.

Wetland ecosystem services provide sustainable flow of benefits to local communities and provincial economy. Increased tourism revenues and benefits to local communities from alternative land uses. Increased sustainability of land and resource uses provides greater security of income for local communities and consumptive uses increasingly replaced by non-consumptive uses such as ecotourism.

COST/BENEFIT

41 These do not add up to 100% as they are percentages of each Outcome budget, not the total budget. The total for the three Outcomes as the same as in the PIF.


Cost/Benefit Baseline (B)

Alternative (A)

Increment (A-B)

Outcome 1: Enhanced provincial capacities for WPA system management.

Baseline: Operations: $30,000 Other: $800,000. Total: $830,000

Alternative: $4,830,271

GEF $ 542,471. Cofinance: $ 3,457,800.

Total: $ 4,000,271.

Outcome 2: Strengthened basin-level coordination for sustainability of the WPA system.

Baseline: Operations: $30,000 Other: $800,000. Total: 830,000

Alternative: $ 4,754,400

GEF $ 466,600 Cofinance: $ 3,457,800 Total: $ 3,924,400.

Outcome 3: Reduced threats to biodiversity at the Shengjin Lake NNR and adjacent WPAs

Baseline: Operations: $90,000 Other: $2,400,000. Total: $2,490,000

Alternative: $ 14,383,973

GEF $ 1,520, 200 Cofinance: $10,373,773

Total: $ 11,893,973

Project Management

0 Alternative: $ 983,382

GEF: $ 125,500. Cofinance: $ 857,882. Total: $ 983,382.

TOTAL COSTS

Baseline: $4,150,000.

Alternative: $24,952,026

GEF: $ 2,654,771 Cofinance: $ 18,147,255

Total: $ 20,802,026


SECTION III: Total Budget and Workplan

Award ID: 00071021 Business Unit: CHN10 Project ID:

00084732 Project Title: CBPF-MSL: Strengthening the management effectiveness of the

wetland protected areas systems in Anhui Province. Award Title: PIMS 4868 BD FSP CBPF-MSL.

Wetland PAs in Anhui Province Implementing Partner

(Executing Agency) Forestry Department of Anhui Province

GEF

Outcome/

Atlas Activity

Impleme

nting

Agent

Fund

ID

Donor

Name

Atlas

Budgetary

Acct Code

Atlas Budget

Description

Amount

Year 1

(USD)

Amount

Year 2

(USD)

Amount

Year 3

(USD)

Amount

Year 4

(USD)

Amount

Year 5

(USD)

Total

(USD)

Budg

et

Notes

OUTCOME 1:

Enhancing

provincial

capacities for

WPA system

management

AFD 62000 GEF

71200 International

Consultants 6,500 6,500 17,000 6,500 18,000 54,500 1

71300 National

Consultants 15,000 22,400 16,000 15,900 12,400 81,700 2

71600 Travel 10,000 80,000 10,000 10,000 8,271 118,271 3

72100 Contractual service

companies 25,300 75,500 75,800 25,500 25,600 227,700 4

75700 Training 15,000 25,000 10000 5,000 5,000 60,000 5

Total 71,800 209,400 128,800 62,900 69,271 542,171

OUTCOME 2:

Strengthening

basin level

coordination

for

sustainability

of WPA

system

SFA 62000 GEF

71200 International

Consultants 6,500 6,500 17,000 6,500 18,000 54,500 1

71300 National

Consultants 30,000 30,000 30,000 30,000 30,000 150,000 2

71600 Travel 10,000 10,000 12,000 10,000 20,000 62,000 6

72100 Contractual service

companies 20,000 40,000 40,000 26,000 8,000 134,000 7

72200 Equipment 15,000 15,000 5,000 2,000 2,000 39,000 8

75700 Training 5,300 5,300 5,600 5,300 5,900 27,400 9

Total 86,800 106,800 109,600 79,800 83,900 466,900


OUTCOME 3:

Reducing

threats to

Shengjin Lake

NR and

adjacent

WPAs

AFD 62000 GEF

71200 International Consultants

6,500 6,500 17,000 6,500 18,000 54,500 1

71300 National Consultants 25,000 26,500 22,400 22,400 22,400 118,700

2

71600 Travel 3,300 50,300 8,600 8,300 8,600 79,100 10

72100 Contractual service companies 30,000 160,000 160,000 150,000 120,000 620,000

11

72200 Equipment 40,000 40,000 40,000 40,000 40,000 200,000 12

72300 Material & Goods 10,000 80,000 80,000 60,000 40,000 270,000 13

75700 Training 19,700 39,700 39,700 39,700 39,100 177,900 14

Total 134,500 403,000 367,700 326,900 288,100 1,520,200

Project

Management

AFD 62000 GEF

71300 National Consultants 7,000 7,000 7,000 7,000 7,000 35,000

15

71600 Travel 5000 5000 5000 5000 9000 29,000 16

72200 Equipment 8,000 5000 1500 1000 0 15,500 17

74100 Audit fees 4000 4,000 4,000 4,000 4,000 20,000 18

74500

UNDP cost recover charges and Misc. office expenses

5,500 5,500 5,000 5,000 5,000 26,000 19

Total 29,500 26,500 22,500 22,000 25,000 125,500

PROJECT TOTAL 322,600 745,500 628,600 491,600 466,271 2,654,771

Sources of

Co-financing

Name of

Co-financier

Type of

Co-

financing

Amount

(US$)

Provincial

Government

Anhui

Forestry

Department

Grant 11,687,800

In kind 5,759,455

GEF Agency UNDP Grant 700,000

Total co-

financing

18,147,255

Source Year 1 Year 2 Year 3 Year 4 Year 5 Total

GEF 322,600 745,700 628,600 491,600 466,271 2,654,771

AFD (grant) 500,000 3,250,000 3,250,000 3,000,000 1,687,800 11,687,800

AFD (in kind) 800,000 1,500,000 1,500,000 1,000,000 959,455 5,759,455

UNDP (Cash) 125,000 150,000 150,000 150,000 125,000 700,000

Total 1,747,600 5,645,700 5,528,600 4,641,600 3,238,526 20,802,026


Budget Notes:

OUTCOME 1

The consultant cost for International Technical Adviser ($2,500/ week for 40 weeks) and M&E Expert ($2,500/ week for 25.40 weeks).

1

2

a. The local consultant cost for Provincial Coordinator ($312/ week for 125 weeks).

b. The local consultant cost for Project Manager ($638/ week for 150 weeks).

c. The local consultant cost for Administrative Assistant ($338/ week for 150 weeks).

d. The local consultant cost for M&E Evaluation experts ($1,000/ week for 17.5 and for 2 persons).

e. The local consultant cost for Senior NR Management Expert ($1,500/ week for 40 weeks).

f. The local consultant cost for Communication and Education Awareness Specialist & Training Coordinator ($300/ week for 190 weeks).

g. The local consultant cost for Habitat Rehabilitation Expert ($1000/ week for 3 weeks).

h. The local consultant cost for Lake Carrying Capacity Expert ($1000/ week for 3 weeks).

i. The local consultant cost for Wildfowl Monitoring Expert ($1000/ week for 4 weeks).

j. The local consultant cost for Database and GIS Developer ($1000/ week for 3 weeks).

3 Pro rata travel costs for international, national consultants and project staff at approved DSA rates; international study tour for 10 senior provincial managers. (supports Outcome 1)

4

Service contracts to implement activities in Component 1: (a) Wetland valuation ($30,000)(Output 1.3) (b) Develop mainstreaming criteria + training+monitoring ($15,000) (Output 1.2); (c) assist AFD to evaluate WPA expansion + policy interventions, etc.($25,000) (Output 1.1); (d) database/GIS system for WPAs and populate the system ($20,000) (Supports Outcome 1); (e) one or more contracts to assess valuation potential etc., at other WPAs ($20,000) (Output 1.3); (e) contracts to assist WPA managers to implement administrative and technical improvements ($80,000) (supports Outcome 1); (f) $35,000 for other miscellaneous contracts over the life of Outcome 1 (for all outputs)

5 Inception Workshop (Year 1-mandatory); Training of provincial-level officials – these are direct costs that include facilities rental, preparation of training materials; translation, etc. (shared with other Outcomes)

OUTCOME 2

6 Travel costs for international and national consultants and project staff where travel is not part of a service contract; Extensive travel over some important wetland PAs); travel for domestic training.

7 Service contracts: (a) basin planning ($60,000); (b) Alternative livelihoods and ecocompensation ($30,000); (c) Ecotourism ($30,000); (d) misc. contracts ($14,000)

8 Essential equipment to operationalize interactive databases in NRs: computers, routers, printers, + software (GIS, etc. licences)

9 Training of basin officials, community development and CDD, public and educational training – these are direct costs that include facilities rental, preparation of training materials; translation, etc.


OUTCOME 3

10 Estimated travel costs for all activities, plus travel for training of WPA staff elsewhere in china (domestic study tours), etc..+ travel for international and domestic staff and consultants.

11

Service contracts: Carrying Capacity ($40,000) (output 3.2); Biomonitoring planning for other WPAs ($25,000) (output 3.3); Management Plan for Shengjin Lake NNR and adjacent WPAs ($160,000) (output 3.1); Wetland Rehabilitation ($250,000) (output 3.1, 3.2.); Plan and build constructed wetland ($20,000) (output 3.3.)

Training will be required for staff to take over and implement that the above services contracts ($25,000); CDD (Community driven development under contract to assist local fishermen to develop alternative livelihoods- $20,000);

Patrolling ($10,000) – this will be done by local village residents under contract to the Project; the amount is an estimate of cost amongst 5 WPAs. (output 3.3)

Creation and distribution of educational and promotional materials ($50,000) (supports Outcome 3)

12 GEF contribution to monitoring & enforcement equipment required by NRs; small boats/motors, automated observation apparatus, remote monitoring equipment, telecom equipment required for above, etc.. Co-financing will pay largest amount for equipping the NRs.

13 Purchase of wetland supplies - nets, wood, seed stock, etc..; purchase of fishing existing fishing licences, boats, etc. for rehabilitation. UNDP-DPS for this component. The total costs will be substantially co-financed. (output 3.2 & 3.3)

14 Capacity building for WPA staff is a major part of this Outcome; training costs include training contracts for capacity building + hiring of venues, contracting trainers ($60,000); preparation of training materials, translation from English documents, printing.(output 3.3)

PROJECT MANAGEMENT

15 Salaries for Project Manager; Project Assistant; Accountant : excess over GEF allowable amount is paid by cofinancing.

16 Travel associated with project management

17 Project management equipment (office equipment)

18 Annual project audit cost.

19

Estimated UNDP Direct Project Service/Cost recovery charges for international consultant recruitment services requested by the AFD to UNDP for executing services as indicated in the Agreement in Section IV, Part 1 of the Project Document. In accordance with GEF Council requirements, the costs of these services will be part of the executing entity’s Project Management Cost allocation identified in the project budget. DPS costs would be charged at the end of each year based on the UNDP Universal Price List (UPL) or the actual corresponding service cost. The amounts here are estimations based on the services indicated, however as part of annual project operational planning the DPS to be requested during the calendar year would be defined and the amount included in the yearly project management budgets and would be charged based on actual services provided at the end of that year. Estimated amount: US$ US$953×3 international recruitments = $2,859 over the life of the Project.

This amount includes Project Management Office running expenses includes consumables, telephone, maintenance contracts, repairs, etc..


SECTION IV: ADDITIONAL INFORMATION

PART I: Other agreements

The role of Chizhou City in co-financing of this project, especially for Component #3, is according to an agreement between the city government and the provincial department of finance. National co-financing is, however, entirely the responsibility of the provincial government as shown in the co-financing letter below. The DPR agreement between Anhui Forestry Department and UNDP-CO will be appended. There are no other agreements in place that are pertinent to this Project.


CO-FINANCING LETTER


PART II: Organogram of Project

Note: Dongting Lake FAO-GEF project and the other four MSL projects are closely related to the Anhui project with many similar issues and objectives. This Project will closely liaise with these other projects.

Provincial Coordinator Natural Protection and Management Station,

AnLakei Forestry Department, Hefei

Functions: coordination of provincial level

activities & ensuring cofinancing commitments are

met.

Anhui Provincial Project Director (AnLakei Provincial Forestry Department)

Project Manager Shengjin Lake NNR

Functions: Overall project management;

all activities related to Shengjin Lake

NNR and surrounding river basin

National MSL Project Office Beijing

Inter-sectoral Coordinating

Committee for Shengjin Lake

Project Steering Committee

Support Staff Admin. Assistant

Finance Officer

Dongting Lake FAO-GEF Project, Hunan Province

Other MSL projects


PART III: Terms of References for key project staff

Note: Because the project is implemented by the provincial forestry department, it is necessary to have a provincial-level coordinator (PC) as well as a Project Manager. The PC is mainly responsible for liaison amongst various government departments, including the provincial finance department, and for direct involvement in implementation activities that focus at the provincial level (Component 1) but under the technical purview of the PM. The Project Manager (PM) is responsible for the implementation of the entire project but will be assisted in Component 1 by the PC. The PC will be located in Hefei whereas the PM will be located at the project offices near Shengjin Lake NNR where many of the implementation actions will take place in Components 2 and 3.

PROVINCIAL COORDINATOR Background The Provincial Coordinator (PC) will be appointed from staff of the AFD (but subject to approval of UNDP on the basis of technical and administrative suitability and according to the qualifications noted below). He/She will be responsible for the overall coordination of the project amongst various levels of government, the executing agency and UNDP, and for mobilization of all project inputs that relate to provincial level activities. This will include oversight over project staff, consultants and sub-contractors working on Outcome 1 and responsible for Component 1 activities that are assigned to him/her by the Project Manager. The PC will report to the Provincial Project Director and to the UNDP CO in close consultation with the host institution for all of the project’s substantive and administrative issues. From the strategic point of view of the project, the PC will report on a periodic basis to the Project Steering Committee (PSC). Generally, the PC will be responsible for meeting government obligations under the project, under the national execution modality (NEX). He/She will perform a liaison role with the Government, UNDP and other UN Agencies, NGOs and project partners, and maintain close collaboration with other donor agencies providing co-financing. Duties and Responsibilities (half-time position)

Coordination: The PC assists the Project Director in ensuring the Project is managed according to the requirements of the AFD, that co-financing commitments are delivered according to Project need and provincial commitment, that coordination with other sectors and amongst all PAs involved in the Project is maintained, and that all requirements of the Province and UNDP/GEF are met. In consultation with the PM, the PC will call meetings of the Project Steering Committee. In these areas, he/she will work closely with the Project Manager.

Activity Implementation: The PC will be responsible to the Project Manager for activities that are assigned to him/her by the Project Manager and especially for Component 1. For this purpose the PC will:

• Liaise closely with the Project Manager and Project Office on all activities, especially those that fall under Component 1;

• He/she will assist the PM in implementing activities in Component 2 as requested by the PM;

• Supervise and coordinate the production of project outputs, as per the project document;

• Mobilize all project inputs in accordance with UNDP procedures for nationally executed projects;


• Supervise and coordinate the work of consultants and contractors for Component 1 under the general direction of the PM;

• Coordinate the recruitment and selection of implementation personnel for activities in Component 1, under the general direction of the PM;

• Coordinate and assist scientific institutions with the initiation and implementation of all field studies and monitoring components of the project.

• Assist and advise the teams responsible for documentaries, TV spots, guidebooks and awareness campaign, field studies, etc;

• Carry out regular, announced and unannounced inspections of all sites and the activities of the project site management units and reports these to the PM, and

• Participate in project activities in his/her area of expertise.

Project oversight: To fulfill the role of ensuring that the project meets all requirements of the province and executing agency, the PC will undertake periodic oversight of all activities of the Project every six months, and advise the Project Manager of problems, short-falls, improvements, etc. that should be undertaken. The PC will be responsible for all M&E activities, the establishing of the M&E protocols, detailed indicators, etc. The PC will monitor any changes etc., that occur as a result of this oversight, or changes introduced independently of this oversight, and report on progress to the Project Manager and Project Director. Backstopping for Project Management Office (PMO): The PC will provide administrative and technical oversight of the work of the PMO (Shengjin Lake) as follows:

• Ensure the timely and effective implementation of all components of the project;

• Ensure that all reporting requirements are timely and meet professional requirements;

• Review and sign off on all contracts and contractors reports.

• Participate in the Technical Advisory Panel meetings and as an 'ex officio' member of the Shengjin Lake Steering Committee;

• Advise the Project Manager on any changes in project direction/content/budget that may be decided by the project steering committee and/or UNDP;

• Review expenditure performance;

• With the PM, oversee and ensure timely submission of the Inception Report, Combined Project Implementation Review/Annual Project Report (PIR/APR), Technical reports, quarterly financial reports, and other reports as may be required by UNDP, GEF, SFA and other oversight agencies;

• Disseminate project reports and respond to queries from concerned stakeholders;

• Report progress of project to the steering committees, and ensure the fulfillment of steering committees directives;

• Oversee the exchange and sharing of experiences and lessons learned with relevant community based integrated conservation and development projects nationally and internationally;

Qualifications

• A university degree (MS or PhD) in a subject related to natural resource management or environmental sciences, or equivalent practical experience in positions of responsibility;


• At least 10 years of experience in natural resource management (preferably in the context of WPA planning and management);

• At least 5 years of project/programme management experience;

• Working experience with ministries, national or provincial institutions concerned with natural resource management and environmental protection is a plus, but not a requirement;

• Ability to effectively coordinate a large, multi-stakeholder project;

• Ability to administer budgets, train and work effectively with counterpart staff at all levels and with all groups involved in the project;

• Strong drafting, presentation and reporting skills;

• Strong computer skills, in particular all applications of the MS Office package, and internet search;

• Strong knowledge about the political and socio-economic context related to the protected area system, biodiversity conservation and wetlands management at national, provincial and municipal levels;

• Excellent writing communication skills in Chinese; and

• A working knowledge of English is required. PROJECT MANAGER (full-time) Background The Project Manager (PM) will be a national of China and may be recruited externally or appointed from staff of the AFD (but subject to approval of UNDP on the basis of technical and administrative suitability and according the qualifications noted below). He/She will be responsible for the overall management of the project, including the mobilization of all project inputs, supervision over project staff, consultants and sub-contractors. The PM will report to the Project Director for all of the project’s substantive and administrative issues. The PM will work closely with the Provincial Coordinator to ensure that provincial responsibilities are fully met. From the strategic point of view of the project, the PM will report on a periodic basis to the Project Steering Committee (PSC). He/She will, with the Provincial Coordinator, liaise with the Government, UNDP and other UN Agencies, NGOs and project partners, and maintain close collaboration with other donor agencies providing co-financing. The Project Manager will have particular experience in protected area management and management planning. Duties and Responsibilities Project Management (50%)



• Call meetings of the Project Steering Committee;

• Allocate technical implementation responsibilities for Component 1 to the Project Coordinator and maintain oversight over those activities;

• Prepare and revise project work and financial plans, as required by Anhui Forestry Department and UNDP;


• Review and approve tenders, contracts and bid proposals;

• Approve all financial expenditures;

• With the Project Coordinator, liaise with UNDP, AFD, relevant government agencies, and all project partners, including donor organizations and NGOs for effective coordination of all project activities;

• Facilitate administrative backstopping to subcontractors and training activities supported by the Project;

• Oversee and ensure timely submission of the Inception Report, Combined Project Implementation Review/Annual Project Report (PIR/APR), Technical reports, quarterly financial reports, and other reports as may be required by UNDP, GEF, SFA and other oversight agencies;


• Report progress of project to the steering committees, and ensure the fulfillment of steering committees directives;

• Ensure the timely and effective implementation of all components of the project;

• Carry out regular, announced and unannounced inspections of all sites and the activities of the project site management units.

Technical Supervision/Participation (50%)

• Supervise and coordinate the work of all project staff, consultants and contractors;

• Coordinate the recruitment and selection of project personnel;


• Assist community groups, municipalities, NGOs, staff, students and others with development of essential skills through training workshops and on the job training thereby upgrading their institutional capabilities;

• Coordinate and assist scientific institutions with the initiation and implementation of all field studies and monitoring components of the project;

• Participate in project activities in his/her area of expertise;

• Assist and advise the teams responsible for documentaries, TV spots, guidebooks and awareness campaigns.

Qualifications

• A university degree (MS or PhD) in a subject related to natural resource management or environmental sciences, or equivalent practical experience in positions of responsibility;

• At least 10 years of experience in natural resource management (preferably in the context of WPA planning and management);

• At least 5 years of project/programme management experience;

• At least 5 years of protected area management and planning experience;

• Working experience with ministries, national or provincial institutions concerned with natural resource management and environmental protection is a plus, but not a requirement;

• Ability to effectively coordinate a large, multi-stakeholder project;

• Ability to administer budgets, train and work effectively with counterpart staff at all levels and with all groups involved in the project;


• Strong presentation and reporting skills;

• Strong computer skills, in particular all applications of the MS Office package, and internet search;

• Strong knowledge about the political and socio-economic context related to the protected area system, biodiversity conservation and wetlands management at national, provincial and municipal levels;

• Excellent writing communication skills in Chinese, and

• A working knowledge of English is required.

PROJECT ADMINISTRATIVE ASSISTANT (full time)

Background The Project Assistant will be locally recruited based on an open competitive process. He/She will be responsible for the overall administration of the project. The Project Assistant will report to the Project Manager. Generally, the Project Administrative Assistant will be responsible for supporting the Project Manager in meeting government obligations under the project.

Duties and Responsibilities

• Collect, register and maintain all information on project activities;

• Contribute to the preparation and implementation of progress reports;

• Monitor project activities, budgets and financial expenditures;

• Advise all project counterparts on applicable administrative procedures and ensure their proper implementation;

• Maintain project correspondence and communication;

• Support the preparations of project work-plans and operational and financial planning processes;

• Assist in procurement and recruitment processes;

• Assist in the preparation of payments requests for operational expenses, salaries, insurance, etc. against project budgets and work plans;

• Follow-up on timely disbursements by UNDP CO;

• Receive, screen and distribute correspondence and attach necessary background information;

• Prepare routine correspondence and memoranda for Project Manager’s signature;

• Assist in logistical organization of meetings, training and workshops;

• Prepare agendas and arrange field visits, appointments and meetings both internal and external related to the project activities and write minutes from the meetings;

• Maintain project filing system;

• Provide procurement requirements and information for equipment acquisition and undertake procurement according to provincial and UNDP procurement requirements.

• Maintain records over project equipment inventory;


• Translate documents between Chinese and English and limited oral translation at working meetings;

• Perform other duties as required.

Qualifications

• A post-secondary school qualification (college diploma, or equivalent);

• Administrative and/or financial management experience;

• Demonstrable ability to administer project budgets, and track financial expenditure;

• Demonstrable ability to maintain effective communications with different stakeholders, and arrange stakeholder meetings and/or workshops;

• Excellent computer skills, in particular mastery of all applications of the MS Office package;

• Understanding of the civil legal system is an advantage in regards to procurement, contracts, liabilities, intellectual property, etc..

• Excellent written and oral communication skills; and

• A working knowledge of English is required.

PROJECT FINANCE OFFICER (full time) Background The Financial Officer has the primary responsibility for managing financial flows, approvals, audits, payments, etc., for all activities associated with the Project. The Financial Officer will work closely with the half time financial officer that reports directly to the Provincial Coordinator (for the purpose of coordinating financial arrangements between the Project and the Anhui Department of Finance and managing the financial aspects of Activities of Component 1 that are assigned to the Project Coordinator).

Duties and Responsibilities

• Organize and keep secure all financial information related to the Project according to accounting norms;

• Assist with PM and PC to prepare for budget plan and budgeting report and etc;

• Assist with project audits;

• Control the project accounts, accounting ledgers, and bank accounts used by the project;

• Take all necessary steps to ensure that funds are received, paid out, etc., are accounted for;

• Prepare quarterly expenditure plans for approval by the Project Manager;

• Liquidate outstanding accounts according to requirements of the GEF and UNDP;

• Assist with writing contracting documents to ensure the financial details are clear and in according with all legal requirements;


• Keep and inventory of all project equipment, certificates of ownership, warranties, bill of sale, etc;

• Manage petty cash to government standards;

• Prepare and submit monthly financial statements for use by the Project Manager and the Provincial Coordinator;

• Prepare and submit to the Project Manager all financial reporting requirements of the Chinese Government and/or the UNDP;

• Respond to all financial requests made by project management.

Qualifications

• Certification in financial management (obligatory);

• Five years of experience in financial management, accounting, and book-keeping;

• Excellent and up-to-date knowledge of Chinese legal requirements for financial management and financial management practices;

• Ability to liaise with senior financial managers from AFD, Chizhou City, SFA, etc;

• Ability to prepare monthly statements, projected expenditures, and timely liquidation of outstanding commitments;

• Project experience is an asset;

• Good written and oral communication skills;

• Ability to work under pressure and without direct supervision.


OVERVIEW OF INPUTS FROM TECHNICAL ASSISTANCE CONSULTANTS Table 13: Overview of Inputs from Technical Assistance Consultants

Consultant $/Person

Week Person Weeks

Tasks and Inputs

Local / National contracting42 Provincial Coordinator (located in AFD, Hefei)

$312 125 25weeks per year over five years (1/2 time position)

Scope: The Provincial Coordinator is responsible for ensuring the project is coordinated with all stakeholders and fulfills the requirements of the executing agency. He/She will implement project activities that are identified with Component 1.

Coordination: The PC assists the Project Director in ensuring the Project is managed according to the requirements of the AFD, that co-financing commitments are delivered according to Project need and provincial commitment, that coordination with other sectors and amongst all PAs involved in the Project is maintained, and that all requirements of the Province and UNDP/GEF are met. In consultation with the PM, the PC will call meetings of the Project Steering Committee. In these areas, he/she will work closely with the Project Manager.

Activity Implementation: The PC will be responsible to the Project Manager for all activities that are within Component 1 (provincial-level activities). For this purpose the PC will:

• Liaise closely with the Project Manager and Project Office on activities that fall under Components 1 and 2.



• Supervise and coordinate the work of consultants and contractors;

• Coordinate the recruitment and selection of implementation personnel;

• Coordinate and assists scientific institutions with the initiation and implementation of all field studies and monitoring components of the project.

• Assist and advise the teams responsible for documentaries, TV spots, guidebooks and awareness campaign, field studies, etc; and

• Carry out regular, announced and unannounced inspections of all sites and the activities of the project site management units.

• Participates in project activities in his/her area of expertise.

Project oversight: To fulfill the role of ensuring that the project meets all requirements of the province and executing agency, the PC will undertake periodic oversight of all activities of the Project every six months, and advise the Project Manager of problems, short-falls, improvements, etc.. that should be undertaken. The PC will be responsible for all M&E activities, the establishing of the M&E protocols, detailed indicators, etc.. The PC will monitor any changes etc., that occur as a result of this oversight, or changes introduced independently of this oversight, and report on progress to the Project Director. Backstopping for Project Management Office (PMO): The PC will provide administrative and technical oversight of the work of the PMO (Shengjin Lake):

• Ensures the timely and effective implementation of all components of the project;

• Ensures that all reporting requirements are timely and meet professional requirements.

42 Salaries for full and part-time staff include social welfare benefits and housing allowance, as appropriate.


Consultant $/Person

Week Person Weeks

Tasks and Inputs

• Reviews and signs off on all contracts and contractors reports.

• Participate in the Technical Advisory Panel meetings and as an 'ex officio' member of the Shengjin Lake Steering Committee.

• Advises the Project Manager on any changes in project direction/content/budget that may be decided by the project steering committee and/or UNDP.

• Reviews expenditure performance and approves all financial expenditures.

• With the PM, oversees and ensures timely submission of the Inception Report, Combined Project Implementation Review/Annual Project Report (PIR/APR), Technical reports, quarterly financial reports, and other reports as may be required by UNDP, GEF, SFA and other oversight agencies;


• Report progress of project to the steering committees, and ensure the fulfillment of steering committees directives.


Project Manager (located in Project Management Office in Shengjin NNR) (Protected Area Management Specialist)

$ 638. 170 34 weeks/ year, for 5years

Scope: The Project Manager is responsible for overall management of the project activities and timely and quality delivery of project outputs. He/She will work closely with the Provincial Coordinator to ensure that all project outputs for Components 1 and all reporting is submitted to the Project Director in a timely manner. The Project Manager will directly control all activities associated with Component 3 and that are with Shengjin Lake NNR and its river basin43.

Project Management (50%)



• Calls meetings of the Project Steering Committee.

• Allocate technical implementation responsibilities for Component 1 to the Project Coordinator and maintain oversight over those activities.

• Prepare and revise project work and financial plans, as required by AFD and UNDP;

• Review and approve tenders, contracts and bid proposals;

• Approve all financial expenditures.

• With the Project Coordinator, liaise with UNDP, AFD, relevant government agencies, and all project partners, including donor organizations and NGOs for effective coordination of all project activities;

• Facilitate administrative backstopping to subcontractors and training activities supported by the Project;

• Oversee and ensure timely submission of the Inception Report, Combined Project Implementation Review/Annual Project Report (PIR/APR), Technical reports, quarterly financial reports, and other reports as may be required by UNDP, GEF, SFA and other oversight agencies;


• Report progress of project to the steering committees, and ensure the fulfillment of steering committees directives.

• Ensures the timely and effective implementation of all components of the project;

• Carry out regular, announced and unannounced inspections of all sites and

43 The Project Coordinator will be accountable to the PM for technical activities associated with Component 1 (provincial level activities)


Consultant $/Person

Week Person Weeks

Tasks and Inputs

the activities of the project site management units. Technical Supervision/Participation (50%)

• Supervise and coordinate the work of all project staff, consultants and sub-contractors;

• Coordinate the recruitment and selection of project personnel;


• Assist community groups, municipalities, NGOs, staff, students and others with development of essential skills through training workshops and on the job training thereby upgrading their institutional capabilities;

• Coordinate and assists scientific institutions with the initiation and implementation of all field studies and monitoring components of the project

• Participates in project activities in his/her area of expertise.

• Assist and advise the teams responsible for documentaries, TV spots, guidebooks and awareness campaign, field studies, etc; and

Administrative Assistant (located in Project Management Office in Shengjin NNR)

$338. 175 35 weeks /year, over 5years

Scope: the Administrative Assistant will be responsible for all administrative duties associated with the project as a whole, but will share responsibilities for activities of Component 1 and 2 with the Provincial Coordinator.

Duties: Project Assistant will be responsible for overall administration of the project. S/he will:

� Collect, register and maintain all information on project activities;

� Contribute to the preparation and implementation of progress reports;

� Monitor project activities, budgets and financial expenditures;

� Carry out translations to/from English/Chinese of all project documents

� Translate at meetings (but not for conferences and workshops)

� Carry out correspondence with foreign consultants to the project.

� Advise all project counterparts on applicable administrative procedures and ensure their proper implementation;

� Maintain project correspondence and communication;

� Support the preparations of project work-plans and operational and financial planning processes;

� Assist in procurement and recruitment processes;

� Assist in the preparation of payments requests for operational expenses, salaries, insurance, etc. against project budgets and work plans;

� Follow-up on timely disbursements by UNDP CO;

� Receive, screen and distribute correspondence and attach necessary background information;

� Prepare routine correspondence and memoranda for Project Managers signature;

� Assist in logistical organization of meetings, training and workshops;

� Prepare agendas and arrange field visits, appointments and meetings both internal and external related to the project activities and write minutes from the meetings;

� Maintain project filing system

� Maintain records over project equipment inventory; and

� Perform other duties as required.

Project Financial Officer

260 52 weeks/ year, for

Scope: The Financial Officer has the primary responsibility for managing financial flows, approvals, audits, payments, etc., for all activities associated with Component 3 and for those activities in Components 1 and 2 that are


Consultant $/Person

Week Person Weeks

Tasks and Inputs

(located in Project Management Office in Shengjin NNR)

five years implemented in Shengjin Lake NNR or its surrounding river basin. The Financial Officer will work closely with the half time financial officer that reports to the Provincial Coordinator for the purpose of coordinating financial management between the three Project components.

Finance Duties:

� Organize and keep secure all financial information related to the Project according to accounting norms.

� Take all necessary steps to ensure that funds are received, paid out, etc., are accounted for.

� Assist with writing contracting documents to ensure the financial details are clear and legal.

� Keep and inventory of all project equipment, certificates of ownership, warranties, bill of sale, etc..

� Manage petty cash to government standards. � Prepare and submit monthly financial statements for use by the Project

Manager and the Provincial Coordinator. � Prepare and submit to the Project Manager all financial reporting

requirements of the Chinese Government and/or the UNDP.

M&E Evaluation experts (x2)

$1,000/wk

19 3.8 weeks per year / person. for 5 years

The standard UNDP/GEF project evaluation TOR will be used. This will include: participate, alongside the international consultants, in the mid-term and final evaluation of the project, in order to assess the project progress, achievement of results and impacts; develop draft evaluation report and discuss it with the project team, government and UNDP; as necessary, participate in discussions to realign the project time-table/log frame at the mid-term stage

Senior NR Management Expert (all outputs)

$1,500/week

40 8 weeks/ yr, over 5 years

This expert will provide high-level technical advice in developing the management plans for Shengjin Lake and surrounding WPAs. � Provide guidance and expertise in the steps and processes for developing

comprehensive NR management plans. � Review NR Management Plan for Shengjin Lake and advise on

requirements for revisions, etc � Provide guidance on management processes, including designing

investment plans, forecasting expenses and revenues, Human resource planning, etc..

� Provide training in NR management systems

Communications and Education Awareness specialist & training coordinator (Contributes to all Outcomes)

300 169.30 33.8 wks /yr for 5 years.

All Outcomes require coordination of training. Outcome 3 has requirements for education, outreach, and awareness raising. This expert will lead on all communication, development of educational training materials, liaison with local communities, provision of materials and management of information centre of Shengjin Lake NNR, provision of materials and outreach for other WPAs under project implementation; development of stakeholder participation plan. Develops the training plans and coordinates training activities.

Habitat Rehabilitation Expert

$1000/wk 3 weeks This expert will evaluate the requirements for habitat rehabilitation and write the detailed ToR for the contract for rehabilitation in Shengjin Lake NR and assist the PM in selecting a contractor...

Lake Carrying Capacity Expert (Output 1.3)

$1000/wk 3 weeks This expert will evaluate requirements for a study of lake carrying capacity, then write the detailed ToR for to carry out this work and assist the PM in selecting a contractor. This work is a precursor to developing a suitable financial model for sustainable financing of the Shengjin Lake NNR.

Wildfowl monitoring Expert (Output 3.3)

$1000/wk

Total of 5 weeks (3 weeks in Yr 1; 1 week in each of Year 2 & 3.

This expert will develop a monitoring protocol for wildfowl monitoring and train NR staff in its use and monitor performance over the first half of the project, offering guidance on problems and solutions to wildfowl issues, provide technical backstopping to NR staff on monitoring issues, and conduct training of NR staff in monitoring and reporting procedures.


Consultant $/Person

Week Person Weeks

Tasks and Inputs

Database and GIS developer (contributes to Outcome 1 and Output 3.3.)

$1000/wk

3 weeks in Yr 1

Will evaluate the requirements for an information system for the NR, then write a detailed ToR for a contract for developing and maintaining a comprehensive NR database system and assist the PM in selecting a contractor.

International / Regional and global contracting International Technical Adviser

$2,500. / wk

40 weeks (8 weeks / yr over 5 years

The International Technical Adviser (ITA) will provide oversight and quality control for the Project, technical support for the PM and PC, and directly participates in his/her expert capacity in technical aspects of the project. Duties include:

� Provides quality assurance for all outputs and provides oversight on project management and project progress;

� Provide technical inputs to the Inception Report, Project Implementation Review, technical reports, quarterly financial reports for submission to UNDP, the GEF, other donors and Government Departments, as required;

� Take specific responsibility for:

(i) integrated basin planning process by developing ToRs, supervising progress, and reviewing results.

(ii) Identifying, scoping and implement business practices such as PPPs, ecotourism plans and related revenue streams, etc.. by developing ToRs, supervising progress, and reviewing results.

� Write and review ToRs and developing methodologies for the execution of various technical studies to be carried out through the project, as well as assuring quality of technical reports compiled by consultants and link with project outputs and outcomes;

� Support technical consultancy procurement process, reviewing technical proposals and applications;

� Ensure the linkage between different consultancies, or different periods of the consultancy services continuing over several years;

� Ensure the development and implementation of project monitoring and evaluation plans, and annual update of the progress towards project impact indicators;

� Bring in international experiences to ensure that the project will operate making full use of global experiences, good practices and lessons learned in improving PA management effectiveness;

� Provide capacity building support to HFD staff and PA managers;

� Support the Project Manager in documenting lessons from project implementation and make recommendations to the Steering Committee for more effective implementation and coordination of project activities. provision of technical input to preparation of project work and budget plans, quarterly and annual progress reporting;

� Provision of technical support to seminars, public outreach activities and other project events;

� Coordination with project partners at the provincial and local levels, linking the project with the CBPF MSL Programme, national project and provincial projects, as well as other complementary international and national programmes and initiatives.

� Create Knowledge Products, as required.

M&E Expert $2,500 /wk 25.40 weeks (8.4 wks in each of Years 3 and 5

Participate in obligatory mid and final year evaluation according to UNDP requirements.


PART IV: Stakeholder Involvement Plan

230. The PPG phase included consultations with the project’s key stakeholders at the national and local levels. Field trips were carried out to the wetlands of Anhui Yangtze Corridor where all project sites are located. Local authorities and community organizations were presented with the project concept and high-level details. The full set of implementation details and costs were discussed on several occasions with Shengjin Lake NNR management. One workshop at the national level was also held and the MSL Project was thoroughly discussed. Generally, project design was a highly participatory process, in line with UNDP’s and GEF’s requirements. 231. A full Stakeholder Involvement Plan will be prepared upon project inception and this is already an identified activity. The project’s key stakeholders are listed in Box 1 below.

Box 2. List of the Project’s Key Stakeholders

Stakeholder1 Roles and Responsibilities

National Level

Ministry of Finance Operational Focal Point (OFP). Coordination and implementation of GEF projects

State Forestry Administration (including National Wetland Conservation Center)

Responsible for forest lands, most of China’s nature reserves, wildlife issues, wildlife trade (CITES), wetlands protection (Ramsar Convention), drafting of departmental level regulations especially wetlands.

Provincial Level

Anhui Provincial Government

Executing Agency of the Project. Responsible for

provincial administration, development planning and

implementation, as well as planning and financing of

the provincial PA system.

Finance Department of Anhui Provincial Government

Forestry Department at provincial and local governments (including

wildlife protection bureau)

Responsible for co-financing guarantees

Responsible for planning and managing the provincial

PA system, and conservation of fauna and flora in the

province. Also responsible for wetland management.

The Provincial Forestry Department will be the main

executing agency of the project.

Natural Conservation and Management Station of Anhui Province

(including Anhui Wetland Conservation Centre)

Responsible for the conservation and stewardship of

wild and/or rare fauna and flora in the province, and it

would be a key executing agency under the Anhui

Forestry Department to implement the project.

Standing Committee of People’s Congress of Anhui Province Responsible for coordination of legislation and regulation functions in Anhui, including the provincial regulation of nature reserve management


and regulation of wetland conservation.

Water resource department of provincial and local governments Responsible for planning and controlling water resource planning and allocation. Critical stakeholder in the effort to ensure sufficient water flow to the target wetlands.

Environment protection department of provincial and local

governments

Coordination of environmental issues, pollution

control, execution of CBPF. Processing and

coordination of drafting new legislation. Must be

involved in any proposed regulatory revisions.

Yangtze River Fishery Resources Management Committee Responsible for sustainable utilization of fishery

resource and protection rare freshwater animals and

their habitats in the Yangtze River and its tributaries

and lakes.

Local Level

Chizhou City (Prefecture) Government

Agriculture department (of provincial) and local governments

Controls the territory in and around Shengjin Lake NNR, and pays its staff. The City has established a multi-sectoral coordination committee for planning and management of Shengjin Lake NNR.

Responsible for agriculture and fisheries. Major stakeholder in terms of water use and sources of agricultural water pollution responsible for freshwater and brackish fisheries. Should mainstream biodiversity and PA protection within their plans and avoid causing pollution of wetland sites. Can help monitor wetland biodiversity on agricultural lands adjacent to NRs. Need cooperation in controlling fishing within sustainable limits.

Shengjin Lake NNR management Bureau Responsible for the planning and management of the Shengjin Lake NNR. The main implementer of the site level component.

Fishery Management of Chizhou City

Local communities (counties, districts and villages).

Responsible for the sustainable use of fishery resources, protection of freshwater wildlife and its habitats, compliance enforcement, and supervise of fishery practices. And holds the tenure of Lake and will be a key partner during project implementation.

Primary resource users. Local communities around the target NRs will be participants in the co-management activities as well as being beneficiaries of the livelihood support.

NGOs

WWF Supports biodiversity conservation in the Yangtze Ecoregion. It has launched the Yangtze Ecoregional Action Programme and has developed the Central and lower Yangtze and Yangtze Estuary Conservation Strategy. Available for technical support, consultancies, training and monitoring. High capacity for grass roots action with local communities.


Chinese Academy of Sciences, several specialized and regional academic and research institutes and universities

Technical expertise available on hydrological, botanical and zoological aspects. Possible collaborator and consultants.

There are many other informal NGOs involved in nature conservation, including poaching prevention, bird enthusiasts, etc..

The NGOs have potential involvement in the Project through the Project media campaign and, in part, through direct actions such as poaching prevention.

Private Sector

Fishery Cooperative of Shengjin Lake This is a wild fisheries cooperative and has a direct stake in project outcomes that support sustainable a fisheries. Discussions with the Director indicate strong interest in rebuilding habitat to secure a sustainable fishery.

Media

TV of Chizhou Prefecture Media coverage of the PPG occurred in Shengjin Lake NNR. The media will play an important role in getting the Project message to local populations.

Coordination with related projects at regional and national levels

The Project has a number of similarities with the Dongting (FAO/GEF) and Hubei (MSL Programme) as these are all within the Yangtze Corridor. During the PPG liaison has been established with these projects to ensure that cooperation and coordination will flow onwards into the implementation phase. At implementation a formal mechanism of interaction between these three projects will be developed in order to share information and expertise. At the national level, the entire MSL programme will be coordinated from Beijing, especially in regards to cost reduction through sharing of specialized expertise, developing of a national database on wetlands, etc. To ensure coordination with ongoing, related, technical projects the project will utilize up to four external local/regional experts as members of the Project's technical advisory panel. Table 14: Coordination and collaboration between project and related initiatives INITIATIVES / INTERVENTIONS HOW COLLABORATION WITH THE PROJECT WILL BE ENSURED Fishing ban during breeding season and fry release (State government, Yangtze Fishery Commission)

Sustainable fishery, alternative livelihood of local community, especially for professional fishermen.

Wetland PA Conservation Network in Yangtze Basin (WWF)

WWF Freshwater Programme and Field Offices (including Shanghai, Wuhan and Changsha) have been working with wetland NRs for knowledge sharing, best management practices, capacity building and coordinated water bird survey. The GEF/MSL-Shengjin Project together with other MSL-Poyang Project and Honghu Project works with WWF to outreach the project outputs and leverage the impacts in Central and Lower Yangtze.

Tourism Development of Chizhou Municipal Government (Local government and priviate partnership)

Shengjin Lake Wetland eco-tourism planning of local government and development with private sector of tourism business(Dalishan Tourism Development Limited Co.); Wetland Park in GuichiDistrict;

“Fishermen on Land” program at Zhangxi Township.

At present, two fishery groups in Zhangxi Township depend on fishing at Shengjin Lake for their livelihood. One group is Baihu


INITIATIVES / INTERVENTIONS HOW COLLABORATION WITH THE PROJECT WILL BE ENSURED Fishery Group, consisting of 37 households and 160 people; the other group is Tanbu Fishery Group, including 92 households and 371 people.


Project Annexes

ANNEX 1: Management Effectiveness Tracking Tool (METT)

BD-1 Tracking Tool *Full Tracking Tool is annexed as an excel file. METT Section One Data: Anhui Province Name of reviewers completing tracking tool and completion dates

Name Title Agency

CEO Endorsement February 2013 Lucy Yu Programme Consultant

Project Mid-term

Final Evaluation/project completion

Project coverage in hectares

Targets and Timeframe Foreseen at project start (ha)

Achievement at Mid-term Evaluation of Project (ha)

Achievement at Final Evaluation of Project (ha)

A. Total Extent in hectares of protected areas targeted by the project by WWF Terrestrial MHTs

Temperate broadleaf and mixed forests (temperate, humid)

273,578

B. Total Extent in hectares of protected areas targeted by the project by WWF Freshwater MHTs and ecoregion(s)

Temperate floodplain rivers and wetlands

353,100

Grand Total 626,678


ANNEX 2: Economic Valuation of Ecosystem Services and Wetlands Sustainability in Shengjin Lake Wetlands Nature Reserve and Adjacent WPAs

INTRODUCTION The core area of Shengjin Lake WNR (WPA) encompasses the entire lake area of Shengjin Lake. The entire lake is used for fishery with caged fishery mainly in the north and central parts of the lake. Elsewhere, a wild fishery is the main activity. Because of a sluice between Shengjin Lake and the Yangtze River there natural fish migration in/out of the lake is seriously reduced so the recruitment and spawning have been dramatically reduced. Now, fishermen and the government have to stock the lake with fry annually to maintain a fish population. Most of the fishery is managed directly or indirectly by commercial companies and one fishermen's cooperative. There are no other livelihood activities in or around the lake that involve wetlands resources, however an emerging economic threat is the rise of mass tourism that is currently not controlled and for which revenues are exported to tour operators and not retained in whole or in part by the local community or the nature reserve for conservation purposes.

Surrounding wetland, mainly at the north and south ends of the lake and outside the core zone, was divided into polders many years ago and supports a variety of agricultural activities including fish farming. There are currently no plans for large-scale conversion of these polders back to wetlands. Because of destruction of natural habitat due to over-fishing, caged fish culture is artificially fed. The local government recognizes that the caged fish industry is not economically viable except in the industrial fishing area in the north end of the lake and there are recent studies by government of the numbers of fishing families, boats, nets, etc., that would have to be removed from the central and southern parts of the lake. These studies are motivated, in part, by the fact that fishing families are aging and fishermen are not being recruited from young people who prefer to work elsewhere for higher wages. Therefore, fishing families are willing, in principle, to relocate to other areas and take up farming or other forms of livelihoods.

A key issue is that the lake is regarded as a resource to be exploited and, without consideration of carrying capacity or of other ecosystem functions performed by this lake, the lake is slowly dying and is in danger of 'flipping' from a macrophyte-dominated lake (good for fish) to an algae-dominate lake (bad for fish) from nutrient loads from upstream agriculture and Lakeman settlement. In the past decade, local governments regard the lake as a revenue source by leasing lake areas to fishing companies. Increasing demand for revenue has lead to intensification of commercial caged fishery. A by-product of this economic model has been the destruction of large areas of natural aquatic habitat and consequent negative impact on biodiversity – especially of migrating birds for which some keystone species are declining at an alarming rate due, mainly, to loss of habitat.

There is one current example of a PES system in the Shengjin Lake NNR. In one village, a trial of payment to farmers has been going on for several years in which farmers are compensated for allowing their land to be used by migrating birds. Compensation is small but appears to be


effective. This activity is in response to the many complaints to the Nature Reserve from farmers about destruction of crop by migrating birds44.

WETLANDS VALUATION

Without a better understanding of wetlands goods and services it is not possible to build an argument for a sustainable fishery or sustainable wildfowl habitat that is based both on carrying capacity of the lake and of the value of other ecosystem services provided by the lake. It is also not possible to understand what other key ecosystem services may be lost or degraded due to the current management of the lake.

The economic study addresses two inter-related issues – the first is to identify and value the ecosystem services provided by the lake, focusing mainly on those services that are required to (a) maintain a viable ecosystem for the support of wildfowl and natural fish, and (b) livelihoods of local residents. The second is a group of activities that focus on cost-benefit of specific interventions in areas of fisheries management, water management, tourism, and pollution control. The second group is contingent on a good understanding of the value of ecosystems services.

Therefore, the following steps are proposed:

a) Identification and valuation of ecosystem services provided by Shengjin Lake under current (business as usual), partially restored, and fully restored conditions. This will use best practices and build upon existing valuation methodology developed by WWF and/or the Chinese Academy of Sciences as appropriate. The output will provide a framework for the following components and a basis for discussions with local government of options for suites of measures that could be implemented to maintain a viable lake/basin ecosystem.

b) Establish the carrying capacity of Shengjin Lake under current habitat conditions, partially restored conditions, and fully restored conditions. Carrying capacity is mainly in reference to the fishery but will be extended to wildfowl carrying capacity for partially and fully restored habitat. The methodology will be useful for other WPAs of the province.

c) Step (a) is the basis for future economic valuation of the fishery that, in turn, will allow local government to establish sustainable catch limits and appropriate licensing conditions and fees. The methodology will be particularly valuable for Shijiu Lake NR that occupies a small part of this lake and in which commercial caged fishery dominates economic activity in the lake.

d) Economic cost of pollution management through hard and soft interventions in the upstream area to control water pollution. This is a lake sustainability issue that is critical to the future viability of Shengjin Lake as fishery and wildfowl habitat. This is not, ecosystem valuation per se, but is closely linked to future sustainability of the lake.

44 There is no exact information on amounts, numbers of farmers involved, area involved, etc..


e) Cost-benefit optimization of water level control mechanism (Huang Pen sluice) that precludes fish migration between Shengjin Lake and the Yangtze River. This will focus on the current management paradigm in which flood control is used as the reason for blocking flow between the two water bodies. This flood control rationale has not been revised since the closing of the Three Gorges Dam upstream which has greatly reduced flood risk, nor has it been examined within an economic context of benefits of constant level control (mainly for commercial caged fishery) versus damage to the ecological resources of the lake by disruption of the annual cycle of filling and flushing and consequences for sedimentation and pollution control in the lake. This component will have strong resonance in all but one of the Anhui Yangtze corridor wetlands that are blocked by sluices for the same reason. Currently, the Ministry of Water Resources wants to block the last remaining wetland, for the same reasons. This component will lead to a rational water management plan that integrates the objectives of flood control, habitat management, pollution control, and fisheries production. Lessons learned from this activity are expected to have significant on future decisions on the damming of flows between the Yangtze River and Shijiu Lake (NR).

f) Valuation of ecotourism in Shengjin Lake will be a prerequisite to developing a sustainable ecotourism program in this nature reserve. The methodology will be equally useful in several other WPA of the province. This will include a study of the area’s tourism carrying capacity and an understanding and costing of management requirements to ensure sustainable tourism practices.

g) A socio-economic assessment of the area will be undertaken, with a focus on understanding alternative livelihood opportunities for local communities.

h) Final evaluation of the suite of lake management options that is available with optimization of these options according to cost and timeframe of implementation.

The schedule for these activities is proposed as: Table 1: Implementation of Economic Valuation Components

Component Year of Implementation

Output Comment

a. Ecosystem valuation 1 1.1.1 Contracted

b. Carrying capacity of Shengjin Lake 1 3.2.4 Contracted

c. Economic valuation of the fishery 2 1.1.1 Contracted

d. cost of pollution management through hard and soft interventions in catchment

1-2 2.1.2 Contracted

e. Cost-benefit optimization of water level control mechanism (Lakeang Pen sluice)

1-2 2.1.2 Contracted

f. Valuation of ecotourism in Shengjin Lake 2-3 2.1.3 Contracted

g. Socio-economic analysis of livelihoods 2 3.3.2 Contracted

h. Final cost-benefit optimization of management options 3 3.1.1 Contracted

i. Extension of valuation to two other WPAs 4-5 2.1.2 Contracted


FINAL OUTPUT

The objective of this suite of valuation activities is to develop a set of options as (i) part of the adjustment of the nature reserve management plan, and (ii) as input that provides a rational economic and evidence-based advice for a more effective approach by local government to economic development of the region that impacts on Shengjin Lake NNR. A key linkage of these activities will be to provide the economic argument for applying to the national eco-compensation fund for costs involved in moving fishing families out of the lake and into alternative occupations. Because Shengjin Lake is of manageable size, the nature reserve occupies 100% of the lake area, and is a national nature reserve, it is more likely to attract national eco-compensations funds than other WPAs in Anhui province. IMPLEMENTATION OF VALUATION ACTIVITIES

Economic valuation of management options is a theme that runs throughout this Project. Output 1.1 deals specifically with establishing the baseline valuation of ecosystems goods and services. The other valuation activities in Table 1 are in support of a variety of outputs as noted in Table 1.

LINKAGES

This work will be closely linked with the sustainable financing activity in this project and the development of a modern business plan for NR management and financing.


ANNEX 3: Ecosystem Health Index (EHI) Methodology

3.1 SUMMARY OF ECOSYSTEM HEALTH INDEX METHODOLOGY

Definition: Ecosystem Health is taken to be the suitability of a site to continue to provide secure conditions for survival of component species and delivery of key ecological services, including resilience to climate and other changes.

Objective: EHI is a not an evaluation. It is a dynamic, constantly varying index that reflects biodiversity health, just as a financial index reflects economic performance.

• EHI provides a baseline against which targets for maintaining or achieving a given level

of health can be set

• EHI can be used as a results based indicator of project achievement and impacts

• EHI can indicate where the project is succeeding or failing and allow revision of activity

efforts throughout the project

• EHI is complimentary to the Management Effectiveness Tracking Tool (METT) in

project monitoring and evaluation.

Introduction: Ecosystem health is reflected in the ability of a site to maintain its biodiversity values and ecological functions. These will vary significantly from site to site. The index developed to assess this health has three components: 1) score of habitat suitability for maintaining important biodiversity; 2) status of that biodiversity and 3) the broader environmental context. The score does not necessarily indicate stability. Many wetland sites are very dynamic but what we are interested in is the ability of the biota to adapt to or even thrive with the changes. This will become increasingly important as climate and water flow patterns change. A simple scoring system is recommended to give the results transparency and robustness. Each site using this index should undertake a baseline survey which also selects indicators and target species for subsequent surveys. Indicators should include key wetland birds, important aquatic fauna – fish, mollusks; selected indicator insects; endangered mammals; major components of vegetation; incidence of AIS.

The index establishes a snapshot value at the time of surveying; can relate present scores against baselines established at an earlier date, identifying trends in the different indicators; and can establish reasonable targets for improvement for each different indicator, and compare current state against identified targets.

Just as a human body may appear healthy in not yet showing much physical deterioration, we can identify several indicators of lifestyle that certainly constitute health threats (excessive drinking and smoking habits, lack of sleep, lack of inoculation, living in region of known diseases, poor hygienic habits, lack of medical facilities etc.). In the same way we can recognize several threats to ecosystem health in the external context that may not be immediately reflected in condition of habitat or status of species. Such indicators include the levels of external development threats, the level of secure legal protection enjoyed, and the level of human use pressures being applied or expected in the future.


Use of the EHI Scoresheet

1. Forming the monitoring team

Should include manager, ecologist, consultant, local experts and if possible local community member/members) 2. Classifying and mapping main habitat types

The scoring of habitat sub-index requires assessing whether the extent, diversity, connectivity and condition of key habitats is maintained. For this it is necessary to classify, map, measure extent and status of specific habitats. For ease of work and subsequent analysis it is recommended to use a simple hierarchical habitat classification. An example for Poyang Lake is given below but it is not important to follow any formal classification system and use of whatever classification is already used by management or researchers in the area is usually adequate. Suggested habitat classification and hierarchy (example only; not comprehensive for China!)

1st Order 2nd Order 3rd Order 4th Order

Water bodies Natural Fresh Lakes Open Lake

water Shallows

Small Lake

Rivers Large River

Small River

Artificial Ponds Reservoir

Small Pond

Terrestrial Barren Sparse vegetation Beach

Mudflats

No natural vegetation Bare Land

Urban area

Arbour Woodlands Willows

Poplar plantation

Mixed plantations

Natural mixed forest

Scrub Scrub

Herbaceous Marshes Reed-beds

Lotus-beds

Grasslands MiscantLakes meadow

Phalaris meadow

Carex meadow

Artemesia meadow

If no suitable classification is already in use, it is recommended to follow the classification system of wetlands international (see Asian Wetlands Inventory Handbook) for wetland types. For terrestrial vegetation, use classifications in current use at local level. Google maps can be downloaded from internet and provide basis for mapping different recognizable vegetation formations. These can then be compared with later imagery to monitor changes in distribution.


Use of GIS is useful but not essential. Once mapped, the area of habitat types can be calculated by counting dots on transparent sheets. Retain maps and results for future comparisons. 3. Identify main threats to be monitored

• Key threats have already been identified for each project area at the PIF stage. These can be

reviewed at PPG stage.

• Additional threats can be tagged for attention when local teams are assembled or if

unpredicted changes occur during the project cycle. There should be a good match between

indicator species selected and the specific threats they indicate.

4. Identifying suitable indicator species to be monitored

• Conservation target species (n.b. rarely seen species give little data)

• Commoner species that are sensitive to habitat quality – amphibia, dragonflies, birds

• Easily identified – large mammals

• Easily quantified (harvest levels of fish, crabs etc. or plants)

• Alien species of concern

5. Undertake baseline measurements

This will involve checking in the field, examining plans, maps and other documents, interviewing managers and local community members and undertaking status assessments of selected indicator species (this latter task should be incorporated into routine monitoring activities but baselines need to be established). 6. Calculate baseline indices

Pick the score for each indicator that best meets your observations. Most important is to complete the notes explaining on what basis this score was selected and listing the requirements that should be targeted by the project for improving this score. Identification of areas where improvement can be expected is the key to calculating the target index score that the project can realistically hope to achieve. 7. Periodically repeat measurements (minimum would be mid-term and end of project). Routine monitoring of indicator species should be more often than this and at least twice per year. 8. Analyze observed changes in relation to established targets

Note changes in relation to baseline or previous evaluations 9. Report results and feed into project planning revisions

Append full notes, maps, tables of scored species, or any data on human uses and activities, tourism entries etc. on which the answers were based. This is important as the next team to evaluate may be different and need to see the basis for determining if conditions change or get worse.


It is recommended that the first 6 steps will have expert assistance, but local teams can undertake subsequent monitoring and scoring. The EHI scorecard

The EHI scorecard is designed for simplicity and robustness.

Different teams should reach similar scores. In our training exercises, robustness was tested. Five independent scorers reached almost identical scores for Dongzhaigang NNR (mangroves) in Hainan and 6 different teams scored almost identical scores for Jiulongshan NNR (forest) in Hubei. Team members do not require high levels of literacy, biological knowledge or statistical skills. The EHI scorecard is designed to match and augment the Management Effectiveness Tracking Tool (METT) being used in GEF Biodiversity projects and can be filled out at the same time.

At national level, SFA should monitor EHI scores of focal sites, other wetland sites within project provinces and a selection of sites not directly affected by the project as part of overall monitoring of conditions and programme impacts.


3.2 ECOSYSTEM HEALTH INDEX ASSESSMENT RESULTS IN THREE WPAS 3.2.1 Shengjin Lake NNR Name of Site: Shengjin Lake

Wetland Ecosystem Health Index (EHI) Score sheet

Scored by (names): Song Yunwei

Date completed: Aug. 3, 2012

Issue Criteria Score: tick only one box per question

Target

Comment/explanation Target to improve?

Component 1. Habitat Health Assessment Habitat connectivity

Habitats severely fragmented by inhospitable barriers

0 The reserve is connected with the Yangtze River through Huangpen Sluice. Although the reserve per se is an integrated one, its partial open surface is occupied by intensive fishing traps as well as purse net for aquiculture. There are many small-sized sluices along the boundary of the lake.

To remove netting within the reserve gradually; Better management of Huangpen Sluice to maintain a good hydrological regime for the reserve;

Habitats fragmented but some connections or corridors remain

1 1

Habitats partly fragmented 2 2

Habitats enjoy good connectivity 3

Habitat heterogeneity

Site composed of only one major habitat 0 A wide variety of habitats, including forest lands, grasslands, marshes, mud-flats and deep lakes, could be found in the reserve.

To maintain habitat diversity of the reserve Site contains only a small proportion of full

range of regional wetland habitats 1

Site contains most of regional representative habitats

2 2 2

Site contains mosaic of all representative habitats of regional wetland type

3

Original habitat diversity retained

Range of original habitats severely reduced by habitat losses and changes

0 In recent years, original habitats are increasingly degrading, in particular grass island and submerged hydrophytes.

To control the intensity of aquiculture activities within the lake and re-plant aquatic plants at certain areas of the lake.

50-80% of original habitats still well represented

1 1 1

>80% of original habitats still well represented 2

Full range of original habitats all well represented

3

Habitats degraded

Most habitats severely degraded in structure, composition or productivity

0 The richness, abundance and their distribution of aquatic plants as well as fishes in the lake have been decreased to varying degrees.

To conserve and restore species number, abundance and distribution ranges of existing aquatic plants and

Some habitats severely degraded 1 1 1

Minor habitat degradation 2


All habitats in healthy natural condition 3 fishes

Water pollution

Water toxic causing death of fish, mollusks and other biota, presence of toxic algae or plankton

0 The water quality of the lake gets worse and worse mainly due to aquiculture, inappropriate daily garbage treatment as well as pollution from agricultural practices.

To control aquiculture scale in the lake, replant aquatic plants to increase the self-purification capacity of the lake.

Water visibly dirty or smelly, surface scum visible

1

Slight discoloration, smell or cloudiness apparent

2 2 2

Water remains clear and potable 3

Sediment load Water seriously loaded with erosion sediments 0 The water in the reserve is cloudy due to serious erosion sediments

To reduce ingoing sediments by enhancing vegetation conservation as well as soil and water conservation with integrated watershed management scheme

Water opaque, cannot see bottom of ponds, streams

1

Water fairly clear but contains significant sediment

2 2 2

Sediment levels entirely normal 3

Oxygen levels Severe hypoxia kills fish and mollusks 0 The oxygen levels remain low due to fairly sparse distribution of aquatic plants in the lake

To control freshwater aquiculture and replant aquatic plants to increase oxygen levels

Some signs of hypoxia, fish gulping at surface 1 1

Oxygen levels close to natural original figures 2 2

Oxygen levels remain at natural healthy levels 3

Water supply Water supply and water table seriously modified and damaging ecological functions

0 The water table of the lake largely relies on the management of sluices and dyke

To coordinate with relevant water resources management bureaus on determining sluices’ on-off and adjusting water levels seasonally to meet management needs of the reserve

Water supply modified by major diversions, drainage or extractions

1 2

Water supply peaks (droughts and floods) exaggerated by regional changes in flow

2

Water supply remains in original seasonal pattern

3

Physical disturbance (construction, fish traps, barrages, noisy activity)

Site is transformed by artificial developments, structures or disturbances

0 Fishing traps, facilities for fishing, fishing boats and ships as well as historically established dykes are common in the reserve

To get rid of fishing traps as well as control aquiculture scale in the lake

Site faces much disturbance from construction and disturbance

1 1

Minor structures or disturbances only 2 2

Original physical state preserved 3

Disaster damage

Ecology irreversibly modified by natural or artificial disaster

0 Natural disasters are increasingly frequent in the middle and lower Yangtze River. Luckily, such disasters have not directly caused damage to the reserve.

To increase species diversity and improve ecological service functions so as to restore self-rehabilitation of

Serious disasters frequent and ecological recovery period long

1

Severity and frequency of disasters increased 2 2 2


through human activities but ecology shows high recovery rate

ecosystems

Frequency of disasters remains natural, capacity to recover remains high

3

Design resilience (size,altitude,NS axis,lithology,dynamics,multiple catchments)

Site is too small, isolated and homogeneous to offer ecological resilience

0 The reserve size is too small to safeguard its biodiversity and what worse is that the reserve has being damaged to some extent.

To conduct ecological restoration to recover the reserve to its original status as in 1990s

Site is naturally vulnerable to change 1 1

Site enjoys moderate resilience design 2 2

Site enjoys natural high resilience 3

Sub-total of habitat health risks Total possible is 36 points

Sum score

16 20 % of total maximum 48% 44% Target = 55.5

Index (HI) =0.44 Target = 0.55

Component 2. Species Health Assessment Health of target species

All target species show declines 0 The number of wintering birds recorded in the reserve tends to decrease despite that some wintering birds increased while a few birds decreased.

If the reserve were protected well, the declining tendency of bird would be reversed.

Most target species show declines 1

Some target species show declines 2 2 2

All target species stable or increasing 3

Health of vertebrate indicator species

All indicator species show declines 0 The monitoring results demonstrate that some indicator species declined slightly.

If the reserve were protected well, the declining tendency of indicator species would be reversed.

Most indicator species show declines 1

Some indicator species show declines 2 2 2

All indicator species stable or increasing 3

Health of invertebrate/plant indicator species

All indicator species show declines 0 Available monitoring results demonstrate that aquatic plants decreased greatly and invertebrate species and woody plants declined slightly.

If the reserve were protected well, the declining tendency of invertebrate/plant indicator species would be reversed.

Most indicator species show declines 1 1+

Some indicator species show declines 2 2


Species diversity retained

Richness of faunal/floral communities irreversibly depleted

0 Richness, abundance and their distribution of aquatic grasses indicate a decreasing tendency, which further influence animals at higher trophic levels.

If the reserve were protected well, the declining tendency of fauna/flora would be reversed.

Significant gaps appearing in reporting of local species

1 1 1

Minor reductions in species richness noticed 2

Site retains full original species diversity with high proportion of locally potential species

3


Highest trophic carnivores still present

No high trophic carnivores remain at site 0 High trophic carnivores, e.g., carnivorous wintering water birds, mountain as well as fishes can be seen in the reserve. Unfortunately, the number of these highest trophic carnivores is being decreased.

If the reserve were protected well, some raptors could return to their historical habitats.

Few carnivores remain at site 1

Some high trophic carnivores lost from local fauna

2 2 2

All high trophic carnivores or original fauna still present

3

AIS resilience AIS out of control and permanently replacing some local species

0 Some invasive species have been recorded in Shengjin Lake, which imposes certain impacts on the sustainability of the lake.

To enhance AIS management and control so as to minimize their negative influences.

AIS degrading ecosystem functions or displacing local species

1 1 1

Some AIS noticed at site but not seriously damaging ecosystem or local species

2

No AIS established in site 3

Breeding/wintering success of target species

High mortality on wintering/breeding areas of site

0 As a comparatively small-sized freshwater lake, the density of water birds in the reserve is quite high. However, with the damage of some habitats in the reserve, food shortage is getting serious.

If the reserve were protected well, the survival rate of water birds would be better secured.

Survival of some species a concern 1 1 1

Moderate survival 2

Key species all surviving well at site 3

Key new species using site

Total species no. dropping over time 0 Although several new species were recorded in the reserve, their staying time in the reserve was truly short. Therefore, these species cannot be identified as new species to the reserve.

If the reserve were protected well, new species would re-settle in the reserve.

No new species recorded but species richness stable

1 1 1

Some new species (other than AIS) noted 2

No. of new colonizing species exceed local extinctions

3

Economic harvest species (legal and illegal)

Uncontrolled overharvesting eliminating some species

0 Due to over-exploitation, the numbers of fishes, worms, mollusks have drastically declined in the reserve.

To confine harvesting activities within certain zones of the reserve in a sustainable way

Harvesting results in serious declines in several species

1 1

Harvesting results in minor declines of some species

2 2

No harvesting, or harvesting appears entirely sustainable

3

Mortality/disaster of key species (fires, droughts, floods, diseases)

Disasters have caused irreversible or long term declines to important species

0 Few disasters have been recorded in the reserve. However, with climate change, the possibility of such crisis to occur will theoretically increase accordingly.

To enhance resilience capacity of the reserve to respond to assorted disasters

Disasters have caused serious damage to important species

1

Disasters cause minor damage to some species

2 2 2

No diseases, disasters in recent years or 3


species recovery fast and complete

Sub-total of species health risks Total Possible point= 30

Sum score

14 16 % of total maximum 47% Target = 53%

Index (SI) = 0.47 Target = 0.53

Component 3. Environmental Context Health Assessment Site boundaries and zones

Adequate boundaries not clearly marked or respected

0 The boundary of the reserve is clearly delineated on the map of the reserve. The reserve also laid boundary marks around the core zone of the reserve. However, since there are many local residents inhabit next to the reserve, such demarcation has played a minor role in reminding people where they are.

Clearly mark the boundary of the reserve by setting up relevant boundary signs, makers or brands

Boundaries inadequate or not respected 1 1

Some boundaries marked, partially respected 2 2

Effective boundaries, zones in place and marked

3

Legal framework No legal protection for site 0 This is an inborn weakness of the Nature Reserve Management Regulation in China

To reinforce law and regulation system by enacting provincial-level bylaw/regulation to consolidate legal safeguard for the reserve

Weak legal protection or protection for only part of site

1 1

Legal status assured but some weaknesses remaining

2 2

Strong legal security and law enforcement procedures in place

3

Tourism impacts Tourism uncontrolled and causing serious damage and disturbance to site

0 The reserve has not conduct any form of tourism. Many visitors voluntarily went the reserve for bird watching in winter.

To control the voluntary tourism activities at an “allowable” (sustainable) level

Some controls in place but tourism exceeds safe carrying capacity

1

Tourism controlled by causing some negative impacts

2 2

Tourism absent or well controlled and within safe limits

3 3

Human resource use pressures

Pressure on natural resources of site out of control

0 Fish farming in the reserve has exceeded the ecological capacity of the lake.

The project would be aim to decrease intensity of fish farming in the lake radically

High levels of collection or use of renewable resources

1 1 1

Low levels of pressure for resources or land-use (e.g. grazing)

2

No human pressure on resources, or pressures now contained by alternative livelihood program

3

Additional threats or stresses from

Water diversion plans, dams, drainage would completely change nature of the site

0 There are no developments surrounding the core zone of the

To well manage activities in buffer


external developments (existing or planned)

External developments negatively affect the ecosystem of site

1 reserve. Some sluices were established and some local residents have being reclaimed the wetland for other purposes.

zone to restrain negative effects of these activities Low risk or low impacts can be absorbed by

ecosystem 2 2 2

No threats from external developments 3

Local community relations

Local community alienated and oppose establishment of protected area on site

0 Compared with several years ago, the relationship between the reserve and its local communities has been ameliorated a lot. However, due to economic conflicts and ingrained linkage with the lake, the local communities are neutral to the existence of the reserve.

To establish a more supportive partnership through encouraging local communities to involve in nature reserve management and providing alternative livelihoods for local communities

Local community accept existence of protected area but neutral and mostly not involved

1 1

Local community enjoy some benefits through employment or alternative livelihoods

2 2

Local communities strongly supportive; respect protected area and collaborate in protection, reporting work

3

Sub-total of environmental context health risks Total Possible Point = 18

Sum score

8 12 % of total maximum 44% Target = 66%

Index (CI) = 0.44 Index Target = 0.66

Overall EHI score (HI+SI+CI)/3 = (0.44+0.47+0.44)/3=0.45 Date baseline

Target Overall =( .55+.47+.66)/3 =0.56

Target identified for project

0.56


3.2.2 Anqing Wetland Name of Site: Anqing Wetland


Scored by (names): Zhang Hong

Date completed: Aug. 26, 2012


Target



Habitats severely fragmented by inhospitable barriers

0 The site fragmented due to historical reclamation and aquiculture practices. Most of the site used for enclosure culture.

To carry out wetland restoration by removing nets and transforming aquiculture mode.


1 1 1

Habitats partly fragmented 2



Site composed of only one major habitat 0 The site has a diverse of habitats encompassing lakes and ditches that are surrounding by hills.

To maintain habitat heterogeneity

Site contains only a small proportion of full range of regional wetland habitats

1

Site contains most of regional representative habitats

2 2 2


3



0 0 0 Original habitats seriously degraded, in particular flora and natural resources at the mudflats.

To control development activities and restore vegetation

50-80% of original habitats still well represented 1

>80% of original habitats still well represented 2

Full range of original habitats all well represented 3

Habitats degraded


0 The site is shrinking and vegetation coverage is reducing. For example, the coverage of submerged plants only reaches 10% of the water area in some region of the site.

To conduct wetland conservation and restoration projects

Some habitats severely degraded 1 1 1

Minor habitat degradation 2

All habitats in healthy natural condition 3

Water pollution Water toxic causing death of fish, mollusks and other biota, presence of toxic algae or plankton

0 The water quality classified as Grade II-III (Grade I is the best and Grade IV is the worst) due to contamination resulting from surrounding aquiculture as well

To reduce the discharge of garbage, increase vegetation coverage, and purify water quality.

Water visibly dirty or smelly, surface scum visible 1

Slight discoloration, smell or cloudiness apparent 2 2 2



as household garbage

Sediment load Water seriously loaded with erosion sediments 0 Water is cloudy and muddy

To restore submerged flora to improve water limpidity

Water opaque, cannot see bottom of ponds, streams 1 1 1

Water fairly clear but contains significant sediment 2


Oxygen levels Severe hypoxia kills fish and mollusks 0 The photosynthesis is weak due to sparse submerged flora. As a result, oxygen level is comparatively low.

To restore vegetation coverage to increase oxygen level

Some signs of hypoxia, fish gulping at surface 1 1 1

Oxygen levels close to natural original figures 2


Water supply Water supply and water table seriously modified and damaging ecological functions

0 Sluice and dam construction changed the water supply regime of the site. In other words, water supply of the site is under control of human to some extent.

To cooperate with water resources management bureaus to reach an agreement on managing sluice in accordance to wetland management needs in different seasons.

Water supply modified by major diversions, drainage or extractions

1 2 2


2

Water supply remains in original seasonal pattern 3



0 Extensive erection of nets and traps and real estate development jeopardize the site.

To reduce nets and traps and govern various development in the lake areas.


1 1 1

Minor structures or disturbances only 2


Disaster damage


0 The site frequently influenced by drought and flood in recent years that racked in the middle and lower Yangtze River. Luckily, the impacts were not serious.

The site could recover naturally well as long as current conservation efforts are secured.


1

Severity and frequency of disasters increased through human activities but ecology shows high recovery rate

2 2 2


3

Design resilience (size,altitude,NS axis,lithology,d


0 As a wetland, the site is naturally vulnerable to change due to its natural features.

To conduct wetland restoration project to facilitate its natural rehabilitation

Site is naturally vulnerable to change 1 1

Site enjoys moderate resilience design 2 2



ynamics,multiple catchments)

Sub-total of habitat health risks Total possible is 36

Sum score

14 15 % of total maximum 38.8% Target = 41.2

Index (HI) =0.388 Target = 0.412


All target species show declines 0 Recent monitoring data indicated general declines

To consolidate habitat conservation to attract more water birds to stay here

Most target species show declines 1

Some target species show declines 2 2 2


Health of vertebrate indicator species

All indicator species show declines 0 Monitoring data indicates general slightly goes down

Good protection will reverse this trend.




Health of invertebrate/ plant indicator species

All indicator species show declines 0 As above

As above Most indicator species show declines 1 1 1

Some indicator species show declines 2


Health of plant indicator species

All indicator species show declines 0 As above

If forest coverage gets better, the trend will be reversed.






0 Submerged flora, including richness, abundance and coverage, has decreased rapidly, which will further impose impacts on animals relying on these plants to survive.

To increase coverage of aquatic plants and reduce the negative influences of aquiculture on aquatic flora


1 1 1

Minor reductions in species richness noticed 2


3


No high trophic carnivores remain at site 0 Some carnivorous mammals locally extinct and richness of large raptor or scavenger decreases

To improve habitat quality and restore population size of high trophic carnivores


Some high trophic carnivores lost from local fauna 2 2 2


3

AIS resilience AIS out of control and permanently replacing some local species

0 Some AIS recorded, which has acted on the stability of the lake

To strength the control in AIS to minimize their threats AIS degrading ecosystem functions or displacing

local species 1 1 1

Some AIS noticed at site but not seriously damaging ecosystem or local species

2




High mortality on wintering/breeding areas of site 0 Due to food shortage, some birds’ survival in winter worries

To improve habitat quality and conduct artificial feeding practices

Survival of some species a concern 1 1 1

Moderate survival 2



Total species no. dropping over time 0 A few new species recorded, but quite uncommon

To restore more suitable habitats for birds to attract more new species

No new species recorded but species richness stable 1

Some new species (other than AIS) noted 2 2 2


3



0 Fishes, zoobenthos and flora dropped due to overharvest and overgrazing in the site

To develop alternative livelihoods and to reduce local people’s dependency on these resources


1 1 1

Harvesting results in minor declines of some species

2


3



0 The site slightly affected by natural disasters. The site might be threatened seriously in the future under the global climate change.

To reinforce pre-early warning mechanism to defending natural disasters, to improve the site’s capacity for preventing and fighting various natural calamities.


1

Disasters cause minor damage to some species 2 2 2

No diseases, disasters in recent years or species recovery fast and complete

3


Sum score

17 17 % of total maximum 51.5% 56.7 Index (SI) = 0.567 Target = 0.567


Adequate boundaries not clearly marked or respected

0 The site has a clear boundary description on map and part of boundaries delineated with boundary tablets on site. However, these boundary tablets played weak role.

To further promote the location of boundary by installing more boundary tablets and markers.

Boundaries inadequate or not respected 1 1 1

Some boundaries marked, partially respected 2

Effective boundaries, zones in place and marked

3

Legal framework No legal protection for site 0 There is no a specific law or regulation for wetlands. In addition,

To reinforce regulation, in Weak legal protection or protection for only 1 1


part of site different governmental sectors govern wetlands.

particular to enact provincial-level wetland conservation regulation to screen wetlands from various human-induced threats.

Legal status assured but some weaknesses remaining

2 2


3

Tourism impacts Tourism uncontrolled and causing serious damage and disturbance to site

0 Tourism conducts at regions surrounding the site. Some tourism activities do impact wetland and past a level of the carrying capacity of wetland.

To regulate tourism activities and size to minimize its negative impacts on wetlands.


1 1


2 2


3


Pressure on natural resources of site out of control

0 Aquiculture in the site has beyond the carrying capacity of the wetland, in particular serious damage to aquatic flora.

To promote environmentally friendly aquiculture to secure a sustainable development in the site


1 1 1


2


3

Additional threats or stresses from external developments (existing or planned)


0 Some infrastructure construction invested by local governments imposed significant impacts on wetlands.

To prevent external development activities’ impacts on the site, in particular strictly conducting EIA and evaluating actual impacts after completing projects.


1 1 1

Low risk or low impacts can be absorbed by ecosystem

2




0 The site is working hard to build a good partnership with local communities by conducting community co0managment in recent years. As a result, local communities occasionally participate in the site

To understand local communities’ needs and to develop alternative livelihoods and provide job


1

Local community enjoy some benefits through 2 2 2


employment or alternative livelihoods management actively.

opportunities. Local communities strongly supportive;

respect protected area and collaborate in protection, reporting work

3


Sum score

7 9 % of total maximum 38.9% Index (CI) =0.389 Target = 0.50

Overall EHI score (HI+SI+CI)/3 = (0.424+0.567+0.389)/3=0.46 Date baseline

Target identified for project

=(.412+ .567+.50)/3=.493


3.2.3 Shibasuo Wetland PNR Name of Site: Shibasuo PNR


Scored by (names): Cheng Dongsheng

Date completed: Sep. 8, 2012


Target



Habitats severely fragmented by inhospitable barriers 0 The site fragmented by levees and

ridges of field. In 1960-70, the site

was split up into several sections

encompassing four small-size lakes

and two paddy regions. Different

sections are connected with sluices.

The whole site is physically also cut

off from the Yangtze Basin by a

sluice. Despite of this, habitat

formation of the site altered but

their total size is stable.

To prevent all external

threats, both natural and

human-induced

pressure; to return

paddy fields to lake to

reconnect four separate

lakes into a bigger one.


1

Habitats partly fragmented 2 2 2



Site composed of only one major habitat 0 The site comprises lakes, rivers and

streams, swashes, and paddy fields,

which provides a good habitat for

different wildlife.

To return paddy fields

to lake and adjust

cropping structure to

rebuild the connection

of four separated lakes.

Site contains only a small proportion of full range of regional wetland habitats

1

Site contains most of regional representative habitats 2 2 2


3



0 The site formed with the

construction of levees and ridges of

field in 1960s. The site has not

altered since then. Lake areas are

used for cultivating fishes,

floodplains are used for growing

rice and aquatic plants and are dried

in winter to harvest fishes, and lake

shoal remains as wintering habitats

for water birds.

To maintain current

habitats to avoid any

further artificial

alternation.

50-80% of original habitats still well represented 1

>80% of original habitats still well represented 2 2 2

Full range of original habitats all well represented 3

Habitats degraded


0 The site is maintained well.

To reinforce

conservation efforts to

prevent any artificial Some habitats severely degraded 1

Minor habitat degradation 2 2 2


All habitats in healthy natural condition 3 habitat change activity. Water pollution

Water toxic causing death of fish, mollusks and other biota, presence of toxic algae or plankton

0 The water quality in most of the site

is Grade III according to relevant

standards in China while the water

quality of some areas is Grade IV.

The water is polluted due to the

abuse of fish feed and pesticides.

Planting semen euryales shadowing

sunlight further contributes to

worsening the water quality. Such

change started to occur several

years ago. The site was the drinking

water sources.

To strictly control the

feeding amount of

fishmeal, prohibit use of

pesticides, and eradicate

leasing out open water

surface for planting

semen euryales or lotus.

Water visibly dirty or smelly, surface scum visible 1

Slight discoloration, smell or cloudiness apparent 2 2 2


Sediment load

Water seriously loaded with erosion sediments 0 The water is muddy and the water

quality is ranked as Grade III-IV. In

Qingfeng Lake, fallen leaves of

semen euryales settle or float on

water. In Shibasuo, the water is too

cloudy to see the bottom.

To replace aquiculture

and cultivating patterns Water opaque, cannot see bottom of ponds, streams 1 1 1

Water fairly clear but contains significant sediment 2


Oxygen levels

Severe hypoxia kills fish and mollusks 0 The site is formed for fish

cultivation in the 1960-70s. Every

year, the site can produce around

200,000 kg fishes. The water

quality of Qingfeng Lake has been

worsening since the local people

started to plant semen euryales

there. Local water quality survey

reports indicate that 60% water of

the site is graded as Grade III and

40% as Grade IV. No fishes died

due to lack of oxygen. Run-off of

pesticides and sterilants further

contributes to water pollution in the

site.

To control the amount

of artificial food,

prohibit the use of

pesticides and the

plantation of semen

euryales to restore the

lake.

Some signs of hypoxia, fish gulping at surface 1

Oxygen levels close to natural original figures 2 2 2


Water supply

Water supply and water table seriously modified and damaging ecological functions

0 Water supply is sufficient and

secured and there is no any

industrial pollution. To maintain current

water supply by keeping

polluting enterprises Water supply modified by major diversions, drainage or extractions

1



2 2 2 from the watershed. Water supply remains in original seasonal pattern 3



0 The site has fewer disturbances

from various developments up to

now. In the future, the site will be

subject to real estate development

surrounding the site with the

development of Jiangnan Industrial

Development District.

To reinforce

enforcement to ban all

illegal business

operations by

strengthening

coordination with

Jiangnan Industrial

Development District.


1

Minor structures or disturbances only 2 2 2


Disaster damage


0 The site rarely destroyed by natural

disasters and free from industrial

pollution. Floods imposed

insignificant threats to the site.

To prevent any

polluting projects from

the site


1

Severity and frequency of disasters increased through human activities but ecology shows high recovery rate

2 2 2


3

Design resilience (size, altitude, NS axis, lithology, dynamics, multiple catchments)


0 The site is naturally connected with

one of primary tributaries of the

Yangze River—Qingtong River and

is free from industrial pollution.

Thus, the site has a high resilience.

To promote traditionally

sustainable aquaculture

to improve its resilience

Site is naturally vulnerable to change 1

Site enjoys moderate resilience design 2 2 2


Sub-total of habitat health risks Total possible is 36

Sum score

21 21 % of total maximum 63.6% 58.3 Index (HI) =0.583

Target = 0.583


All target species show declines 0 Some species, in particular wading

birds decline due to wetland habitat

change resulting from high-level of

water level in winter and semen

euryales plantation.

To restore wetland

habitats.

Most target species show declines 1 1

Some target species show declines 2 2


Health of vertebrate

All indicator species show declines 0 The richness of fish in the lake Same as above. Most indicator species show declines 1


indicator species

Some indicator species show declines 2 2 2 stays stable but water birds and

other zoobenthos get less partially

due to semen euryales plantation,

but such trend is restorable.


Health of invertebrate indicator species

All indicator species show declines 0 The site did not conduct a

comprehensive survey on

invertebrates. No visible changes

observed up to now although

invertebrate general declines.

Plants, in particular aquatic plants

have significantly declined partially

due to pollution from run-off of

chemicals and fertilizers on

surrounding drylands and paddy

fields.

To improve wetland

environment by

replanting aquatic

weeds, decreasing

cultivated fish stocks,

abating the use of

fertilizers and

agricultural chemicals

to provide a good

environment for plants

and invertebrates to

flourish.




Health of plant indicator species

All indicator species show declines 0 Since the aquaculture is not quite

intensive, flora of the site remains

comparatively well and typical

vegetation maintains a nearly

natural succession.

To manage aquaculture

practices to provide a

good environment for

plants to grow.






0 Both flora and fauna declines but

restorable. One underlying reason is

that the water level keep high all

year round since the levees were

established, which prevents

submerged plants from receiving

enough lights to grow.

To adjust water level of

the site to create a good

condition for submerged

plants.


1

Minor reductions in species richness noticed 2 2 2


3


No high trophic carnivores remain at site 0 High trophic carnivorous animals

have a better habitat to inhabit due

to less poaching occurrence and

well-restored vegetation.

To protect vegetation by

multiplying

conservation efforts.


Some high trophic carnivores lost from local fauna 2 2 2


3

AIS resilience

AIS out of control and permanently replacing some local species

0 Some alligator weeds

(Alternanthera philoxeroides)

found at the floodplains manually

removed.

To reinforce monitoring

of AIS, including

invasive animals and

plants.

AIS degrading ecosystem functions or displacing local species

1

Some AIS noticed at site but not seriously damaging 2 2 2


ecosystem or local species



High mortality on wintering/breeding areas of site 0 Although habitat environment, in

particular the use of fish feed and

high water level in winter, impacts

water birds to some extent but not

serious to death.

To restore wetland

environment.

Survival of some species a concern 1

Moderate survival 2 2 2



Total species no. dropping over time 0 The site has not conducted a

comprehensive inventory survey for

more than ten years. Despite of this,

all monitored species stays stable.


and comprehensive

survey.

No new species recorded but species richness stable 1 1

Some new species (other than AIS) noted 2 2


3



0 Existing plant harvest activities

don’t target economic plant species

in the site. As a result, harvest

activities will not influence native

species of the site.

To conduct community

co-management.


1

Harvesting results in minor declines of some species 2 2 2


3



0 No serious disaster happened in the

site, even bird flu. Non-serious

disasters impacted the sites slightly.


on wild animal

epidemic sources and

disease and improve

oversight of

surrounding poultry

farms to establish an

effective monitoring

system.


1

Disasters cause minor damage to some species 2 2 2

No diseases, disasters in recent years or species recovery fast and complete

3


Sum score

20 22 % of total maximum 66.6% Index (SI) =0.666

Target = 0.73


Adequate boundaries not clearly marked or respected 0 Although the boundary of the site is

clearly delineated on map and has some

boundary markers or tablets at certain

areas but not all villages know the

boundary clearly.

To set up

boundary

markers or

tablets.

Boundaries inadequate or not respected 1

Some boundaries marked, partially respected 2 2 2

Effective boundaries, zones in place and marked 3

Legal framework

No legal protection for site 0 The local government set this site as a To improve Weak legal protection or protection for only part of 1


site priority area for conservation. Public

knows the site well, which facilitate the

site’s law compliance on site.

conservation

promotion and

to publicize

relevant

regulations and

laws.

Legal status assured but some weaknesses remaining 2 2 2


3

Tourism impacts

Tourism uncontrolled and causing serious damage and disturbance to site

0 The Ecological Conservation and

Tourism Planning developed by the

Jiangnan Industrial Development District

has covered the site.

To strengthen

communication

and

coordination to

screen the site

from

overdeveloping

to a tourist

destination by

the Jiangnan

Industrial

Development

District。


1


2 2 2


3


Pressure on natural resources of site out of control 0 The site has been used for aquaculture

and planting economically aquatic plants,

which imposes certain pressures on

natural resources. However,

infrastructure development, e.g., road

and power line development, would

threaten the site more seriously.

Strictly protect

the site from

any

exploitation is

not realistic

due to the

current context

of the site.


1 1


2 2


3

Additional threats or stresses from external developments (existing or planned)


0 The Ecological Conservation and

Tourism Planning developed by the

Jiangnan Industrial Development District

has covered the site. Although the

outskirt of the site has not been

developed, they as well as the site per se

have been targeted in the tourism

planning as mentioned above.

To keep a close

monitoring of

the

development

surrounding the

site and

prevent the

surrounding

areas of the site

from


1

Low risk or low impacts can be absorbed by ecosystem

2 2 2



developing by

Jiangnan

Industrial

Development

District.



0 The wetland restoration project involved

local communities and partial project

fund supported local communities to

plant trees, dredge rivers, re-plant

waterweeds and etc.

To improve the

relationship

with local

communities.


1 1

Local community enjoy some benefits through employment or alternative livelihoods

2 2

Local communities strongly supportive; respect protected area and collaborate in protection, reporting work

3


Sum score

10 12 % of total maximum 55.5% Index (CI) = 0.555 Target = 0.666

Overall EHI score (HI+SI+CI)/3 = (0.583+0.666+0.555)/3=0.632 Date baseline Sep.8, 2012 Target identified for project

(.583+.73+.666)/3=0.70

ANNEX 4: Capacity Scorecard Assessment Results

5.1 Anhui Forestry Department (AFD)

Strategic Area of Support

Issue Outcome Indicators Score: Evaluative Comments

1. Capacity to conceptualize and formulate policies, legislations, strategies and programmes

1. The protected area agenda is being effectively championed / driven forward

There is essentially no protected area agenda; 0

1

The concept of protected area is unclear and quite broad. There are several governmental sectors involving in protected areas’ management. Protected areas comprise a wide variety of preserved sites in China. In Anhui Province, protected areas cover nature reserves, wetland parks, forest parks, and other conserved areas. Among all different categories of protected areas, nature reserve is the protected area that provides a more secured status for resources within its boundary. Compared with nature reserve, wetland park and forest park provide a less strict conservation for resources.

There are some persons or institutions actively pursuing a protected area agenda but they have little effect or influence;

1

There are a number of protected area champions that drive the protected area agenda, but more is needed;

2

There are an adequate number of able "champions" and "leaders" effectively driving forwards a protected area agenda 3




2. There is a strong and clear legal mandate for the establishment and management of protected areas

There is no legal framework for protected areas; 0

2

There are several regulations to secure protected areas’ management and preservation in China, e.g., Regulations on Nature Reserve Conservation in China, and the Administrative Measures for Nature Reserve of the Type of Forest and Wildlife in Anhui Province. In addition, Administrative Measures for Forest Park in Anhui Province issued too. Now, Anhui Province just completed review on Regulation on Wetland Conservation in Anhui according to applicable administrative management procedures and the regulation could expect to be issued in next 2-3 years.

There is a partial legal framework for protected areas but it has many inadequacies;

1

There is a reasonable legal framework for protected areas but it has a few weaknesses and gaps;

2

There is a strong and clear legal mandate for the establishment and management of protected areas

3

3. There is an institution or institutions responsible for protected areas able to strategize and plan.

Protected area institutions have no plans or strategies;

0

3

All management sectors involved in protected areas’ management, including forestry, environmental, agricultural, water resources, and urban and rural construction sections, develop specific and comprehensive planning respectively. Protected area institutions do have strategies and

plans, but these are old and no longer up to date or were prepared in a totally top-down fashion;

1

Protected area institutions have some sort of mechanism to update their strategies and plans, but this is irregular or is done in a largely top-down fashion without proper consultation;

2

Protected area institutions have relevant, participatorially prepared, regularly updated strategies and plans

3

2. Capacity to implement policies, legislation, strategies and programmes

4. There are adequate skills for protected area planning and management

There is a general lack of planning and management skills;

0

2

Protected areas are short of personnel, in particular staff with strong professional background.

Some skills exist but in largely insufficient quantities to guarantee effective planning and management;

1

Necessary skills for effective protected area management and planning do exist but are stretched and not easily available;

2

Adequate quantities of the full range of skills necessary for effective protected area planning and management are easily available

3

5. There are protected area systems

No or very few protected area exist and they cover only a small portion of the habitats and ecosystems;

0

2

There are 38 nature reserves with a conservation level above city-level established in Anhui Province. The total coverage of the 38 existing nature reserves is 432,000 ha encompassing 3.11 percent of the total land area of Anhui Province. Among them, 34 reserves with a total of area of 375,128 ha are administrated by Anhui Forestry

Protected area system is patchy both in number and geographical coverage and has many gaps in terms of representativeness;

1




Protected area system is covering a reasonably representative sample of the major habitats and ecosystems, but still presents some gaps and not all elements are of viable size;

2

Department and the rest four covering an area of 56,890 ha are governed by Anhui Environment Protection Bureau. In addition, Anhui Province has set aside a total of 143,000 ha area as forest parks encompassing 58 sites. Anhui also established 12 wetland parks protecting a total of 51,000 ha areas. Thus, Anhui Province has established a well-designed protected areas network covering main representative habitats in Dabie Mountain, South Anhui Mountainous Region as well as Yangtze and Huai River watersheds. Unfortunately, some species are still unprotected by the current protected area system.

The protected areas includes viable representative examples of all the major habitats and ecosystems of appropriate geographical scale

3

6. There is a fully transparent oversight authority (there are fully transparent oversight authorities) for the protected areas institutions

There is no oversight at all of protected area institutions;

0

3

Management Bureaus governing protected areas at different levels built websites to inform public of the management of protected areas. In terms of protected areas, all major issues closely related to the interests of the people should keep the public fully informed in accordance to applicable regulations and policies.

There is some oversight, but only indirectly and in a non-transparent manner;

1

There is a reasonable oversight mechanism in place providing for regular review but lacks in transparency (e.g. is not independent, or is internalized) ;

2

There is a fully transparent oversight authority for the protected areas institutions

3

7. Protected area institutions are effectively led

Protected area institutions have a total lack of leadership;

0

2

Management bureaus of protected areas have full-time and part-time personnel but still understaffed. The leadership of management bureaus is good enough to fulfil their responsibilities.

Protected area institutions exist but leadership is weak and provides little guidance;

1

Some protected area institutions have reasonably strong leadership but there is still need for improvement;

2

Protected area institutions are effectively led 3

8. Protected areas have regularly updated, participatorially prepared, comprehensive management plans

Protected areas have no management plans; 0

1

Protected areas did not develop any management planning at all. In China, protected areas are only requested to develop master plans. In Anhui Province, only Yangzi’e Nature Reserve developed their management planning. However, their management planning did not be implemented on the ground due to combined reasons, e.g., unsecured finance, limited capacity of staff and etc.

Some protected areas have up-to-date management plans but they are typically not comprehensive and were not participatorially prepared;

1

Most Protected Areas have management plans though some are old, not participatorially prepared or are less than comprehensive;

2




Every protected area has a regularly updated, participatorially prepared, comprehensive management plan

3

9. Human resources are well qualified and motivated

Human resources are poorly qualified and unmotivated;

0

2

Majority employees have required professional skills. There is lack of relevant incentive mechanism to motivate staff to work harder and more efficient.

Human resources qualification is spotty, with some well qualified, but many only poorly and in general unmotivated;

1

HR in general reasonably qualified, but many lack in motivation, or those that are motivated are not sufficiently qualified;

2

Human resources are well qualified and motivated.

3

10. Management plans are implemented in a timely manner effectively achieving their objectives

There is very little implementation of management plans;

0

2

As mentioned above, in China, a small proportion of protected areas developed their management plans. There is no exception to Anhui Province. Even so, management plans could not be implemented well due to financial limitation.

Management plans are poorly implemented and their objectives are rarely met;

1

Management plans are usually implemented in a timely manner, though delays typically occur and some objectives are not met;

2

Management plans are implemented in a timely manner effectively achieving their objectives

3

11. Protected area institutions are able to adequately mobilize sufficient quantity of funding, human and material resources to effectively implement their mandate

Protected area institutions typically are severely underfunded and have no capacity to mobilize sufficient resources;

0

1

Management bureaus of protected areas suffer from insufficiency in human resource and capital fund.

Protected area institutions have some funding and are able to mobilize some human and material resources but not enough to effectively implement their mandate;

1

Protected area institutions have reasonable capacity to mobilize funding or other resources but not always in sufficient quantities for fully effective implementation of their mandate;

2

Protected area institutions are able to adequately mobilize sufficient quantity of funding, human and material resources to effectively implement their mandate

3

12. Protected area institutions are

While the protected area institution exists it has no management;

0 3 Due to serious limitation of human resources and fund, management bureaus of protected areas maximized the




effectively managed, efficiently deploying their human, financial and other resources to the best effect

Institutional management is largely ineffective and does not deploy efficiently the resources at its disposal;

1

value of available resources.

The institution(s) is (are) reasonably managed, but not always in a fully effective manner and at times does not deploy its resources in the most efficient way;

2

The protected area institution is effectively managed, efficiently deploying its human, financial and other resources to the best effect

3

13. Protected area institutions are highly transparent, fully audited, and publicly accountable

Protected area institutions totally untransparent, not being held accountable and not audited;

0

3

Both accountability system and financial auditing system were introduced into the management of protected areas to soundly regulate the governance of protected areas.

Protected area institutions are not transparent but are occasionally audited without being held publicly accountable;

1

Protected area institutions are regularly audited and there is a fair degree of public accountability but the system is not fully transparent;

2

The Protected area institutions are highly transparent, fully audited, and publicly accountable

3

14. There are legally designated protected area institutions with the authority to carry out their mandate

There is no lead institution or agency with a clear mandate or responsibility for protected areas;

0

2

Both Regulations on Nature Reserve Conservation in China and Administrative Measures for Nature Reserves of the Type of Forest and Wildlife in Anhui Province collectively empower management bureaus of protected areas to govern protected areas. However, there are still some gaps and overlapping in jurisdiction among different management bureaus.

There are one or more institutions or agencies dealing with protected areas but roles and responsibilities are unclear and there are gaps and overlaps in the arrangements;

1

There are one or more institutions or agencies dealing with protected areas, the responsibilities of each are fairly clearly defined, but there are still some gaps and overlaps;

2

Protected Area institutions have clear legal and institutional mandates and the necessary authority to carry this out

3

15. Protected areas are effectively protected

No enforcement of regulations is taking place; 0

2 When there were any conflicts between conservation and resources exploitation or development, local governments would be subject to short-term benefits and put local

Some enforcement of regulations but largely ineffective and external threats remain active;

1




Protected area regulations are regularly enforced but are not fully effective and external threats are reduced but not eliminated;

2

economic development over conservation of protected areas.

Protected Area regulations are highly effectively enforced and all external threats are negated

3

16. Individuals are able to advance and develop professionally

No career tracks are developed and no training opportunities are provided;

0

1

Staff receives very limited training opportunities due to financial constraint.

Career tracks are weak and training possibilities are few and not managed transparently;

1

Clear career tracks developed and training available; HR management however has inadequate performance measurement system;

2

Individuals are able to advance and develop professionally

3

17. Individuals are appropriately skilled for their jobs

Skills of individuals do not match job requirements;

0

2

Both knowledge and skills should be improved to meet the optimum management needs.

Individuals have some or poor skills for their jobs;

1

Individuals are reasonably skilled but could further improve for optimum match with job requirement;

2

Individuals are appropriately skilled for their jobs 3

18. Individuals are highly motivated

No motivation at all; 0

2

Current incentive mechanisms need further improvement and a better implementation.

Motivation uneven, some are but most are not; 1

Many individuals are motivated but not all; 2

Individuals are highly motivated 3

19. There are appropriate systems of training, mentoring, and learning in place to maintain a continuous flow of new staff

No mechanisms exist; 0

2

There is no any training mechanism to facilitate capacity building. Usually, the relevant will send relevant person to participate in trainings once they receive notices from the State Forestry Administration or other organizations. In addition, Anhui Forestry Department also organized some training. All in all, limited training opportunities are available compared to huge demands. In addition, relevant trainings should cover staff as many as they can. In addition,

Some mechanisms exist but unable to develop enough and unable to provide the full range of skills needed;

1

Mechanisms generally exist to develop skilled professionals, but either not enough of them or unable to cover the full range of skills required;

2

There are mechanisms for developing adequate numbers of the full range of highly skilled protected area professionals

3




3. Capacity to engage and build consensus among all stakeholders

20. Protected areas have the political commitment they require

There is no political will at all, or worse, the prevailing political will runs counter to the interests of protected areas;

0

2

Local government and communities have not well received benefits from the conservation of protected areas.

Some political will exists, but is not strong enough to make a difference;

1

Reasonable political will exists, but is not always strong enough to fully support protected areas;

2

There are very high levels of political will to support protected areas

3

21. Protected areas have the public support they require

The public has little interest in protected areas and there is no significant lobby for protected areas;

0

2

Conservation awareness of public is increasing steadily. Some wildlife conservation associations as well as environmental conservation societies in universities/colleges also take an active role in supporting protected areas’ management.

There is limited support for protected areas; 1

There is general public support for protected areas and there are various lobby groups such as environmental NGO's strongly pushing them;

2

There is tremendous public support in the country for protected areas

3

22. Protected area institutions are mission oriented

Institutional mission not defined; 0

3

Management bureaus, administrative grade, and staffing levels were set based on relevant approved governmental documents.

Institutional mission poorly defined and generally not known and internalized at all levels;

1

Institutional mission well defined and internalized but not fully embraced;

2

Institutional missions are fully internalized and embraced

3

23. Protected area institutions can establish the partnerships needed to achieve their objectives

Protected area institutions operate in isolation; 0

2

Although some management bureaus of protected areas established somehow partnership with some non-governmental organizations, however, there is large space to improve in terms of cooperative effects.

Some partnerships in place but significant gaps and existing partnerships achieve little;

1

Many partnerships in place with a wide range of agencies, NGOs etc, but there are some gaps, partnerships are not always effective and do not always enable efficient achievement of objectives;

2




Protected area institutions establish effective partnerships with other agencies and institutions, including provincial and local governments, NGO's and the private sector to enable achievement of objectives in an efficient and effective manner

3

24. Individuals carry appropriate values, integrity and attitudes

Individuals carry negative attitude; 0

2

Majority employee has a positive work ethnic while a few of staff lack passion for their work.

Some individuals have notion of appropriate attitudes and display integrity, but most don't;

1

Many individuals carry appropriate values and integrity, but not all;

2

Individuals carry appropriate values, integrity and attitudes

3

4. Capacity to mobilize information and knowledge

25. Protected area institutions have the information they need to develop and monitor strategies and action plans for the management of the protected area system

Information is virtually lacking; 0

2

In Anhui Province, a protected area is requested to conduct natural resources inventory surveys at its early stage of establishment. Despite of this, socio-economic information is still incomprehensive and their reliability is in doubt. It is also difficult for public to access data of protected areas.

Some information exists, but is of poor quality, is of limited usefulness, or is very difficult to access;

1

Much information is easily available and mostly of good quality, but there remain some gaps in quality, coverage and availability;

2

Protected area institutions have the information they need to develop and monitor strategies and action plans for the management of the protected area system

3

26. Protected area institutions have the information needed to do their work


2

In general, protected areas conducted a series of surveys/investigations concerning inventory of natural resources, flora and fauna resources, and wetland resources. Management bureaus have a better understanding of resources in their protected areas through conducting such kinds of surveys although some surveys should go in-depth into a fine-scale investigation.

Some information exists, but is of poor quality and of limited usefulness and difficult to access;

1

Much information is readily available, mostly of good quality, but there remain some gaps both in quality and quantity;

2

Adequate quantities of high quality up to date information for protected area planning, management and monitoring is widely and easily available

3

27. Individuals working with protected areas work effectively

Individuals work in isolation and don't interact; 0

3

Staff works in a good team spirit.

Individuals interact in limited way and sometimes in teams but this is rarely effective and functional;

1




together as a team Individuals interact regularly and form teams, but this is not always fully effective or functional;

2

Individuals interact effectively and form functional teams

3

5. Capacity to monitor, evaluate, report and learn

28. Protected area policy is continually reviewed and updated

There is no policy or it is old and not reviewed regularly;

0

1

There were very limited reviews relating the implementation effects of relevant policies concerning protected areas.

Policy is only reviewed at irregular intervals; 1

Policy is reviewed regularly but not annually; 2

National protected areas policy is reviewed annually

3

29. Society monitors the state of protected areas

There is no dialogue at all; 0

2

All protected areas relevant policies could be obtained from governmental websites. Public can address their opinions via these websites too. However, some problems are still hard to tackle, e.g., land tenure. For example, due to inconsistency of different policies and regulations, local villages are not allowable to execute their use rights to lands within the boundary of protected areas, for instance, developing tourism and cutting timber.

There is some dialogue going on, but not in the wider public and restricted to specialized circles;

1

There is a reasonably open public dialogue going on but certain issues remain taboo;

2

There is an open and transparent public dialogue about the state of the protected areas 3

30. Institutions are highly adaptive, responding effectively and immediately to change

Institutions resist change; 0

2

Institutions are subject to adapting to any changes in a slowly fashion.

Institutions do change but only very slowly; 1

Institutions tend to adapt in response to change but not always very effectively or with some delay;

2

Institutions are highly adaptive, responding effectively and immediately to change

3

31. Institutions have effective internal mechanisms for monitoring, evaluation, reporting and learning

There are no mechanisms for monitoring, evaluation, reporting or learning;

0

2

There are monitoring, reporting and evaluation mechanisms that should be improved in the future.

There are some mechanisms for monitoring, evaluation, reporting and learning but they are limited and weak;

1

Reasonable mechanisms for monitoring, evaluation, reporting and learning are in place but are not as strong or comprehensive as they could be;

2

Institutions have effective internal mechanisms for monitoring, evaluation, reporting and learning

3

32. Individuals are adaptive and

There is no measurement of performance or adaptive feedback;

0 2 Current performance assessment is superficial, which could not uncover any deep-seated reasons at all.




continue to learn Performance is irregularly and poorly measured and there is little use of feedback;

1

There is significant measurement of performance and some feedback but this is not as thorough or comprehensive as it might be;

2

Performance is effectively measured and adaptive feedback utilized

3

TOTAL SCORE 96 65

67.7%

5.2 Anhui Environmental Protection Department(AEPD)



1. Capacity to conceptualize and formulate policies, legislations, strategies and programmes

1. The protected area agenda is being effectively championed / driven forward

There is essentially no protected area agenda; 0

1

Anhui Environmental Protection Department (AEPD) directly governs four nature reserves in Anhui Province except fulfilling its assignments as an all-round environmental management authority. Two national nature reserves are comparatively well managed while two provincial nature reserves’ management needs improvement.

There are some persons or institutions actively pursuing a protected area agenda but they have little effect or influence;

1

There are a number of protected area champions that drive the protected area agenda, but more is needed;

2

There are an adequate number of able "champions" and "leaders" effectively driving forwards a protected area agenda

3

2. There is a strong There is no legal framework for protected areas; 0 1 For nature reserves under AEPD, they have a




and clear legal mandate for the establishment and management of protected areas

There is a partial legal framework for protected areas but it has many inadequacies;

1 comparatively weak legal security compared with those managed by Anhui Forestry Department (AFD). Some regulations and administrative measures specific to AFD are not mandatory to protected areas under the jurisdiction of AEPD, e.g., the Administrative Measures for Nature Reserve of the Type of Forest and Wildlife in Anhui Province. In addition, AEPD has no law enforcement power in terms of protected areas. Wild Fauna Conservation Law and Wild Flora Conservation Law only empower Anhui Forestry Department and Anhui Agriculture Department the corresponding power.

There is a reasonable legal framework for protected areas but it has a few weaknesses and gaps;

2

There is a strong and clear legal mandate for the establishment and management of protected areas

3

3. There is an institution or institutions responsible for protected areas able to strategize and plan.

Protected area institutions have no plans or strategies;

0

2

They have plans and strategies but rarely implemented due to combined reasons, e.g., understaff and unsound institutional structure.

Protected area institutions do have strategies and plans, but these are old and no longer up to date or were prepared in a totally top-down fashion;

1

Protected area institutions have some sort of mechanism to update their strategies and plans, but this is irregular or is done in a largely top-down fashion without proper consultation;

2

Protected area institutions have relevant, participatorially prepared, regularly updated strategies and plans

3

2. Capacity to implement policies, legislation, strategies and programmes

4. There are adequate skills for protected area planning and management

There is a general lack of planning and management skills;

0

2

National protected areas management authorities have comparatively relevant skills. While for provincial nature reserves, their skills are inadequate to support their management and planning.

Some skills exist but in largely insufficient quantities to guarantee effective planning and management;

1

Necessary skills for effective protected area management and planning do exist but are stretched and not easily available;

2

Adequate quantities of the full range of skills necessary for effective protected area planning and management are easily available

3

5. There are protected area systems

No or very few protected area exist and they cover only a small portion of the habitats and ecosystems;

0 2 The PA system is not systemic and is lack of representativeness. Only four PAs are managed by the AEPD.




Protected area system is patchy both in number and geographical coverage and has many gaps in terms of representativeness;

1

Protected area system is covering a reasonably representative sample of the major habitats and ecosystems, but still presents some gaps and not all elements are of viable size;

2

The protected areas includes viable representative examples of all the major habitats and ecosystems of appropriate geographical scale

3

6. There is a fully transparent oversight authority (there are fully transparent oversight authorities) for the protected areas institutions

There is no oversight at all of protected area institutions;

0

1

Similar to AFD, AEPD also inform public through websites. Any important issues relating to PA must solicit opinions of public before final decision is made according to applicable measures of administrative licensing.

There is some oversight, but only indirectly and in a non-transparent manner;

1

There is a reasonable oversight mechanism in place providing for regular review but lacks in transparency (e.g. is not independent, or is internalized) ;

2

There is a fully transparent oversight authority for the protected areas institutions

3

7. Protected area institutions are effectively led

Protected area institutions have a total lack of leadership;

0

1

Management institution of national level protected areas has a more capable leadership compared to those of provincial-level PAs. AEPD need AFD’s assistance in fire prevention, insects and disease control and management, sustainable exploitation of wildlife in accordance with applicable laws and regulations.

Protected area institutions exist but leadership is weak and provides little guidance;

1

Some protected area institutions have reasonably strong leadership but there is still need for improvement;

2

Protected area institutions are effectively led 3

8. Protected areas have regularly updated, participatorially prepared, comprehensive management plans

Protected areas have no management plans; 0

1

Except for Tonglindanshuitun Nature Reserve, no other PAs developed management plans at all. Some protected areas have up-to-date

management plans but they are typically not comprehensive and were not participatorially prepared;

1

Most Protected Areas have management plans though some are old, not participatorially prepared or are less than comprehensive;

2

Every protected area has a regularly updated, participatorially prepared, comprehensive management plan

3




9. Human resources are well qualified and motivated

Human resources are poorly qualified and unmotivated;

0

1

Staff has basic skills but with limited knowledge relating wetland and wildlife management and conservation. There is no any incentive mechanism.

Human resources qualification is spotty, with some well qualified, but many only poorly and in general unmotivated;

1

HR in general reasonably qualified, but many lack in motivation, or those that are motivated are not sufficiently qualified;

2

Human resources are well qualified and motivated.

3

10. Management plans are implemented in a timely manner effectively achieving their objectives

There is very little implementation of management plans;

0

0

No management plans developed.

Management plans are poorly implemented and their objectives are rarely met;

1

Management plans are usually implemented in a timely manner, though delays typically occur and some objectives are not met;

2

Management plans are implemented in a timely manner effectively achieving their objectives

3

11. Protected area institutions are able to adequately mobilize sufficient quantity of funding, human and material resources to effectively implement their mandate

Protected area institutions typically are severely underfunded and have no capacity to mobilize sufficient resources;

0

2

PAs have comparatively adequate fund. However, since AEPD and its subordinate agencies have no law enforcement power, it is hard for them to fulfil their function as a comprehensive PA management sector.

Protected area institutions have some funding and are able to mobilize some human and material resources but not enough to effectively implement their mandate;

1

Protected area institutions have reasonable capacity to mobilize funding or other resources but not always in sufficient quantities for fully effective implementation of their mandate;

2

Protected area institutions are able to adequately mobilize sufficient quantity of funding, human and material resources to effectively implement their mandate

3

12. Protected area institutions are effectively managed, efficiently deploying their

While the protected area institution exists it has no management;

0

2

Available fund efficiently and well spent.

Institutional management is largely ineffective and does not deploy efficiently the resources at its disposal;

1




human, financial and other resources to the best effect

The institution(s) is (are) reasonably managed, but not always in a fully effective manner and at times does not deploy its resources in the most efficient way;

2

The protected area institution is effectively managed, efficiently deploying its human, financial and other resources to the best effect

3

13. Protected area institutions are highly transparent, fully audited, and publicly accountable

Protected area institutions totally un-transparent, not accountable and not audited;

0

2

Both accountability system and financial auditing system were introduced into the management of protected areas to soundly regulate the governance of protected areas.

Protected area institutions are not transparent but are occasionally audited without being held publicly accountable;

1

Protected area institutions are regularly audited and there is a fair degree of public accountability but the system is not fully transparent;

2

The Protected area institutions are highly transparent, fully audited, and publicly accountable

3

14. There are legally designated protected area institutions with the authority to carry out their mandate

There is no lead institution or agency with a clear mandate or responsibility for protected areas;

0

2

Similar to AFD, the relevant PA management institutions govern protected areas within their jurisdiction as indicated in Regulations on Nature Reserve Management in China. However, some jurisdiction gaps and overlapping are still common.

There are one or more institutions or agencies dealing with protected areas but roles and responsibilities are unclear and there are gaps and overlaps in the arrangements;

1

There are one or more institutions or agencies dealing with protected areas, the responsibilities of each are fairly clearly defined, but there are still some gaps and overlaps;

2

Protected Area institutions have clear legal and institutional mandates and the necessary authority to carry this out

3

15. Protected areas are effectively protected

No enforcement of regulations is taking place; 0

2

When there exist conflicts between conservation and resource development and exploitation, local government will take the side of resource development by sacrificing resource conservation. PA could not be conserved well for the reason that land tenure does not belong to nature reserve management authority.

Some enforcement of regulations but largely ineffective and external threats remain active;

1

Protected area regulations are regularly enforced but are not fully effective and external threats are reduced but not eliminated;

2

Protected Area regulations are highly effectively enforced and all external threats are negated

3




16. Individuals are able to advance and develop professionally

No career tracks are developed and no training opportunities are provided;

0

1

There is less exchange opportunities externally and there are fewer training opportunities for staff too.

Career tracks are weak and training possibilities are few and not managed transparently;

1

Clear career tracks developed and training available; HR management however has inadequate performance measurement system;

2

Individuals are able to advance and develop professionally

3

17. Individuals are appropriately skilled for their jobs

Skills of individuals do not match job requirements;

0

1

Both professional knowledge and technical skills should be improved to fully fulfilling their responsibilities, in particular knowledge relating wetland and wildlife conservation and management.

Individuals have some or poor skills for their jobs;

1

Individuals are reasonably skilled but could further improve for optimum match with job requirement;

2

Individuals are appropriately skilled for their jobs 3

18. Individuals are highly motivated

No motivation at all; 0

1

The current incentive mechanism needs improvement and a better implementation.

Motivation uneven, some are but most are not; 1

Many individuals are motivated but not all; 2

Individuals are highly motivated 3

19. There are appropriate systems of training, mentoring, and learning in place to maintain a continuous flow of new staff

No mechanisms exist; 0

1

There is no formal training mechanism and centres.

Some mechanisms exist but unable to develop enough and unable to provide the full range of skills needed;

1

Mechanisms generally exist to develop skilled professionals, but either not enough of them or unable to cover the full range of skills required;

2

There are mechanisms for developing adequate numbers of the full range of highly skilled protected area professionals

3

3. Capacity to engage and build consensus among all stakeholders

20. Protected areas have the political commitment they require

There is no political will at all, or worse, the prevailing political will runs counter to the interests of protected areas;

0

1

Local government and communities have not benefited from PA conservation well.

Some political will exists, but is not strong enough to make a difference;

1

Reasonable political will exists, but is not always strong enough to fully support protected areas;

2




There are very high levels of political will to support protected areas

3

21. Protected areas have the public support they require

The public has little interest in protected areas and there is no significant lobby for protected areas;

0

2

The conservation awareness of public is increasing. For example, some wildlife conservation associations, environmental societies in universities also actively support PA conservation and management.

There is limited support for protected areas; 1

There is general public support for protected areas and there are various lobby groups such as environmental NGO's strongly pushing them;

2

There is tremendous public support in the country for protected areas

3

22. Protected area institutions are mission oriented

Institutional mission not defined; 0

2

Management authorities, management level and staffing were set in line with official government approval documents.

Institutional mission poorly defined and generally not known and internalized at all levels;

1

Institutional mission well defined and internalized but not fully embraced;

2

Institutional missions are fully internalized and embraced

3

23. Protected area institutions can establish the partnerships needed to achieve their objectives

Protected area institutions operate in isolation; 0

2

Some protected area management bureaus have established cooperative relationship with some NGOs, but how to make cooperation more productive is an issue to be further addressed.

Some partnerships in place but significant gaps and existing partnerships achieve little;

1

Many partnerships in place with a wide range of agencies, NGOs etc, but there are some gaps, partnerships are not always effective and do not always enable efficient achievement of objectives;

2

Protected area institutions establish effective partnerships with other agencies and institutions, including provincial and local governments, NGO's and the private sector to enable achievement of objectives in an efficient and effective manner

3

24. Individuals carry appropriate values, integrity and attitudes

Individuals carry negative attitude; 0

2

Most staff work hard and love their work while a few staff members are lack of passion for their work.

Some individuals have notion of appropriate attitudes and display integrity, but most don't;

1

Many individuals carry appropriate values and integrity, but not all;

2




Individuals carry appropriate values, integrity and attitudes

3

4. Capacity to mobilize information and knowledge

25. Protected area institutions have the information they need to develop and monitor strategies and action plans for the management of the protected area system


1

It is hard for public to obtain data of protected areas, which hampers them to have a better understanding of PAs. In terms of staff of protected areas, they can easily get relevant data to support their work.

Some information exists, but is of poor quality, is of limited usefulness, or is very difficult to access;

1

Much information is easily available and mostly of good quality, but there remain some gaps in quality, coverage and availability;

2

Protected area institutions have the information they need to develop and monitor strategies and action plans for the management of the protected area system

3

26. Protected area institutions have the information needed to do their work


2

PAs need in-depth data to support their management expect for data relating wildlife inventory and physical background of PAs.

Some information exists, but is of poor quality and of limited usefulness and difficult to access;

1

Much information is readily available, mostly of good quality, but there remain some gaps both in quality and quantity;

2

Adequate quantities of high quality up to date information for protected area planning, management and monitoring is widely and easily available

3

27. Individuals working with protected areas work effectively together as a team

Individuals work in isolation and don't interact; 0

2

PA staff can work as a team well.

Individuals interact in limited way and sometimes in teams but this is rarely effective and functional;

1

Individuals interact regularly and form teams, but this is not always fully effective or functional;

2

Individuals interact effectively and form functional teams

3

5. Capacity to monitor, evaluate, report and learn

28. Protected area policy is continually reviewed and updated

There is no policy or it is old and not reviewed regularly;

0

1

There is inadequate monitoring on effects of policies’ implementation.

Policy is only reviewed at irregular intervals; 1

Policy is reviewed regularly but not annually; 2

National protected areas policy is reviewed annually

3

29. Society There is no dialogue at all; 0 2 Public cannot access information on budget




monitors the state of protected areas

There is some dialogue going on, but not in the wider public and restricted to specialized circles;

1 expenses and management plans. In addition, some controversial issues, e.g., land tenure, usually

Compromise the dialogue effects as long as

these issues are mentioned.

There is a reasonably open public dialogue going on but certain issues remain taboo;

2

There is an open and transparent public dialogue about the state of the protected areas

3

30. Institutions are highly adaptive, responding effectively and immediately to change

Institutions resist change; 0

2

The PA management bureaus cannot adapt to change promptly.

Institutions do change but only very slowly; 1

Institutions tend to adapt in response to change but not always very effectively or with some delay;

2

Institutions are highly adaptive, responding effectively and immediately to change

3

31. Institutions have effective internal mechanisms for monitoring, evaluation, reporting and learning

There are no mechanisms for monitoring, evaluation, reporting or learning;

0

2

There exist monitoring, reporting and evaluating mechanisms although these mechanisms need amelioration.

There are some mechanisms for monitoring, evaluation, reporting and learning but they are limited and weak;

1

Reasonable mechanisms for monitoring, evaluation, reporting and learning are in place but are not as strong or comprehensive as they could be;

2

Institutions have effective internal mechanisms for monitoring, evaluation, reporting and learning

3

32. Individuals are adaptive and continue to learn

There is no measurement of performance or adaptive feedback;

0

2

The current evaluation have not report back to support improve work performance.

Performance is irregularly and poorly measured and there is little use of feedback;

1

There is significant measurement of performance and some feedback but this is not as thorough or comprehensive as it might be;

2

Performance is effectively measured and adaptive feedback utilized

3

TOTAL SCORE 96 49494949 51%51%51%51%


ANNEX 5: Yangtze Corridor Wetland PAs in Anhui Province

There are six WPAs in the Yangtze River corridor of Anhui Province. Five are managed by the Forestry Department and one by the Environment Department.

3 Shengjin Lake NNR

Shengjin Lake Nature Reserve is located in the south bank of middle and lower reaches of Yangtze River, in Chizhou city of Anhui Province. Shengjin Lake stretches across Guichi district and Dongzhi county, 116°55′ to 117°15′ east longitude, 30°15′ to 30°30′ north latitude. The total reserve covers 33340 hm2, and the actual water area of the lake covers some 13300 hm2. This nature reserve is an inland wetland ecosystem, locates in subtropical evergreen broadleaf forest. Located in the south bank of the Yangtze River, the north side of Dali mountain, With lush aquatic plants and aquatic resources, the lake was named after ‘rising gold’, for the fish produced from the lake were valued like gold.

Maps showing location of Shengjin Lake at national (left) and local scales (right)

Shengjin Lake has a varied topography, the bank of lake is twisty, and it also has a lot of branches. The southeast are hills mostly in fir forest and masson pine forest. While northwest are plains, polders, grown in willows, pterocarya stenoptera, toon, melia azedarach, pear trees, peach trees and other fruit economy forests. Distribution pattern of vegetation shows zonal distribution in accordance with the change of water level gradient, which can be divided into submerged plants, floating plants, emerged plants and other types of aquatic vegetation or swamp vegetation. Aquatic plants can be divided into submerged plants, floating plants and floating-leaf plants. On the whole, these plants are lush, dark green and scattered in the whole terrestrial-aquatic ecosystem, it is also well-known as a popular ecological tourist attraction. The primary types of plants community among the submerged plants are mainly pondweed community, eelgrass community, poly grass community and Hydrilla verticillata community, which are the main food sources for cranes and other waterfowls. Floating-leaf plants are divided into wild rice stem community, polygonum hydropiper community. Floating plants can be divided into water chestnut community and gordon euryale seed community, which are the main grounds for breeding and feeding, and also gordon euryale seed is the main food for swans. Carex community is the main type in herbaceous swamp plants, which is an important feeding ground

黄河黄河 Yellow RiverYellow River长江长江 Yangtze RiverYangtze River

淮河淮河 Huai RiverHuai River

00℃℃℃℃℃℃℃℃ IsothermIsotherm

Shengjin LakeShengjin Lake（（（（（（（（116116°°°°°°°°1515′′′′′′′′--117117°°°°°°°°1515′′′′′′′′EE，，，，，，，，3030°°°°°°°°1515′′′′′′′′--

3030°°°°°°°°3030′′′′′′′′NN））））））））升金湖升金湖升金湖升金湖升金湖升金湖升金湖升金湖 Shengjin LakeShengjin Lake


for anatidae. Wetland ecosystem are mainly distributed in lake beaches, banks and other depressions, which are wild or cultivated types mostly, including poplars, dawn redwoods. The vegetation of Shengjin Lake Reserve is well-protected and has multiple types, which is the typical case among middle and lower reaches of Yangtze River. According to the rule and basis of <China Vegetation>, In terms of vegetation type group, vegetation type, formation, the vegetation in Shengjin Lake can be divided into 5 vegetation type groups, 11 vegetation types, 37 formations, and wetland vegetation is divided into 6 formation groups and 15 formations, the vegetation coverage rate can be as high as 80 percent when not eaten by crabs and some fish.

Functions that are provided by ecosystem include:

1) This area is an important resource of water in the south of middle and lower reaches of Yangtze River. It has strategically status in protecting vegetation, keeping water quality, conserving water source, controlling flood, resisting drought, protecting the ecological environment of middle and lower reaches of Yangtze River, ensuring water supply for several counties and villages around the watershed and for industrial and agricultural.

2) It is an ideal site for a wetland ecological system, cranes, storks, anatidae, wader birds biology, and environmental research. It’s also valuable for scientific and academic research of relevant subjects.

3) This NNR is significant in terms of resource utilization, tourism and education. It is also an ideal base for natural conservation and coordinated development of social economy research.

4) It’s a vital spawning grounds for fish.

With 6 towns including Dadukou, Shengli, Dongliu, Zhangxi, Tangtian, Niutoushan, 37 administrative villages, and a state-owned forest farm. There are 26,623 families, 99,210 people in total around the lake; among them the labor force is 61,476, and non-employed is 33,734. Residents around the lake rely mainly on agriculture, with a minor interest in forestry. They mainly grow paddy rice, cotton and rape, The annual

per capita income is ￥5,250. Recently,

with the development of economy, the traditional natural animal breeding pattern has been transformed into large-

scale breeding. The residents have reduced dependence on lake resources but they hope the management work of the NNR can change the fishery pattern in the future and develop ecological touristism to bring more benefit to them. The villages and towns around Shengjin lake covers 305, 959 mu(20407 hectare), among them farmland covers 125, 704 mu(8384 hectare), occupying 41.4% of the total measure of area. Water area covers 63657 mu (4245 hectare), occupying 20.6% of the total measure of area. Forest area covers 116598mu (7777 hectare), occupying 38.0%.

Map of vegetation in Shengjin Lake Nature Reserve


Demographic characteristics of villages and towns around Shengjin Lake

Economic condition of communities around the Reserve

Unit：￥Ten thousand

Name Total

income

Agriculture Forestry Animal

Husba-

ndry

Fishery Industry Other Per capita net

income of

famers

Zhangxi

town

19, 569 18, 028 194 235 397 299 416 5, 057. 9

Dongliu

town

6,329. 6 5, 464. 9 93 39. 4 64 90. 5 577. 8 5, 543. 7

Shengli

town

8,002. 9 7, 035. 8 74 282 263. 6 140. 1 207. 4 5, 540. 2

Dadukou

town

5,529. 5 3, 004. 2 5 210 428 0 1,

882. 3

5, 213

Niutoushan

town

5, 400 1, 450 100 130 240 80 3, 400 5, 000

Tangtian

town

5,78. 6 2, 785 190 316 1, 070 50 15,

67. 6

5, 153. 5

The characteristics of the community are: 1. High population density, including 6 towns, 37 administrative villages, and a state-owned forest farm. The population is 100,000 with more than 900 fishermen, so the economy is backward. 2. Fishery developing cooperative of Dongzhi county, Daqing lake ecological fishery professional cooperative and Dalian dyke developing company organize cultivating, breeding, some tourism, and other production and operation activities, which produce pressure on protection and management.

Local departments and organizations related to the management of natural resources: Forestry Bureau, Land Bureau, Environmental Protection Bureau, Hydropower Bureau, Agriculture Committee, Maritime Bureau, Bureau of Education, Shengjin lake National Nature Reserve Management Bureau, Fishery Administration Station, Lakeangpen Brake Station and other administrative departments. WWF, Birds Banding Center of National Forestry Bureau, China Forestry Science Institute, The Chinese Academy of Sciences Nanjing Institute of geography and lake, Anhui Wildlife Conservation Association, Anhui Photographers Association, Anhui Radio and Television Bureau, University of Science and Technology of China, Anhui University, Anhui Normal University, Anhui Bird Watching Association, Chizhou Radio and Television Bureau, Shengjin Lake Reserve Management Committee.

Name Households Population

Average

population per

household

Labor force Non-labor force

Zhangxi town 8, 454 31, 772 3. 7 19, 215 12, 557

Dongliu town 2, 586 9, 861 3. 8 6, 496 3, 365

Shengli town 7, 562 27, 687 3. 7 17, 980 9, 707

Dadukou town 2, 854 10, 444 3. 7 6, 476 3, 968

Niutoushan town

1, 774 6, 026 3. 4

3, 360 2, 666

Tangtian town 3, 393 13, 420 4. 0 7, 949 5, 471

Total 26, 623 99, 210 61, 476 33, 734


Land use in the villages and towns around the Shengjin Lake Reserve

Name

Total

measure

of area （（（（mu））））

Water

measure


Percenta

ge（（（（%））））

Farmland

measure


Percentage

(%））））

Forestry （（（（mu））））

Percenta

ge（（（（%））））

Zhangxi town 138,972 27,631 19.9 51,031 36.7 60,310 43.4

Dongliu town 37,922 4,286 11.3 16,416 43.3 17,220 45.4

Shengli town 34,087 6,970 20.4 25,007 73.4 2,110 6.2

Dadukou

town 16,901 1,250 7.4 15,651 92.6 0 0

Niutoushan

town 13,900 2,400 17.3 8,600 61.9 2,900 20.8

Tangtian town 64,177 21,120 32.9 8,999 14.0 34,058 53.1

Total 305,959 63,657 20.8 125,704 41.1 116,598 38.1

The significance to global biological diversity has been described in the main text of this document. Species are diverse. For example, 27 kinds of phytoplankton. And there are 38 families, 59 genus, 84 species of vascular plants. 13 kinds of zooplankton, 23 kinds of benthic fauna. 13 kinds of lamellibranch, 7 kinds of gastropods, 2 kinds of oligochaeta, and one kind of aquatic insects, 32 mammal species, 8 families 21 species of amphibians and reptiles. 176 kinds of birds, including 80 kinds of waterfowl, 62 kinds of fishery, such as cyprinidae, crucian carp, mandarin fish, topmouth culter, channa argus, catfish, thorn pangpi streak, yellow catfish, grass carp, spualiobarbus curriculus, silver carp, including national two level of protected animal myxocyprinus asiaticus. 18 kinds of mollusks, such as Chinese cipangopaludina chinensis, radix auricularia, hyriopsiscumingii, anodonta woodiana and Asian clam. Animal resources are:

1) 13 kinds of zooplankton, minority are rotifers. 2) 23 kinds of benthic fauna. 13 kinds of lamellibranch, 7 kinds of gastropods, 2 kinds of

oligochaeta, and one kind of aquatic insect. 3) 62 kinds of fish, including national two level of protected animal myxocyprinus asiaticus. 4) 8 families 21 species of amphibians and reptiles. And rana tigrina is national two level of

protected animal. 5) 32 mammal species, and national mainly protected animals are black fronted muntjac,

malayan pangolin, and common Otter. 6) 176 kinds of birds, including 80 kinds of waterfowl, 66 kinds of wintering waterfowl.

Plant resources: 27 kinds of phytoplankton, bacillariophyta is dominant, after it are chlorophyta, euglenophyta, xanthophyta, cyanophyta, pyrrophyta. There are 38 families, 59 genus, 84 species of vascular plants. The dominance of aquatic plant communities are malay pondweed, eelgrass, potamogeton crispus, poly grass, chestnut. The biomass is 750 grams, 500 grams, 650 grams, 100 grams, 250 grams per square meter respectively. Swamp communities are dominated by azim carex, carex brownii tuckerm, the coverage rate is as high as 85%. Associated plants are herb of lyrate bittercress, lysimachia parvifolia frahoh, flesh root, common nipplewort. Sedge community, carex community, polygonum community sporadically.


There are 6 kinds of first class national protected animals, white-head crane, white crane, oriental white stork, black stork, great bustard, white-shouldered eagle. national second-class animals of key protection such as Chinese egret, eurasian spoonbill, pelecanus crispus, black-headed ibis, mandarin duck, grey crane, grus vipio, lesser coucal, eastern grass-owl, little swan, white-foreheaded wild geese, Asian barred owlet, goshawk, Chinese goshawk, sparrowhawk, Japanese sparrowhawk, common buzzard, spotted eagle, eastern marsh harrier, peregrine falcon, common kestrel, hite-tailed kite, black kite. 33 kinds of animals have been included in the appendix species of <Convention on International Trade in Endangered Species of Wild Fauna and Flora>, and 6 kinds of waterfowls are included in that Appendix. Shengjin Lake plays an important role in China, Asia Pacific and in international biodiversity protection. Shengjin Lake is the main part of reserve; it consists of Shengjin Lake and adjacent riparian land. Historically, there was no industrial and mining enterprises or sewage there. Rivers that flowed into the lake originate from beautiful mountain areas, and brought clean water. Historically, Shengjin Lake had lush organic matter, diversified aquatic plants and reasonable plant structure. Consequently, it was one of the most important seasonal natural freshwater lakes in the middle and lower reaches of Yangtze River. This situation has seriously deteriorated with legacy mining leachates, agricultural pollution, intensive caged aquaculture, and rural village pollution (solid and liquid).

Shengjin Lake wetland is very famous in China and is included in the wetland list of international importance in <China wetlands conservation action plan>, compiled by the former forestry ministry and 17 Ministries and commissions of the State Council Office and published in 2000. The Shengjin Lake Reserve was listed one of the 40 significant reserves worldwide by former forestry ministry and The World Wide Fund for nature. It joined the China and Biosphere Reserve Network organization in 1995. It joined the Northeast Asia Crane Network Protection Zone in 2002. It joined the East Asian - Australasian wader bird protection area in 2005. It was rated as Terrestrial Wildlife Epidemic Disease of National Monitoring Station by China National Forestry Bureau in 2005. It became the first batch of members in the wetland reserve network of Middle and lower reaches of Yangtze River in 2005, and joined the East Asian - Australasian birds Migration Network in 2010.

In 1986, the Anhui Provincial Government approved the establishment of Shengjin Lake Waterfowls Nature Reserve (Provincial level). The Former Anqing administrative office organized Shengjin Lake Waterfowls Nature Reserve in March, 1986. <Circular of the State Council Concerning the Promulgation of the List of Luyashan Mountain National Nature Reserve and Other National Nature Reserves> promulgated by the State Council on December 8, 1997, approved the establishment of Shengjin Lake National Nature Reserve. The Commission Office for Public Sector Reform of Chizhou City, Anhui, approved the establishment of the Shengjin Lake National Nature Reserve Management Bureau.

Of the 12 wetland reserves in Anhui, Shengjin Lake National Nature Reserve is the only wetland and waterfowl national nature reserve in Anhui. According to the waterfowl survey of the middle and lower reaches of Yangtze River in six provinces by WWF, Shengjin Lake is one of the three wetlands that are significant worldwide.

Institutional Arrangement


The management of lake involves forestry, environmental protection, agriculture, and water conservancy. The government of Chizhou city established a management committee, making it clear that Reserve Management Bureau has the right of management to this wetland and other areas. But the committee has had little impact. Chizhou city, Guichi district and Bureau of Land and Resources of Dongzhi County are responsible for the land-use and the allocation of land use rights. The local government is responsible for setting up local economic development plans. City government works out the economic development plans of Chizhou city, and is linked to the plans of Anhui province and to national plans.

Anqing Riverine Provincial Nature Reserve

The Anhui Anqing Riverine Provincial Nature Reserve (PNR) for waterfowl is situated in southwestern Anhui Province, on the northern bank of middle and lower reaches of Yangtze River. It borders Yangtze River in the south and Dabie Mountains in the north, and consists of the catchment of hilly areas along Yangtze River. From the west to the east, it is comprised of nine lakes (Longgan, Huangda, Bohu, Wuchang, Caizi, Pogang, Baidang, Fengsha, and Chenyao lakes). Geographically, it is located between N 30º47´-31º17´ and E115º46´-117º44´, with a total area of 120,000 hectares. The PNR was established in 1995. In 1997, the Administration Office of Anqing Riverine Nature Reserve (PNR) on Waterfowl was founded under the administration of Anqing Municipal Forestry Bureau. The nature reserve management stations in Susong, Wangjiang and Congyang counties in which the PNR are located have also been put into place. To date, these organizations are supported by 15 staff.

The Anqing PNR mainly protects some rare aquatic plants and wild animals including birds. The PNR is home to 87 species of water birds, includeing some rare water birds under first-class national protection, (Ciconia boyciana,Ciconia nigra,Grus monacha,Grus leucogeranus,Otis tarda) and some under second-class national protection (Podieceps auritus,Grus vipio,Grus grus, Platalea leucorodia,Aix galericulata, Cygnus columbianus,Anser anser,Milvus migrans,Accipiter gentilis,Accipiter soloensis,Accipiter nisus,Milvus lineaus,Buteo buteo,Aquila clanga,Cirus cyaneus,Falco tinnunculus,Falco peregrinus,Centropus toulou). In 2001, to further understand its baseline resources, the Anqing PNR worked with WWF to conduct a biodiversity survey, staff training and develop nature reserve management plan, etc. In addition, it worked with EU, Wetlands International and Siberian Crane GEF China Office to carry out scientific research, wetland monitoring and capacity building of the staff. As for the conservation and management actions, the PNR has strengthened the zonation management, enhanced scientific monitoring, carried out habitat restoration, and integrated NR construction into the economic development strategy and overall development plan of Anqing Municipal Government, and institutionalized these efforts through local policies. In addition, it has established the NR Management Committee and Academic Committee, developd a three-tier management system (at administration office, station and site levels), and drafted measures on the NR management. Over the recent few years, the provincial and local financial and other competent authorities have invested more than RMB 10 million and attracted nearly RMB 10 million of foreign investment. An EU-funded biodiversity project in the period 2007-2009 focused in Caizi Lake with the purpose of better understanding habitat issues for wild-bird protection.


The major factors threatening this PNR includee: land conversion, over-fishing, enclosure aquaculture, dam building, and water pollution. Over-exploitation of fishery resources has damaged the original eco-environment of the lakes. Furthermore, the alien invasive species including Alternanthera philoxeroides(Mart.) Griseb are widely distributed in some areas, which threaten the living of native species and affect the water traffic of the rivers.

Guichi Shibasuo Provincial Nature Reserve

Anhui Guichi Shibasuo Provincial Nature Reserve (PNR) lies in the northeastern diked area in Guichi District, Chizhou City, Anhui Province, on the southern bank of Yangtze River and has an area of area of 3,651.6 hectares. It mainly protects rare water birds and their habitats. The PNR supports 121 species of water birds, including two species under first-class national protection, (Ciconia boyciana and Grusmonacha) and eight species under second-class national protection (Cygnus columbianus, Anser albifrons, Accipiter nisus,Falco tinnunculus,Falco peregrinus,Platalea leucorodia,Aix galericulata,Pelecanus crispus). In 1998, Shibasuo Nature Reserve at municipal (county) level was approved to be established by Guichi Municipal Government. In April 2001, it was upgraded to the provincial level by Anhui Provincial Government and administered under the Forestry Bureau of Guichi District of Chizhou Municipality. The area and boundaries of the NR was adjusted in 2004 under the approval of the provincial government. In 2005, the Management Station of the PNR was approved to be established by Guichi District Institutional Organization Committee. The Management Station is temporarily based in the Forestry Bureau of Guichi District, and supported by two staff and one patrol guard. This PNR has signed co-management agreement with the local community to jointly protect the wetland areas and the wildlife. In October 2008, the NR was listed as a member of Yangtze Wetland Conservation Network under Wetland Conservation and Management Center of State Forestry Administration. In June 2011, Guichi Shibasuo Wetland Protection and Restoration Project, with a total investment of RMB 10 million Yuan, was approved by Anhui Provincial Development and Planning Commission. The project aims to improve the local wetland environment, protect and restore the wetland resources. The initial preparatory work is being implemented. The lake level is controlled by a sluice for commercial fishing purposes so that natural level fluctuations now no longer occur. The entire lake is leased to one fishing company. At present, the wetland area is mainly threatened by high-density aquaculture, siltation, and domestic sewage pollution. In 2011, the PNR was listed in the planning of Southern Yangtze River Industrial Cluster Area under the Demonstration Area to Undertake Industrial Transfer in the Cities Belt of Anhui along Yangtze River, turning the NR into a planned construction project within the industrial cluster area. With the implementation of the project, the wetland area of the NR will be threatened by industrial and domestic sewage pollution due to large land conversion, infrastructural construction, and industrial transfer.


Shijiu Lake Provincial Nature Reserve

The Anhui Dangtu Shijiu Lake Provincial Nature Reserve (PNR) lies in the border area of Dangtu County, Anhui Province; and Gaochun County and Lishui County, Jiangsu Province (refer to Figure 3) with a total area of 10,667 hectares. The NR is one part of the much larger Shijiu Lake. This lake is one of the few lakes in Anhui that remain connected with the Yangtze River but this may change under a proposal of the Water Resources Department to build a sluice for flood control and to control water level for the intensive commercial fishery in this lake. The NR was established mainly to protect rare water birds and habitat, including one species under first-class national protection (Ciconia boyciana) and 13 species under second-class national protection (Cygnus cygnus, Cygnus columbianus, Anser albifrons, Centropus bengalensis, Pandion haliaetus,Circus cyaneus, Accipiter nisus,Buteo buteo,Falco tinnunculus, Falco columbarius, Falco peregrinus, Podiceps cristatus and Platalea leucorodia). The PNR is also the only NR in Anhui Province in which a distribution of Grus japonensis was found in the 1980s. The major factors threatening this PNR include: enclosure aquaculture, pollutants discharge and building of water conservancy projects. These factors have led to a series of problems such as the deteriorating of water quality and eutrophication of Shijiu Lake, and declining of its biodiversity. In 2001, the PNR was approved to be established by Anhui Provincial Government. It has been listed as a wetland area of national importance by China National Wetland Conservation Action Plan. In 2003, the Management Station of the PNR was founded. To date, it is supported by only one staff. Due to lack of funding, no day-to-day work has been carried out by the Management Station.

Yangtze Alligator NNR (Yangzi'e)

The Yangtze (Chinese) Alligator NNR has an area of 18,565 ha consisting of four parcels of disconnected areas. This NNR has been highly successful in breeding an almost extinct species to a current population of over 10,000 animals contained within the breeding centre. Since the inception of the breeding program in 1983 the focus has been mainly on building the population. Today, the ponds of the breeding centre are bursting with the number of animals. In the past few years a limited number of animals have been relocated to wetlands within the NNR and there are currently appoximately 150 individuals that now feed themselves although there is a loss of some 4-6% annually. Under current conditions the carrying capacity is about 300-500 wild animals within the NNR. With good conditions (mainly low pollution and adequate natural fish supply) total carrying capacity of the current PA area would be about 2000 animals. This NNR is mainly threatened by such factors as small area of habitats, lack of connectivity between different habitats, agricultural non-point source pollution, and food shortage for wild alligators. Due to narrow and small spatial areas of the NNR, the Chinese alligators (Alligator sinensis) artificially bred and raised in the NNR are densely distributed, with a high cost of artificial rearing. Their wild habitats are not only small in size, but are isolated each other. In some sites there are only a few Chinese alligators, which reduces reproductive opportunity. In addition, the large application of pesticides, herbicides, and rodenticides in agricultural production has significantly reduced the food supply for Chinese alligator such as Margarya melanioides, Hyriopsis cumingii (Lea), fish and shrimps.


The success of the breeding program has not been matched by the ability to create new habitat for the introduction into the wild of this large captive population. Under the best of conditions, the NNR would need to be expanded by at least x5 in order to release the present captive population. The AFD is currently examining options for expanding the protected habitat required to release this captive population. These options are, however, limited by dense occupancy by farmers of suitable wetland areas although experience within the NNR (which also has a large farming population) indicates that an accommodation can be reached with farmers insofar as the main area of conflict between alligators and farmers is over fish, not farmland. In the meantime, the breeding centre sends small numbers of animals to other parts of China where they are being introduced both into the wild and into controlled areas such as wetland parks. Anhui Tongling Dolphin National Nature Reserve (Danshuitin)

The Anhui Tongling Dolphin45 National Nature Reserve (NNR) is situated within the Yangtze river sections of Tongling, Congyang and Wuwei municipalities and counties in Anhui Province. Located between E117°39′30″-117°55′25″ and N30°46′20″-31°05′25″ and with an area of 31,518 ha this NNR covers the area within the dyke of the Yangtze River (including mudflat and shoals) and estuary waters and terristrial areas connecting with the Yangtze River. Unlike the other five WPAs, it is under the resonsibility of the Provincal Environmental Protection Department. The major protection target now is the finless porpoise (Neophocaena phoconoides) (not a dolphin) which is under the second-class national protection. The major factors threatening the finless porpoise include illegal fishing, water body pollution, construction of water conservancy and bridge projects, shipping, and river sand digging. Over the recent years, the sharp increase of electric fishing activities along Tongling river section in Yangtze River has severely damaged the fishery resources which has directly affected the food source of finless porpoise. Due to the impact of shipping, construction of ports along the river and sand digging in the river channel, the living space of finless porpoises has been significantly reduced. Although no detailed scientific data is available, the study shows that the health and growth of finless porpoises has been negatively affected by the heavy metal and POPs of industrial sewage through the food chain due to water pollution. WWF in 2012 believed the population of endangered finless porpoise continues to decline. In 1996 that the baiji dolphin was determined by scientific investigations to be functionally extinct in its native Yangtze river habitat. The breeding centre in the NR has not been able to breed the baiji dolphin since the inception of the centre in 2000. It has bred 6 finless porpoises since 2003 and now contains 11 finless porpoises in semi-capitivity (in protected natural habitat). There is no intention of releasing either species into the wild because of pollution that has been mainly responsible for the extinction of the wild baiji dolphin.

The NR was approved by Anhui Provincial Government in December 2000 and upgraded to national level in February 2006 with the objective of breeding and research of the Yangtze River dolphin. The Dolphin centre houses an aquarium and specimen center in which the river dolphin, Japanese fancy carp, giant salamander, Chinese alligator, Chinese sturgeon fish, river carp, mullet and other fishes of the Yangtze that are raised in captivity. The objective of the Tongling

45 In Chinese, the term 'dolphin' refers to both the finless porpoise and the Yangtze River Dolphin (baiji dolphin).


Dolphin NNR is to conserve these species, not to preserve habitat, so there is a fundamental difference between this and other WPAs in Anhui Province. As a wildlife centre, it provides opportunities for research and education and may, in the much more distant future, have possibilities for re-introducing the dolphin into its native habitat.


ANNEX 6: Tables of Anhui Protected Area system

Table 15: Nature Reserves for Forest and Terrestrial Wildlife Protection in Province Name of Nature

Reserve Location Area

(ha) Main Object of Protection Level Authority in

Charge Master Plan Management

Plan Guniujiang NNR Shitai &

Qimen 6713.0 Middle subtropical evergreen broad-

leaved forests and rare wildlife including Muntiacus crinifrons, Neofelis nebulosa

National

Forest

2011 None

Yaoluoping NNR Yuexi 12300.0 Middle subtropical evergreen broad-leaved forests and rare wildlife

National Environment

2010 None

Tianma NNR Jinzhai 28913.7 Northern subtropical deciduous-evergreen broad-leaved mixed forests and rare wildlife

National Forest

2011 None

Jixi Qingliangfeng NNR

Jixi & Shexian

7811.2 Warm temperate forest ecosystem and rare wildlife

National Forest

2012 None

Chuzhou Huangpushan PNR

Chuzhou 3600.0 Forest ecosystem and rare wildlife including Hydropotes inermis, Accipitridae, Liriodendron chinensis

Provincial Forest

None None

Xiaoxian Huangzangyu PNR

Xiaoxian 2067.0 Deciduous broad-leaved forest and rare species in warm temperate zone

Provincial Forest

None None

Lingnan PNR Xiuning 2771.0 Middle subtropical evergreen broad-leaved forest and endangered wildlife

Provincial Forest 2012 None

Huangshan shilishan PNR

Huangshan 1936.8 Middle subtropical evergreen broad-leaved forest and rare wildlife


Ningguo Banqiao PNR

Ningguo 5000.0 Middle subtropical evergreen broad-leaved forest and rare wildlife


Qianshan Bancang PNR

Qianshan 1523.2 Northern subtropical evergreen broad-leaved forest and rare wildlife


Shucheng Wanfoshan PNR

Shucheng 2000.0 Northern subtropical evergreen and deciduous broad-leaved forest and rare wildlife


Yuexi Kujingyuan PNR

Yuexi 4000.0 Northern subtropical evergreen broad-leaved forest and rare wildlife


Yixian Wuxishan PNR Yixi 4050.0 Middle subtropical evergreen broad-leaved forest and rare wildlife including Macaca mulatta, Muntiacus crinifrons, Taxus chinensis


Huizhou Tianhu PNR Huizhou 4499.0 Middle subtropical evergreen broad-leaved forest and rare wildlife


Huoshan Foziling Huoshan 6667.0 Northern subtropical deciduous broad- Provincial Forest 2008 None


PNR leaved forest and rare wildlife resources

Guichi Laoshan PNR Guichi 16909.0 Warm temperate forest and species of Neofelis nebulosa, Cervus nippon, Syrmaticus ellioti, Lophura nythemera, Capricornis sumatraensis


Huangshan District Jiulongfeng PNR

Huangshan 2720.0 Middle subtropical forest and species of Neofelis nebulosa, Muntiacus crinifrons, Syrmaticus ellioti, Lophura nythemera


Qimen Chawan PNR Qimen 1600.0 Middle subtropical evergreen broad-leaved forest and rare wildlife


Xiuning Liugujian PNR

Xiuning 2747.0 Middle subtropical forest ecosystem and rare wildlife


Suzhou Dafangsi PNR Suzhou 2080.0 Warm temperate forest ecosystem and rare wildlife


Qingyang Pantai PNR Qingyang 540.0 Middle subtropical forest ecosystem and rare wildlife


Dangshan Crisp Pear Germplasm Resource

Dangshan 8892.0 Dangshan crisp pear germplasm resources in warm temperate zone

Provincial Environment

2011 None

Total 129339.9

Table 16: Wetland nature reserves in Anhui Province (highlighted NRs are the six NRs located in the Yangtze River Corridor)

Name of Nature Reserve Location Area (ha)

Main Object of Protection Level Authority in Charge

Master Plan

Management Plan

Tongling Dolphin NNR

(Anhui-Danshuitun Wtld)

Tongling 31518 Baiji and Yangtze finless porpoise

and other rare animals

National Environment

2007 None

Shengjin Lake NNR Guichi &

Dongzhi

33400 Wintering White Storks, other rare

birds and wetland ecosystems

National Forestry

2010 None

Chinese alligator NNR

(Anhui-Yangzi'e Wetland)

Xuancheng 18565 Chinese alligator and their habitats National

Forestry

2009 None

Wuhe Tuohu Lake PNR Wuhe 4180 Wetland ecosystems, aquatic and

bird special

Provincial Environment

2008 None

Shijiu Lake PNR Dangtu 10667 Rare waterfowl and their habitats Provincial Forestry None None

Anqing PNR Anqing 120000 Rare waterfowl and wetland Provincial Forestry 2012 None


ecosystems

Nvshan Lake PNR Mingguang 21000 Wetland ecosystems and aquatic

plants and animals

Provincial Forestry

2012 None

Bali River PNR Yingshang 14600 Rare waterfowl and their habitats Provincial Forestry 2010 None

Dongxi Lake PNR Huoqiu 14200 Waterbirds and their habitats Provincial Forestry 2010 None

Shibasuo PNR Guichi 3652 Wetland and white stork, Little

Swan and other rare birds

Provincial Forestry

2006 None

Xihu PNR Yingzhou 11000 Wetland ecosystems, aquatic and

bird special

Provincial Forestry

2012 None

Yihulianghe (one lake

with two rivers) NR

Guzhen 4000 Wetland ecosystems, amphibian

and water birds

Local Forestry

None None

Sifang Lake wetland NR Huaiyuan 10054 Rare water birds and Wetland

ecosystems

Local Forestry

None None

Huizhou Yuanyang Lake

NR

Huizhou 353 Mandarin duck (Aix galericulata)

and Wetland ecosystems

Local Forestry

None None

Huangshan Xixi Wetland

NR

Huangshan 4710 Lake and aquatic ecosystems Local Forestry

None None

Total 301899

Table 17: National wetland parks in Anhui Province Name of wetland parks Location Area(ha) Main Object of

Protection Level Authority in

Charge Master Plan Management

Plan

Huangshan District Taipinghu

NWP

Huangshan 9580 Wetland ecosystem National Forest None

Bengbu Sanchahe NWP Huaishang 800 Wetland ecosystem National Forest 2006 None

Yingshang Digou

NWP

Yingshang 2800 Wetland ecosystem National Forest 2007 None

Sixian Shilonghu NWP Sixian 1485 Wetland ecosystem National Forest 2008 None


Huainan Jiaoganghu NWP Maoji 3267 Wetland ecosystem National Forest 2008 None

Taihe Shayinghe NWP Taihe 714 Wetland ecosystem National Forest 2008 None

Taihu Huatinghu NWP Taihu 21841 Wetland ecosystem National Forest 2008 None

Yingzhou Xihu NWP Fuyang 666 Wetland ecosystem National Forest 2008 None

Shitai Qiupu River Source

NWP

Shitai 1850 Wetland ecosystem National Forest 2009 None

Liu’an Pihe NWP Liu’an 4448 Wetland ecosystem National Forest Has,2010 None

Woyang Daoyuan NWP Woyang 849 Wetland ecosystem National Forest Has,2010 None

Chizhou Pingtianhu NWP Chizhou 2901 Wetland ecosystem National Forest Has,2010 None

Total 51201


ANNEX 7: Knowledge, Attitude Practice (KAP)

1. Introduction Knowledge, attitude, and practice (KAP) survey is a popular survey method in social science and public health sector. The purpose of KAP survey is to understand the current status and gaps of the knowledge, attitude, and practices of the target groups on specific issues, so as to design intervention programs to enhance the knowledge, change the attitudes and practices of the target groups to desired ways. The proposed KAP survey for the CBPF-MSL project is to provide the development teams and national stakeholders a more nuanced understanding of public opinion concerning wetlands conservation issues in China. The KAP Survey will assess levels of knowledge regarding the importance of wetlands, wetland biodiversity and wetland protected areas especially; attitudes towards conservation and development of wetland areas; attitudes towards wetland protected areas and their work; and practices that currently impact the health and functionality of wetlands and the ability of wetland protected areas to do their job successfully. The results of this survey will be used as indicators to gauge programmatic and project level impact on stakeholder perception and behaviour. They will also inform design of an awareness campaign and communication strategy for the project, and also can be used in monitoring awareness impacts later in the life of the project. For this Project, KAP will focus upon provincial, municipal, county and village levels, and will include both officials and residents. In particular, the KAP survey will be used to assess the linkages between WPA objectives, residents views on these objectives, and willingness to adapt to new NR planning and management methods and objectives. 2. Survey Methodology Both qualitative interview and quantitative survey will be used to collect data from the following target groups:

1. 100 officials from sector departments at provincial, city, county, and township levels, including MEP, MWR, MOA, MLR, SOA, and PDRC, etc.

2. 100 residents (balanced between gender) living in or around the six NRs. 3. 100 school children from the population living in or around the six NRs.

In addition, a qualitative interview guide will be developed to have in-depth discussions with the representatives from the above target groups, focusing on understanding the information needs and the preferred information channels of them, so as to develop the communication strategy. The survey and interview will be mainly carried out by face to face, supported by telephone, e-mails, and post mails.


3. KAP Components The survey questionnaires cover 4 components: Knowledge, Attitude, Practices, and Information Needs. Knowledge. This part mainly includes the questions to ask the respondents on their self assessment on the knowledge related to wetland and biodiversity, understanding on the concept, categories, and value of the wetlands, awareness on the policies and regulations related to wetland conservation.

Attitudes. This part intends to get the respondent opinions on the importance attached to wetlands, relationship between economic development (or poverty) and wetlands conservation, perceived barriers in wetlands conservation, measures to overcome barriers and enhancement of capacities, and National priority areas to conserve wetlands

Practices. This part asks the respondents on their activities to conserve wetlands, integration of wetlands into sector development plan or enterprise strategy, and the monitoring of wetlands conservation plans or projects and environmental impact assessment.

Information Needs. This part mainly asks the respondents on their information Sources of information, Suggestions for information dissemination, Information requirements.

4. Data Processing The quantitative data will be inserted into excel sheet, the descriptive statistics will be used to process the data. The percentage and means will be calculated. The data will be disaggregated among different target groups. The qualitative data will be analyzed by the main issues and themes, and supplement the quantitative data. The data results will be used to analyze the gaps in knowledge, attitude, and practices regarding the wetland conservation, and develop the communication strategies to mainstream the wetland conservation among the public and the sector and enterprise development plan. The results of this survey will be used as indicators to gauge programmatic and project level impact on stakeholder perception and behaviour.


ANNEX 8: Environmental and Social Screening Summary

QUESTION 1:

Has a combined environmental and social assessment/review that covers the proposed project already been completed by implementing partners or donor(s)? Select answer below and follow instructions:

��NO → Continue to Question 2 (do not fill out Table 1.1)

1. YES → No further environmental and social review is required if the existing documentation meets UNDP’s quality assurance standards, and environmental and social management recommendations are integrated into the project. Therefore, you should undertake the following steps to complete the screening process:

1. Use Table 1.1 below to assess existing documentation. (It is recommended that this assessment be undertaken jointly by the Project Developer and other relevant Focal Points in the office or Bureau).

2. Ensure that the Project Document incorporates the recommendations made in the implementing partner’s environmental and social review.

3. Summarize the relevant information contained in the implementing partner’s environmental and social review in Annex A.2 of this Screening Template, selecting Category 1.

4. Submit Annex A to the PAC, along with other relevant documentation. Note: Further guidance on the use of national systems for environmental and social assessment can be found in Annex B.

TABLE 1.1: CHECKLIST FOR APPRAISING QUALITY ASSURANCE

OF EXISTING ENVIRONMENTAL AND SOCIAL ASSESSMENT

Yes/No

1. Does the assessment/review meet its terms of reference, both procedurally and substantively?

2. Does the assessment/review provide a satisfactory assessment of the proposed project?

3. Does the assessment/review contain the information required for decision-making?

4. Does the assessment/review describe specific environmental and social management measures (e.g. mitigation, monitoring, advocacy, and capacity development measures)?

5. Does the assessment/review identify capacity needs of the institutions responsible for implementing environmental and social management issues?


6. Was the assessment/review developed through a consultative process with strong stakeholder engagement, including the view of men and women?

7. Does the assessment/review assess the adequacy of the cost of and financing arrangements for environmental and social management issues?

Table 1.1 (continued) For any “no” answers, describe below how the issue has been or will be resolved (e.g. amendments made or supplemental review conducted).

QUESTION 2:

Do all outputs and activities described in the Project Document fall within the following categories?

1. Procurement (in which case UNDP’s Procurement Ethics and Environmental Procurement Guide need to be complied with)

2. Report preparation 3. Training 4. Event/workshop/meeting/conference (refer to Green Meeting Guide) 5. Communication and dissemination of results

Select answer below and follow instructions:

�� NO →→→→ Continue to Question 3

1. YES → No further environmental and social review required. Complete Annex A.2, selecting Category 1, and submit the completed template (Annex A) to the PAC.

QUESTION 3: Anhui: All activities involve only downstream planning processes.

Does the proposed project include activities and outputs that support upstream planning processes that potentially pose environmental and social impacts or are vulnerable to environmental and social change (refer to Table 3.1 for examples)? (Note that upstream planning processes can occur at global, regional, national, local and sectoral levels) Select the appropriate answer and follow instructions:

�� NO → Continue to Question 4.

2. YES →Conduct the following steps to complete the screening process: 1. Adjust the project design as needed to incorporate UNDP support to the

country(ies), to ensure that environmental and social issues are appropriately considered during the upstream planning process. Refer to Section 7 of this


Guidance for elaboration of environmental and social mainstreaming services, tools, guidance and approaches that may be used.

2. Summarize environmental and social mainstreaming support in Annex A.2, Section C of the Screening Template and select ”Category 2”.

3. If the proposed project ONLY includes upstream planning processes then screening is complete, and you should submit the completed Environmental and Social Screening Template (Annex A) to the PAC. If downstream implementation activities are also included in the project then continue to Question 4.

TABLE 3. 1 EXAMPLES OF UPSTREAM PLANNING PROCESSES

WITH POTENTIAL DOWNSTREAM ENVIRONMENTAL AND SOCIAL IMPACTS

Check appropriate box(es) below

20. Support for the elaboration or revision of global- level strategies, policies, plans, and programmes.

For example, capacity development and support related to international negotiations and agreements. Other examples might include a global water governance project or a global MDG project.

21. Support for the elaboration or revision of regional-level strategies, policies and plans, and programmes.

For example, capacity development and support related to transboundary programmes and planning (river basin management, migration, international waters, energy development and access, climate change adaptation etc.).

3. Support for the elaboration or revision of national-level strategies, policies, plans and programmes.

For example, capacity development and support related to national development policies, plans, strategies and budgets, MDG-based plans and strategies (e.g. PRS/PRSPs, NAMAs), sector plans.

4. Support for the elaboration or revision of sub-national/local-level strategies, polices, plans and programmes. For example, capacity development and support for district and local level development plans and regulatory frameworks, urban plans, land use development plans, sector plans, provincial development plans, provision of services, investment funds, technical guidelines and methods, stakeholder engagement.


QUESTION 4:

Does the proposed project include the implementation of downstream activities that potentially pose environmental and social impacts or are vulnerable to environmental and social change? To answer this question, you should first complete Table 4.1 by selecting appropriate answers. If you answer “No” or “Not Applicable” to all questions in Table 4.1 then the answer to Question 4 is “NO.” If you answer “Yes” to any questions in Table 4.1 (even one “Yes” can indicated a significant issue that needs to be addressed through further review and management) then the answer to Question 4 is “YES”:

€ NO → No further environmental and social review and management required for downstream activities. Complete Annex A.2 by selecting “Category 1”, and submit the Environmental and Social Screening Template to the PAC.

� YES → Conduct the following steps to complete the screening process: 1. Consult Section 8 of this Guidance, to determine the extent of further

environmental and social review and management that might be required for the project.

2. Revise the Project Document to incorporate environmental and social management measures. Where further environmental and social review and management activity cannot be undertaken prior to the PAC, a plan for undertaking such review and management activity within an acceptable period of time, post-PAC approval (e.g. as the first phase of the project) should be outlined in Annex A.2.

3. Select “Category 3” in Annex A.2, and submit the completed Environmental and Social Screening Template (Annex A) and relevant documentation to the PAC.

Note: Where answers are "yes", explanation is provided in the main box. TABLE 4.1: ADDITIONAL SCREENING QUESTIONS TO DETERMINE THE

NEED AND POSSIBLE EXTENT OF FURTHER ENVIRONMENTAL AND SOCIAL REVIEW AND MANAGEMENT

1. Biodiversity and Natural Resources Answer (Yes/No/ Not Applicable)

1.1 Would the proposed project result in the conversion or degradation of modified habitat, natural habitat or critical habitat?

NO

1.2 Are any development activities proposed within a legally protected area (e.g. natural reserve, national park) for the protection or conservation of biodiversity?

NO

1.3 Would the proposed project pose a risk of introducing invasive alien species? NO

1.4 Does the project involve natural forest harvesting or plantation development without an independent forest certification system for sustainable forest management (e.g. PEFC, the Forest Stewardship Council certification systems, or processes established or accepted by the relevant National Environmental

NA


Authority)?

1.5 Does the project involve the production and harvesting of fish populations or other aquatic species without an accepted system of independent certification to ensure sustainability (e.g. the Marine Stewardship Council certification system, or certifications, standards, or processes established or accepted by the relevant National Environmental Authority)?

NA

1.6 Does the project involve significant extraction, diversion or containment of surface or ground water?

For example, construction of dams, reservoirs, river basin developments, groundwater extraction.

NO

1.7 Does the project pose a risk of degrading soils? NO

2. Pollution Answer (Yes/No/ Not Applicable)

2.1 Would the proposed project result in the release of pollutants to the environment due to routine or non-routine circumstances with the potential for adverse local, regional, and transboundary impacts?

NA

2.2 Would the proposed project result in the generation of waste that cannot be recovered, reused, or disposed of in an environmentally and socially sound manner?

NA

2.3 Will the propose project involve the manufacture, trade, release, and/or use of chemicals and hazardous materials subject to international action bans or phase-outs?

For example, DDT, PCBs and other chemicals listed in international conventions such as the Stockholm Convention on Persistent Organic Pollutants, or the Montreal Protocol.

NA

2.4 Is there a potential for the release, in the environment, of hazardous materials resulting from their production, transportation, handling, storage and use for project activities?

NA

2.5 Will the proposed project involve the application of pesticides that have a known negative effect on the environment or human health?

NA

3. Climate Change

3.1 Will the proposed project result in significant46 greenhouse gas emissions? Annex E provides additional guidance for answering this question.

NO

3.2 Is the proposed project likely to directly or indirectly increase environmental and social vulnerability to climate change now or in the future (also known as maladaptive practices)? You can refer to the additional guidance in Annex C to help you answer this question.

NO

4. Social Equity and Equality Answer (Yes/No/ Not Applicable)

4.1 Would the proposed project have environmental and social impacts that could affect indigenous people or other vulnerable groups?

NO

4.2 Is the project likely to significantly impact gender equality and women’s empowerment47?

NO

46

Significant corresponds to CO2 emissions greater than 100,000 tons per year (from both direct and indirect sources). Annex E

provides additional guidance on calculating potential amounts of CO2 emissions.


4.3 Is the proposed project likely to directly or indirectly increase social inequalities now or in the future?

NO

4.4 Will the proposed project have variable impacts on women and men, different ethnic groups, social classes?

NA

4.5 Have there been challenges in engaging women and other certain key groups of stakeholders in the project design process?

NO

4.6 Will the project have specific human rights implications for vulnerable groups? NO

5. Demographics 5.1 Is the project likely to result in a substantial influx of people into the affected

community(ies)? NO

5.2 Would the proposed project result in substantial voluntary or involuntary resettlement of populations? (LIMITED RESETTLEMENT MAY BE

REQUIRED BUT THIS WILL NOT BE 'SUBSTANTIAL" AND WILL BE

VOLUNTARY, WITH COMPENSATION)

YES

5.3 Would the proposed project lead to significant population density increase which could affect the environmental and social sustainability of the project?

NO

1. Culture 6.1 Is the project likely to significantly affect the cultural traditions of affected

communities, including gender-based roles? NO

6.2 Will the proposed project result in physical interventions (during construction or implementation) that would affect areas that have known physical or cultural significance to indigenous groups and other communities with settled recognized cultural claims?

NO

6.3 Would the proposed project produce a physical “splintering” of a community?

NO

2. Health and Safety 7.1 Would the proposed project be susceptible to or lead to increased vulnerability to

earthquakes, subsidence, landslides, erosion, flooding or extreme climatic conditions?

NO

7.2 Will the project result in increased health risks as a result of a change in living and working conditions? In particular, will it have the potential to lead to an increase in HIV/AIDS infection?

NA

7.3 Will the proposed project require additional health services including testing? NA

3. Socio-Economics 8.1 Is the proposed project likely to have impacts that could affect women’s and

men’s ability to use, develop and protect natural resources and other natural capital assets? (YES, BUT THE IMPACT WILL BE POSITIVE, NOT

NEGATIVE)

YES

a. Is the proposed project likely to significantly affect land tenure arrangements and/or traditional cultural ownership patterns?

NO

8.3 Is the proposed project likely to negatively affect the income levels or employment opportunities of vulnerable groups?

NO

9. Cumulative and/or Secondary Impacts Answer (Yes/No/ Not Applicable)

9.1 Is the proposed project location subject to currently approved land use plans (e.g. roads, settlements) which could affect the environmental and social sustainability of the project?

NO

47 Women are often more vulnerable than men to environmental degradation and resource scarcity. They typically have weaker

and insecure rights to the resources they manage (especially land), and spend longer hours on collection of water, firewood, etc.

(OECD, 2006). Women are also more often excluded from other social, economic, and political development processes.


9.2 Would the proposed project result in secondary or consequential development which could lead to environmental and social effects, or would it have potential to generate cumulative impacts with other known existing or planned activities in the area?

NA

Name of Proposed Project: CBPF-MSL: Strengthening the management effectiveness of the wetland protected area system in Anhui Province A. Environmental and Social Screening Outcome Select from the following:

Category 1. No further action is needed

� Category 2. Further review and management is needed. There are possible environmental and social benefits, impacts, and/or risks associated with the project (or specific project component), but these are predominantly indirect or very long-term and so extremely difficult or impossible to directly identify and assess.

Category 3. Further review and management is needed, and it is possible to identify these with a reasonable degree of certainty. If Category 3, select one or more of the following sub-categories: Category 3a: Impacts and risks are limited in scale and can be identified with a reasonable degree of certainty and can often be handled through application of standard best practice, but require some minimal or targeted further review and assessment to identify and evaluate whether there is a need for a full environmental and social assessment (in which case the project would move to Category 3b). Category 3b: Impacts and risks may well be significant, and so full environmental and social assessment is required. In these cases, a scoping exercise will need to be conducted to identify the level and approach of assessment that is most appropriate.


B. Environmental and Social Issues (for projects requiring further environmental and social review and management) 5.2: Voluntary or Involuntary Resettlement: Any resettlement would only be associated with expansion of WPA area however expansion does not necessary involve resettlement. The area has not been decided. For example, expansion of the alligator reserve into a new wetland area will affect only aquatic areas and not land areas, therefore farming is not affected; thus it will have an impact on fishing, but not on land settlement. Expansion of wildfowl habitat also does not involve resettlement. If resettlement becomes an issue, the Project will examine alternatives such as payment for use of farm land by migrating birds during migration season (mainly winter) to develop stewardship of birds, not confrontation with birds, by farmers. The extent of this issue is not quantifiable at this time. 8.1 Impacts that could affect women’s and men’s ability to use, develop and protect natural resources and other natural capital assets: The project will reduce fishing pressures; this in turn, does affect the ability to use natural resources. However, fishing families welcome this providing it is accompanied by an alternative livelihood. The benefits will be positive, not negative, and therefore do not need further screening or management apart from using accepted procedural steps in identifying those willing to give up fishing with appropriate compensation. 8.2 Land Tenure: This is answered as NO as it is unlikely to be a significant issue in this project insofar as WPAs in Anhui do not impact on land; farmers do not own water rights. For this project, this addresses the same point as 5.2 ( please refer to 5.2 above for rationale). In any case, the numbers of families are not known, nor is the geographical area for WPA expansion known at this time. C. Next Steps (for projects requiring further environmental and social review and management): 5.2: Voluntary or Involuntary Resettlement: The project first must decide which WPA area(s) will be targets for expansion. Once decided, and if resettlement is required, there will be consultation with the local government and with representatives of affected groups. The Project will propose avenues for compensation funding and assist with application for these funds, as required, especially for loss of fishing rights. The national government has strict rules on compensation. The final decision on resettlement, if any, will be up to the provincial government. The extent of this action is not quantifiable at this time but will be monitored by the Project in the event that resettlement becomes an issue. 8.1 Impacts that could affect women’s and men’s ability to use, develop and protect natural resources and other natural capital assets: Local governments are already on top of this issue, have conducted surveys of numbers of affected fishing families, boats, nets, etc.., but lack money to carry out the nest steps. The Project will assist local government and will focus on those families and individuals that wish to move out of fishing to some other livelihood. This will not be contentious insofar as fishing is now mainly by middle aged and old people as young people have no interest in this type of low-


reward activity. The point is not to move everyone, but to reduce a critical mass so that fishing pressure is significantly reduced. Until the project completes a carrying capacity study, there is no basis to make the decision on how many families should be moved out of fishing. The project will assist local government in accessing national and/or provincial compensation funds to ensure an orderly and effective transfer of families to alternative livelihoods. 8.2 Land Tenure: Next steps are those for 5.2 above in the event that land tenure issues become 'likely'. D. Sign Off Project Manager Date PAC Date Programme Manager Date


ANNEX 9: Letter of Agreement for UNDP Direct Project Service

PIMS 4868 PRODOC China Anhui 20131126-Anhui+UNDP-final

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