Proposal for GEF Funding s1

Proposal for GEF Funding

National Capacity Needs Self-Assessment for Global Environmental Management

Country name: China

Project Title: National Capacity Self-Assessment for Global Environmental Management

GEF Implementing Agency: UNDP

GEF Operational Focal Point: Wang Bing

National Executing Agency: Ministry of Finance

Country Eligibility:

Convention participation

Convention Date of Ratification / National Focal Point Accession UNCBD 5 January 1993 Zhang Shigang (Department of International Cooperation, State Environmental Protection Administration) UNFCCC 5 January 1993 Gao Feng (Department of Treaty and Law, Ministry of Foreign Affairs) UNCCD 18 February 1997 Liu Tuo (National Bureau to Combat Desertification, State Forestry Administration) Other global environmental conventions Biosafety 8 August 2000 SEPA

GEF Financing: US$ 200,000

Parallel funding: € 200,000 (EU) = US$ 216,315 (31 Jan 2003 rate)

Government Contribution: US$17,000

Estimated Total Budget: US$ 200,000

Estimated Starting Date: April 2003

Duration: 12 months

1 1. Background, Context and Related Work

1. The Chinese Government is proposing this project to assess the current level of capacity and to define capacity building needs in regards to the implementation of the three global environmental conventions. Thematic profiles will be prepared for all the three thematic areas in question: biodiversity, climate change and land degradation. Capacity building needs in the area of climate change will focus on the needs as specified in the global climate change negotiations, and provide inputs as defined in the process. In the area of land degradation, there will be close cooperation with ADB, which has taken lead in this area. In-depth analysis of biological diversity in China will be carried out, benefiting from close cooperation with the EU in this field.

1.1 The Institutional Setting and Key National Policies for Activities Related to Global Environmental Management and the Global Environmental Conventions

 The State Development and Planning Committee (SDPC) takes the lead in preparing and implementing national development plans and strategies, often within the framework of an inter-ministerial Committee. The Ministry of Finance (MOF) plays a key role in planning the allocation of budgets, including most loans from the international donor community. MOF is also the GEF Operational Focal Point.  The State Environmental Protection Administration (SEPA) has the overall responsibility for environmental protection, including biodiversity. SEPA takes the lead in integrating environment into national development plans, and in drafting most national plans with a focus on the environment. With regards to biodiversity, SEPA has responsibilities for establishing priorities, for coordinating activities, for education, for awareness raising, for policy development, for monitoring and inspection and for information management. The National GEF Secretariat is hosted by SEPA.  The State Forestry Administration (SFA) has a mandate to formulate policies and legislation in relation to eco-environment development, forest resources conservation and reforestation; design and implement medium and long-term forestry development strategies; oversees conservation and sustainable use of terrestrial wild animals and plants; directs the development of nature reserve system for forests and wildlife; coordinates activities to protect wetland; coordinates and supervises activities in the prevention and control of soil erosion and desertification including, but not limited to, biological measures such as afforestation and grass planting; coordinates implementation of United Nations Convention to Combat Desertification and other international agreements such as Ramsar Convention and Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES); coordinates and directs activities to prevent and control of forest fires, etc. In accordance with Law on the Prevention and Control of Desertification of the People’s Republic of China, SFA is responsible for organizing, coordinating and supervising the prevention and control of desertification; leads other competent administrative authorities to monitor, record and analyze the status of desertification of national land areas and publish periodically the results of monitoring. The guiding principles of the Tenth Five-Year Plan (2001-2005) are: (1) Making development the central theme, (2) Concentrating on economic restructuring, (3) Making reform, opening up and scientific and technological progress the driving force, (4) Making improvement of the people's living standards the basic starting point, and (5) Coordinating economic development with social development. In the area of

2 environment, there are five major tasks of environmental protection: (1) To strengthen industrial pollution control, (2) To make great effort to improve urban environmental quality, (3) To hold back the trend of ecological environment worsening, (4) To strengthen rural ecological environmental protection, and (5) To take an active part in global environmental protection.  State Tenth Five-Year Plan for Environmental Protection (2001) The plan sets up objectives for environmental protection in the tenth five-year period and lays down the basis to formulating concrete implementation plans by different regions and departments. Major components of the plan include major tasks, enabling measures for implementation of the plan and key projects and budget. To develop capacity so as to improve the modernization of environment management is considered as on of the enabling measures to achieve the overall objectives of the plan. This enabling measure is schemed to establish and improve national environmental monitoring network, quicken the capacity building of law enforcement, improve national environment information communication system through satellites, strengthen basic capacity building in environmental science and technology and increase the capacity building in environment education and awareness. A total of RMB 10 billion of investment is needed during the tenth five-year period for basic capacity building in areas of environment monitoring, ecological status and biodiversity inventory, zoning of ecological services, environmental planning for watershed and regions, information, awareness and education, law enforcement, research in science and technology, etc.  National Guideline on Ecological Environmental Protection (2000). In order to implement the strategy of sustainable development and national policy on environmental protection, and to consolidate achievements in ecological rehabilitation and eventually obtain the glorious goal of beautiful mountains and rivers in China, the government formulated the national Guideline on Ecological Environmental Protection. Guidelines and basic principles are set up based of an analysis of current situation of eco- environmental protection in China. Short-term target up to the year 2010 aims at a substantial control of the trend of eco-environmental destruction, while the long-term targets aiming at an overall control of the destruction trend. Major contents and requirements of national eco-environmental protection are outlined with regard to key areas of ecological services, areas with better ecological conditions and key resources exploitation. Proposed counter measures for the country-wide ecological environment protection include strengthened leadership and coordination and decision-making process, improved legal and institutional capacity and increased public awareness.

Biodiversity  National Coordinating Group for CBD Implementation was established in 1993. The Group’s membership was significantly expanded in 1996. The Group oversaw the preparation of the NBAP, the National Report to the CBD, and is responsible for preparations for CBD meetings. Members of National Coordination Group for CBD Implementation include Ministry of Foreign Affairs, State Development Planning Commission (SDPC), the Ministry of Science and Technology (MOST), the Ministry of Finance (MOF), the Ministry of Construction, Ministry of Agriculture (MOA), State Forestry Administration (SFA), State Environmental Protection Administration (SEPA), General Administration of Customs, Chinese Academy of Sciences, State Intellectual Property Office, State Oceanic Administration, State Administration of Traditional

3 Chinese Medicine, Ministry of Education, Ministry of Public Security, State Administration of Radio, Film and Television, State Administration of Industry and Commerce, Xinhua News Agency, People's Daily and Guangming Daily.  With regards to biodiversity, SEPA as the Secretariat for CBD has responsibilities for setting priorities, for coordinating activities, for education, for awareness raising, for policy development, for monitoring and inspection and for information management. However, the line ministries also set their own priorities, and there is no clear central coordination of the national priorities when it comes to sustainable use and protection of biodiversity. On the ground, in addition to SEPA, many biodiversity-related activities are implemented by ‘production’ agencies, notably the State Forestry Administration, the Ministry of Agriculture, the State Ocean Administration, and the Chinese Academy of Sciences.

Climate Change  China has established an inter-ministerial working group to coordinate national activities relating to climate change. This group, called the National Coordination Committee on Climate Change Policy (NCCCCP), has 14 members and is charged with overseeing all activities related to climate change in China. Its members include ministerial officials from the following organizations: the Ministry of Foreign Affairs, the State Development Planning Commission (SDPC), the State Economic and Trade Committee (SETC), the Ministry of Science and Technology (MOST), the China Meteorological Administration (CMA), the State Environment Protection Administration (SEPA), the Ministry of Finance, the Ministry of Construction, the Ministry of Transportation, the Ministry of Water Resources, the Ministry of Agriculture, the State Forestry Administration, the Chinese Academy of Sciences (CAS), and the State Oceanic Administration. This Committee coordinates climate change policies and manages domestic implementation of the UNFCCC at the ministerial level. The Committee is chaired by the SDPC, which is responsible for coordinating the Committee's activities.  An executive office has been established since 1998 as the secretariat of the NCCCCP and staffed by SDPC. This office is responsible for initiating draft climate policies, coordinating climate negotiations, and organizing domestic activities for implementation of UNFCCC and Kyoto Protocol.

Desertification  In 1994, the Chinese Government set up China National Committee for the Implementation of the UN Convention to Combat Desertification (CCICCD), also known as CCICCD China Executing Committee. Chaired by State Forestry Administration (SFA), the Committee's membership was amended in 1998 and 2001, now consisting of 18 relevant departments, including the Ministry of Foreign Affairs, the State Development Planning Commission (SDPC), the State Economic and Trade Committee (SETC), the Ministry of Science and Technology (MOST), the Ministry of Finance (MOF), the Ministry of Land Resources (MLR), the Ministry of Railway, the Ministry of Transportation, the Ministry of Water Resources, the Ministry of Agriculture, the People's Bank of China, State Administration of Taxation, State Environmental Protection Administration (SEPA), the Chinese Academy of Sciences, Office of the Leading Group for Poverty Alleviation and Development under the State Council, State Integrated Agricultural Development Bureau and China Meteorological Administration.

4  To promote national capacity building, the China National Desertification Monitoring Center, the China National Training Center for Combating Desertification, and the China National Research and Development Center for Combating Desertification were set up in 1995.

1.2 The status of previous related activities

Biodiversity  National Biodiversity Action Plan (UNDP-GEF) was approved by the State Council in 1994. It included a preliminary assessment of the current situation with regard to biodiversity and its preservation in China. It set forth goals and priority protection plans for China's biodiversity conservation, and recommended general measures to be taken. Ecosystems and species that should be given conservation priority were listed and 18 key projects for its implementation were suggested. The approach in the NBAP was rather scientific. It is felt that the document needs to be updated so that it would provide better guidance for the implementation of the CBD. The first National Report to the CBD was submitted in 1997.  Biodiversity National Report (UNEP) was conducted from 1997-98. The aim of the project was to assist China in the preparation of the first national report to CBD. China's National Report on Implementation of the Convention on Biological Diversity was submitted in 1998.  China's Biodiversity: A Country Study (SEPA 1998): The purpose of the study was to conduct detailed collection of data related to biodiversity and its status, as well as socio- economic information. It assessed measures adopted and identified their impacts. Policy suggestions for strengthening conservation and sustainable utilization of biodiversity were given. The study attempted to estimate the biodiversity value of China, to evaluate funds paid for the conservation, and to assess total additional inputs required to fulfill the CBD.  National Environment Protection Action Plan (1991-2000). Under the requirement of IDA, NEPA and SDPC developed NEAP as a supplement to National Report on Environment and Development submitted to the UNCED in 1992. It sets forth environment objectives for 2000 in industry, municipal environment, forest, grassland, soil, water and wildlife conservation, etc., and policy and measures to achieve these objectives. It identifies environmental issues, key areas and priority projects, overall financial needs and sources of support, as well as areas for international cooperation.  A Biodiversity Review of China (WWF 1996): The review examined the state of biodiversity and the design and extent of the existing and proposed system of protected areas in China.  Biodiversity Data Management (UNEP). China was one of the 10 countries in this global programme, which was implemented in 1994. The overall objective of the BDMP was to enhance the capacity of developing countries in data and biodiversity information management to support the implementation of the CBD.  Biodiversity Country Studies - Phase I. China was one of the 17 countries in the global BCS, the primary objective of which was to gather and analyze the data required to drive forward the process of developing national strategies, plans, or programmes for the conservation and sustainable use of biological diversity and to integrate these activiti4es

5 with other relevant sectoral or cross-sectoral plans, programmes, or policies. The programme was implemented in 1992.

Climate Change  China: Issues and Options in GHG Emissions Control (UNDP-GEF). This UNDP-GEF supported TA project executed by the World Bank was implemented between 1992 and 1995. The project analyzed factors affecting GHG emissions and options for reduction in China, carried out cost analysis for GHG emission reduction and put forward recommendations to implement the reduction strategies.  China Climate Change Country Study (U.S. Department of Energy), 1994-96. This study was supported by State Science and Technology Commission and U.S. Department of Energy. The project was the first comprehensive and systematic study to Chinese experts on key issues and strategies in relation to climate change .The project features the development of an initial menu of greenhouse gas emissions, an analysis of the patterns and future trend of climate change in modern China. It sketches the potential impacts of climate change in China and suggests strategies to cope with them. The project also evaluates the technologies to abate GHGs and provides a future outlook of China's GHG emissions.  Asian Least-Cost GHG Abatement Strategy, ALGAS (UNDP-GEF). The project was carried out during 1995-1998 under a regional TA executed by ADB. China was one of the 12 countries under this project. The objectives of the project were to develop national and regional capacity for preparing GHG inventories, help to identify abatement options and to prepare a portfolio of GHG abatement projects.

Desertification  The National Action Plan to Combat Desertification 1991-2000 (CCD-NAP) has been formulated and implemented. A new CCD-NAP, which covers the period of 2001-2050, is now under preparation.  Capacity Building for the Implementation of the UN Convention to Combat Desertification (UNDP) 1997-99. The project assisted The Chinese Government in increasing its capacity in implementing the UNCCD, which aims at promoting sustainable development in dryland areas. The project strengthened the management capacity of the National Bureau to Combat Desertification, the Research and Development Center to Combat Desertification and the National Training Center to Combat Desertification - three national level institutions with central roles in China's anti-desertification programme. Three regional research stations and extension services as well as farmers at grassroots level were supported through training programmes.  On August 31 of 2001, the Standing Committee of the National People’s Congress adopted Law on the Prevention and Control of Desertification of the People’s Republic of China, which came into effect on January 1 of 2002. The Law provides the legal basis for the prevention and control of desertification in China.

Other Activities  China started its preparations for the WSSD in early 2001. The National Preparatory Committee was approved by the State Council in June 2001. SDPC has been designated as the coordinating body to prepare the synthesis of the National Report for WSSD based

6 on sectoral inputs to be provided by relevant ministries participating in the working group, which was established under the Preparatory Committee. The national assessment report was formally submitted to WSSD after approval by the State Council. As the first government in the world to have approved a national Agenda 21 programme, China has consistently demonstrated a high level of political commitment to sustainable development. "China’s Agenda 21 – White Paper on China’s Population, Environment, and Development in the 21st Century” was published in 1994. China Agenda 21 consists of 20 chapters and 78 programme areas. These can be categorized into following four parts: (1) comprehensive strategy and policy of sustainable development; (2) sustainable social development; (3) sustainable economic development; and (4) rational utilization of resources and environmental protection. China’s Agenda 21 was adopted at the 16th Executive Meeting of the State Council. As a White Paper, it sets policy guidelines for medium and long-term development plans, and was an important input to China’s 9th Five Year Plan (1996-2000). Under the leadership of the State Planning Committee and the State Science and Technology Commission, an Administrative Center for China’s Agenda 21 (ACCA21) was established to carry out the day-to-day management of China’s Agenda 21 implementation in 1994.  China: Air, Land and Water - Environmental Priorities for a New Millennium (World Bank) 2001. Extensive state of environment report with analysis of environmental management in China as well as a mapping of the challenges and WB's environmental strategy option for the New Millennium.  China Human Development Report 2002: Making Green Development a Choice (UNDP). The CHDR focuses on describing the state of environment, various development pressures affecting it, the crucial role of natural resources in the process of sustainable development, and sketches alternative response options both by the government and NGOs. The report was published in July 2002.  National Natural Forest Conservation Programme. The National Natural Forest Conservation Programme (NFCP), the biggest intervention of its kind, was launched in 1998 by the Chinese Government. It aims at shifting the focus of management of the natural forests from timber orientation to forest conservation, sustainable natural resources management and environmental protection. The NFCP covers 18 provinces and affects more than 5 million people in the forest areas. UNDP is supporting the implementation of the NFCP through a 4-year support programme.  China Biosafety Framework (UNEP-GEF) project was undertaken between 1997 and 1999 by eight ministries and agencies under the leadership of SEPA. This project set up policy and legal system frameworks in biosafety management and framework guidelines for risk assessment and management of living modified organisms and its products. The project also produced a framework of national capacity building, which sets forth national strategic goals and identifies priority areas and priority actions. Institutional arrangements were also proposed. As a follow-up, regulations on import and export of living modified organism and its products and China biosafety management regulations are under preparation.

7 2. Objectives, and Linkages to Ongoing Activities

2.1 Objectives

1. To identify, confirm and review priority issues for action within the thematic areas of biodiversity, climate change and desertification/land degradation, respectively.  Increased understanding of the institutional set-up and capacity for global environmental management as well as ability to identify gaps and weaknesses in it.  Increased understanding of the current skills and knowledge - and the needs to upgrade them - in regards to global environment management.

2. To assess related capacity needs within and across the three thematic areas.  Better understanding of the extent and inter-linkages between various capacity building activities undertaken and ability to plan additional activities on the work already done.  Improved understanding of the capacity needed for sustainable use and protection of natural resources.

3. To catalyze targeted and coordinated action and requests for future external funding and assistance.  Increased coordination among key stakeholders for the implementation of the global environmental conventions.  Strengthened coordination mechanisms to define priorities and designate institutions to achieve the set targets.  Improved communication between various government institutions and sectors in society (central and local government, civil society, private sector) on issues related to biodiversity, climate change and land degradation.  Enhanced ability to determine the needs and extent of external assistance, and ability to coordinate among the donors.

2.2 Linkages to Ongoing Activities

Biodiversity  One of the main focus areas for EU - China Environmental Cooperation in 2002-2006 will be biodiversity conservation. EU will be working in parallel with the proposed NCSA project by bringing in European expertise on biodiversity to assist the Chinese experts and facilitate the in-depth assessment. EU partners will be consulted at all stages and they will be involved in all main activities. Joint cooperation between EU and this project will aim at drafting a programme framework with comprehensive capacity building strategies for biodiversity conservation in China for the next 8-10 years.

 Currently, there are 3 UNDP-GEF supported biodiversity projects under implementation and preparation. Wherever there is scope for collaboration, the proposed project will benefit from and provide inputs for the activities under these projects: . Wetland Biodiversity Conservation and Sustainable Use in China (1999-2004) The project aims at removing barriers to effective conservation of global wetland biodiversity at four pilot sites. It will also ensure that lessons learned from the project

8 will be appropriately transferred to other wetlands in China. The project will work with local communities to develop improved, sustainable livelihoods and alleviate poverty in and around the wetland areas. . Multi-agency and Local Participatory Cooperation in Biodiversity Conservation in Yunnan Uplands Ecosystems (2001-2004). The project will advance village and inter- village governance to mobilize greater resources for national reforms and to increase the awareness of biodiversity conservation among the local ethnic nationalities. It will develop and test replicable models of community-based natural resource management on a watershed. Reserve management approaches will ensure that ecosystem integrity and preservation of biodiversity are developed. . Biodiversity Management in the Coastal Area of China’s South Sea (2003-2010) The project will ensure the long-term conservation and sustainable use of marine biodiversity in China’s South Sea coastal area through an innovative mechanism of demonstrations and cross-learning among four sites within five coastal provinces. The project will engage the participation and cooperation of, and effective management by, all relevant governments, private sector, local community and NGO stakeholders for project’s success. It is now at the stage of project document preparation.  UNEP completed a project on the Preparation of China's Second National Report on Implementation of the Convention on Biological Diversity in September 2001. Capacity Building of Clearing House Mechanism related to National Report took place in early 2002. e first half of 2003, this statement and any similar ones should be updated.) The projects aim at improving the national biodiversity information network; establishing, transforming, and updating biodiversity databases; and supporting the policy framework for biodiversity information sharing. Opportunities for collaboration will be explored. Whereas the UNEP project will focus on improving the existing databases and exchange of information, UNDP through NCSA proposal aims at supporting the institutional framework.

 Nature Reserves Management (WB). In accordance with China's NEAP and BAP priorities, this project prepared and implemented management plans in five priority protected areas, trained staff, provided funding for physical investments, and worked with communities adjacent to and within PA boundaries to create incentives for sustainable resource use. The project was implemented between 1995-2002. The project benefited from the lessons learned and recommendation for sustainable protected area management. The experiences and results from this project to be used in the NCSA will be explored.

 Man and Biosphere (UNESCO). MAB has done extensive work in promoting and demonstrating a balanced relationship between people and nature. The experiences from the biosphere reserves in China can be used as a valuable source of information for the NCSA. The recent Study on Sustainable Management Policy for China's Nature Reserves provides good guidance for sustainable use and management of protected areas in China. As UNESCO's activities are all related to education and awareness raising, there are many entry points for close collaboration in the field of capacity building.

Climate Change  There are 3 climate change related projects supported by UNDP and GEF that are either under preparation or implementation. Linkages with these initiatives and the proposed project will be explored and utilized.

9  Enabling China to Prepare Its Initial National Communication (UNDP-GEF), 2001- 2003. The project supports China in fulfilling its commitments under the UNFCCC to prepare its Initial National Communications, which will consists of: (i) a national inventory of emissions and sinks of greenhouse gases, (ii) a general description of steps taken or envisaged by China to implement the Convention, and (iii) any other information China considers relevant and suitable for inclusion in its Communication. In addition, the project will enable China to strengthen and expand its activities for increasing public and political awareness and action related to climate change. The project serves to strengthen climate change related capacity in China that will prove beneficial beyond submission of the Initial National Communication. The greatest emphasis of the project will be in the area of building capacity, collecting data, and conducting analysis for the national inventory to be included in the National Communication. Future national communications from China will benefit from the improved methodologies developed during the inventory work for this first communication. Sectors to be covered in the inventory work will include: (1) energy, (2) industrial processes, (3) agriculture, (4) forestry, and (5) municipal waste.  Targeted Research Related to Climate Change (UNDP) 2001-2003. The project aims at strengthening capacity in China for the preparation of national GHG inventories. Capacity development through targeted research will enable China to prepare high quality National Communications to the UNFCCC in the future and provide the information needed for climate change related policy formulation. The project will focus on three areas determined to present special difficulties in GHG estimation: (1) road transport, (2) land use change and forestry, and (3) agriculture. The activities include GHG emissions measurement and data collection, modeling, and estimation of activity levels and emission factors, as well as international training and workshops.  China End-use Energy Efficiency Programme. The project brief of this UNDP-GEF project was approved by the GEF in October 2002 and the project document preparation is currently underway. The project aims to develop a long-term programme framework on energy efficiency for China. The project aims to remove policy/regulatory, information, and financing and technical barriers to energy efficiency in the main energy end-use sectors in China.

 Capacity Building for the Rapid Commercialization of Renewable Energy (UNDP), 1999- 2003. The project will promote widespread adoption of renewable energy technologies (RETs) in China by removing a range of barriers to increased market penetration of the technologies. It will strengthen the capacity of China to shift from supply-oriented technology deployment to demand-driven, investor- and consumer-friendly approaches. The project will support pilot activities for five promising technologies, namely: (i) rural electrification by solar and wind hybrids; (ii) wind farm development; (iii) biogas production; (iv) bagasse co-generation; and (v) solar-water heaters. The project also supports the establishment of the Chinese Renewable Energy Industries Associations (CREIA), which contributes to raise the capacity of Renewable Energy Industries in China.  Promotion of Renewable Energy, Energy Efficiency and GHG Abatement, PREGA (ADB), 2001-2003. The regional three-year PREGA project, co-financed by the Netherlands and ADB promotes investments in technologies that will increase the poors’ access to energy services as well as help to reduce greenhouse gas emissions. Findings from this project could be used for the purposes of NCSA.

10 Desertification  ADB is developing a programme framework on PRC/GEF Partnership on Land Degradation in Dryland Ecosystems. It has taken the lead to address the challenges imposed by land degradation - worsened by the current development trend - and plans to cover many of the activities that could be covered by the NCSA in the area of desertification. The proposal falls under OP12 on Integrated Landscape Management. The proposed PDF-B grant and technical assistance to the PRC-GEF partnership on land degradation in dryland ecosystems will support the following activities: (i) based on an assessment of the mandates, roles, responsibilities, and programs of MOA, MOF, MWR, SEPA, SFA, and SDPC, formulate recommendations for, among others, institutional strengthening and capacity building; (ii) identify priority packages of investments and technical assistance as a sequenced program of interventions to be supported by the PRC/GEF Partnership. The packages will encompass investments, technical assistance and capacity building. Under this proposal, various capacity assessment and building activities are planned, especially targeted at the western PRC, where the desertification problem is concentrated. There will be close consultation between UNDP and ADB on the planned capacity building activities and areas of collaboration. In addition, the World Bank is proposing for GEF's support "Gansu and Xianjiang Pastoral Development Project", which would complement the ADB project. While the ADB PRC-GEF partnership is a large, multi-source, multi-sectoral programme with considerable effort toward strengthening of existing policies, regulations and institutional structures, the WB-GEF project proposed is smaller, more targeted at developing more sustainable approaches to grassland management in alpine ecosystems.

 Land Reclamation and Consolidation for Sustainable Land Use in China (UNDP) 2001- 2005. The project aims to provide assistance to the Government to enhance the land consolidation and reclamation process in China. It assist the Land Consolidation and Reclamation Center of Ministry of Land Resources to develop a consistent policy framework that includes the introduction of environmental management standards, protection of land use rights, gender equity and community participation principles. Planning, implementation, monitoring and evaluation capacity will be strengthened and a range of consolidation and reclamation models will be developed and tested in pilot areas. An integrated information system will be established to provide the community managers and decision-makers with access to relevant information.

 ADB-UNEP-ESCAP Medium Sized regional dust storms project. The project aims to combat dust storms and sandstorms, which can impact the health of people and have enormous economic costs in Northeast Asia. It will entail setting up a regional institutional framework to strengthen policy and operational coordination involving China, Japan, South Korea and Mongolia.

11 3. Project Activities

3.1.) National NCSA Planning Workshop A national NCSA Planning Workshop will be held to carefully plan the process and to ensure wide participation in the process by all the relevant stakeholders. A Participation Analysis will be carried out by the International Expert to determine the relevant stakeholders of the project who will be invited to participate in the NCSA Planning Workshop. A project planning exercise will be carried out to define the project goal, purpose, outputs and activities. The International Expert, National Project Coordinator, UNDP and EU will facilitate the workshop. The project work plan will be finalized based on the results from the workshop. The International Expert will prepare the agenda for the workshop.

In case other organizations are already involved in similar activities in the three thematic areas, clear distribution of labor and cooperation arrangements will be agreed upon.

EU mission’s work plan will be finalized based on the results from the workshop.

3.2.) Preparation of the Three Thematic Profiles A capacity self-assessment will be carried out in the three thematic areas (biodiversity, climate change, desertification). Local sub-contractors will be recruited to conduct the self-assessments. International Expert and National Project Coordinator will facilitate the preparation of TORs and the identification and hiring of the sub-contractors. International Expert and National Project Coordinator will develop streamlined process and methodologies for conducting NCSA on the basis of GEF guidelines and experiences from other organizations. They will also develop criteria for both capacity evaluation and capacity needs assessment on the basis of requirements of CBD, UNFCCC, UNCCD as well as national strategies and policies for sustainable development.

A broad overview of the capacity status in each thematic area will be undertaken by the sub- contractors. The self-assessment exercise will consist of the conduct of questionnaire surveys, interviews, workshops, brainstorming, discussions and analysis. Sub-contractors will review previous and current multilateral and bilateral activities and explore their linkages related to capacity building in China in the fields specified in the decisions of the Conference of the Parties and their subsidiary bodies to conventions. Current status of national capacity in the above specified fields will be evaluated with focuses on institutional and systemic capacity based on information from the above review and interviews, meetings with relevant stakeholders including governmental authorities, enterprises, research institutions, NGOs, and media representatives.

Other work to be undertaken by the sub-contractors includes identification of gaps between current and required capacity for implementing CBD, UNFCCC and UNCCD, prioritization of national capacity building needs, identification of obstacles and bottlenecks of capacity, recommendation of priorities, strategies and measures of capacity building activities in China for implementation of conventions.

The sub-contractors will facilitate the process and record all findings in the form of a thematic report. the International Expert and the National Project Coordinator will set standards for quality of the outputs.

12 Climate Change The assessment related to climate change will make specific references to capacity needs as defined in the Capacity Building Framework in Developing Countries adopted in the COP6 of UNFCCC and Decision 2 of COP 7, which deals with Capacity Building Framework. Specific attention should be paid to Enabling China to Prepare Its Initial National Communication and cooperation be explored with respect to information sharing, exchange of experience, complementarities, etc. Biodiversity EU has initiated a mission parallel to NCSA assessment. The primary objective of the appraisal mission is to provide assistance to the Chinese government in its efforts to develop an innovative and comprehensive programmatic approach for a biodiversity program for China. Detailed work plan will be finalized for EU Expert Mission input in thematic profile, stocktaking, gap identification and in-depth assessment on biodiversity conservation. Linkages to on-going projects will be explored.The thematic profile on biodiversity will provide an initial analysis to determine the issues for the in-depth assessment.

Desertification ADB is preparing a programme framework on PRC/GEF Partnership on Land Degradation in Dryland Ecosystems. Under this proposal, various capacity assessment and building activities are planned, especially targeted at the western PRC, where the desertification problem is concentrated. There will be close consultation between UNDP and ADB on the planned capacity building activities and areas of collaboration.

The National Project Coordinator and UNDP will facilitate several meetings and discussions in the process of assessments attended by sub-contractors, convention focal points, domestic experts, EU expert team as appropriate for stock-taking, gap identification and prioritization. At the end of the assessments, the sub-contractors will present results at a workshop involving all sub-contractors and the Coordination Committee. The results (of the workshop?) will be in the form of a draft plan for capacity building in each priority area. For the in-depth assessment of the capacity needs in biodiversity conservation to be carried out later, the sub-contractor who will prepare the thematic profile on biodiversity will also prepare the TOR for the implementation of the in-depth assessment jointly with the EU biodiversity experts.

This activity is expected to take 5 months.

Output: Three thematic profiles elaborating capacity status, capacity weakness and constraints, strategic areas, priority needs, strategies and action plans for capacity building in China

3.3.) Stakeholder Consultation, Stock-taking & Gap Identification Based on the report from Activity ii, a workshop will be held to review, confirm and identify the priority areas for capacity building in the three thematic areas. The workshop participants will comment and confirm the results of the thematic profiling exercise, e.g. on the constraints and reasons for such limitations to capacity building, opportunities for capacity building in addressing cross-cutting and integrated issues, etc. For discussing the three thematic profiles, separate consultations will be held. The consultations will provide inputs for developing a roadmap on how to make changes in the decision-making processes and institutions.

13 “Champions” who demonstrate good practices and an ability to make changes in the processes and institutions will be identified. Identification of critical people able to contribute to the necessary changes and reforms is of high importance. The workshop participants will agree on the priority issues. The National Project Coordinator and UNDP will facilitate the consultations. EU Expert Team will facilitate the consultation of thematic area of biodiversity.

Output: Tentative list of priority areas for capacity building and ‘champions’ in each of the three thematic areas. Comments on the three thematic profiles.

3.4.) Identifying Synergies and Cross-Cutting Analyses A comparison of the needs for additional data, skills, policies, instruments and coordination mechanisms across the three thematic areas will be conducted. Opportunities for integrated and synergistic action will be explored. Across the three thematic areas, following areas are to by systematically explored: • awareness and exchange of information; • national policy, legal and regulatory framework; • institutional mandates, co-ordination and processes for interaction and co-operation between all stakeholders; • information management, monitoring and observation; • mobilisation of science in support of decision-making; • financial resources and technology transfer; • incentive systems and market instruments; • negotiation; • co-operation and networking with regions; • institutional management and performance; and • individual skills and motivation.

14 Benefiting from the results from the three thematic profiles and the in-depth assessments, synergies will be identified and cross-cutting issues analyzed. The analysis will benefit from EU Expert Team’s involvement.

This activity is expected to take 2 months.

Output: A report on the synergies and cross-cutting issues.

3.5.) Preparation of a NCSA Document including Elements of a Strategy for Capacity Building within and across the Thematic Areas. Based on the results from all the assessments and reports, a NCSA document presenting a master plan for capacity development covering all three thematic areas will be prepared. Also, a strategy for harmonized approach in addressing the issues in the three thematic areas will be drafted, as well as the mechanism for integrated planning. The document will serve, as an important tool to brief the decisions-makers as well as external funding agencies about specific capacity needs to protect the global environment. The structure of the NCSA document will follow the GEF Secretariat/UNITAR guidelines for NCSA. The three Convention Focal Points will be consulted in evaluating the draft NCSA document as well as finalizing the document. The draft NCSA Document will be posted on the GEF China website (information about this will be provided in the GEF China Newsletter) for review and it will be sent electronically to all the workshop participants. Comments will be taken into account when finalizing the Document.

Output: A NCSA Document that includes a summary of the stocktaking exercise, a description of the stakeholder consultation process, three thematic profiles, an analysis of synergies and cross-cutting issues and comprehensive strategies and Action Plans

15 4. Institutional Framework and Project Implementation

4.1.The Ministry of Finance will be the Executing Agency of this project. China GEF Office in MOF will provide all logistical support to the project and facilitate the work of the National Project Coordinator and International Expert. The Project Management Office will be located in or close to the China GEF Office. Office Director and support staff will be provided by MOF and convention focal points. .

The National Project Coordinator will provide on-going technical support to the project activities, and assist in coordination of project activities. An International Expert will provide on-going advice regarding methodologies of capacity needs assessment, and will be responsible for preparing the NCSA Document. These persons will be identified and recruited in the beginning of the project. The GEF Operational Focal point will act as the National Project Director.

The Coordination Committee consisting of MOF, SDPC, SEPA, SFA and the three Convention Focal Points will be established, responsible for approving project work plans, approving and disseminating major project outputs and integrating this project activities with related nationally- funded activities. Major outputs will be shared for the Committee members’ review and comments. The Project Management Group consisting of China GEF Office, UNDP and the EU will provide support and guidance to the day-to-day management of the project

The Expert Advisory Group (EAG) will provide on-going scientific and technical support to the project. The 3 Convention Focal Points will identify the members of the EAG. The EAG will be consulted throughout the duration of the project, and all project outputs will be shared with the EAG for its comments.

The project will work closely with the EU-funded project aiming at developing a programme framework for biodiversity conservation in China in the next five years. National Project Coordinator and International Expert will interact with the European experts continuously, and explore best way to work together under the NCSA project.

Timetable

Activity Duration Timing Preparation of the implementation arrangements; Establishment 2 months Month 1-2 of Coordination Committee National NCSA Planning Workshop 2 days Month 2 Preparation of the Three Thematic Profiles 5 months Months 3-7 Stakeholder Consultation, Stock-taking & Gap Identification 1-2 days Month 7 Identifying Synergies and Cross-Cutting Analyses 2 months Month 8-9 Preparation of a NCSA Document including Elements of a 3 months Month 10-12 Strategy for Capacity Building within and across the Thematic Areas

16 Budget (US $)

ACTIVITY STOCK- PROCESS: (Assessments, PRODUCT: TOTAL TAKING Consultations, Workshops, etc) Assessment reports/ strategy and action plan Thematic Assessments - Biodiversity Assessment of current capacity, 38,140 baseline survey Thematic Profile (sub-contract) - Climate Change Assessment of current capacity, baseline survey Thematic Profile 44,000 (sub-contract) - Land Assessment of current capacity, Degradation baseline survey Thematic Profile 30,000 (sub-contract) Collaboration with ADB Related mission travels to selected fields (tickets Assessment and survey Thematic Profile 5,000 and DSA etc.) - other (list) National NCSA Planning Final Work plan 5,000 Workshop for the NCSA Stakeholder Consultation, List of priority Stocktaking and Gap areas for three 5,000 Identification Workshop thematic areas Thematic Assessments 127,140 sub-total Analysis of cross- Report on Identification of Synergies and cutting issues and synergies and Cross-cutting analyses (sub- 8,000 synergies cross-cutting contract) issues Strategy and action Included in the plan development salary of Preparation of the NCSA International document including elements of Final NCSA report Team Leader a strategy and National Project Coordinator Various inputs throughout the Coordination and International Team Leader; project 50,860 management National Project Coordinator implementation (TORs attached) NCSA report translation and Report Dissemination 14,000 publication; Total 200,000

17 Annex 1. Guidance for undertaking thematic assessments (These notes are taken from the draft global strategy and action plan for capacity development under GEF projects)

Identifying and Assessing the Key capacity constraints (needs) or bottlenecks for global environmental management

While the stocktaking exercise should identify gaps and potential synergies both within and between the various sectors that need to be filled, the assessment should most importantly focus on the capacity constraints that are preventing a cross-sectoral approach to global environmental management at the country level. Again, there is likely to be a tension between the different actors emphasizing the needs associated with their own sectors, the challenge will be to draw them together to look at the bigger picture of what are the key capacity constraints or bottlenecks that prevent an integrated or holistic approach to global environmental management at the country level. It is also important to look at capacity bottlenecks at all three levels, systemic, institutional, and individual.

Tools for Assessing Capacity Needs Various tools can be used for assessing capacity bottlenecks including logical framework analysis for the development of a problem tree, SWOT analysis, force field analysis, etc. The guiding question should always be “What should be happening so that global environmental management is effectively addressed?” It is also important to look forward to how the global environment should be managed at a national level, and avoid simply asking how the various stakeholders can simply continue doing what they are already doing, but better.

While stakeholders may be unfamiliar with this kind of approach it is critical that it is the stakeholders (or stakeholder institutions) themselves who undertake the analysis, not external experts and consultants. The latter may assist by helping to develop background papers or by providing facilitation and coaching, but undertaking the analysis is a critical part of actually starting the process of capacity development and ensures ownership of the results.

Key questions to be asked are:

i) What should be happening so that the country approaches the challenge of global environmental management in a holistic rather than a fragmented way?

ii) Who (normally an institution or entity) should be doing this? or in the inverse case, the who might be an institution or entity that should stop carrying out particular actions!

iii) Why are they not doing this?

iv) What is needed to enable them to do this?

18 Possible outcomes of this analysis include:

i) what needs to be done is not being done because there is no-one (institution or individual) with the mandate or the ability to do it

ii) what needs to be done is not being done well because those who are doing it don’t have the capacity to do it.

Follow up questions are then: i) what needs to be done to ensure that someone has the mandate and ability to do it? ii) should responsibility for doing it be moved somewhere else? iii) what needs to be done to enhance the ability of those doing it so it is done well?

Guiding questions for assessing capacity needs at systemic, institutional and individual levels are provided below:

Systemic Capacity (the overall country environment)

Policy Framework - is the overall policy environment conducive? Legal and Regulatory Framework - is the appropriate legislation in place and are these laws effectively enforced? (these may be both formal and informal, such as cultural mores) Management Accountability Framework - are institutional responsibilities clearly defined and are responsible institutions held publicly accountable? Economic Framework - do markets function effectively and efficiently? Systems Level Resources - are the required human, financial and information resources available? (these may be in any or all of national and local government, private sector, and civil society – including NGO’s) Processes and Relationships - do the different institutions and processes interact and work together effectively? (including national and local government, private sector, and civil society) Entity / Institutional (the institutions with designated responsibility)

Mission / Strategic Management - do the institutions have clearly defined and understood missions and mandates? Culture / Structure / Competencies - are the institutions effectively structured and managed? Processes - do institutional processes such as planning, quality management, monitoring and evaluation, etc. work effectively? Human Resources - are the human resources adequate, sufficiently skilled, and appropriately deployed? Financial Resources - are financial resources managed effectively and allocated appropriately to enable effective operation?

19 Information Resources - is required information available and effectively distributed and managed? Infrastructure - are material requirements such as buildings, offices, vehicles, computers, etc.. allocated appropriately and managed effectively?

Individual (the individuals whose task it is to do this)

Job requirements and skill levels - are jobs correctly defined and are the required skills available? Training / retraining - is the appropriate learning taking place? Career progression - are individuals able to advance and develop professionally? Accountability / Ethics - is responsibility effectively delegated and are individuals held accountable? Access to Information - is there adequate access to needed information? Personal / professional networking - are individuals in contact and exchanging knowledge with appropriate peers? Performance / conduct - is performance effectively measured? Incentives / security - are these sufficient to promote excellence? Values, integrity and attitudes - are these in place and maintained? Morale and motivation - are these adequately maintained? Work redeployment and job sharing - are there alternatives to the existing arrangements? Inter-relationships and team work - do individuals interact effectively and form functional teams? Interdependencies - are there appropriate levels of interdependence? Communication skills - are these effective?

20 Annex 2. TOR for the Thematic Assessment for Biodiversity

(To be detailed and modified according to the specific needs and finalized with the assistance of the National Project Coordinator, International Expert and the EU Biodiversity Team)

To define the baseline situation in regards to existing capacity, a thematic profile will be drafted in the thematic area of biodiversity. This thematic profile will provide information on the national existing situation in regards to the thematic area of biodiversity, and insight and guidance into where major challenges lie and where opportunities for future capacity building interventions within the thematic area of biodiversity exist. The thematic profile will be prepared to identify existing strengths as well as weaknesses and thus facilitate an effective priority setting process. In the preparation of the thematic profile, GEF/UNITAR guidelines for NCSA will be followed. The assessment will be conducted in close cooperation with the EU and the final TOR will be prepared jointly with the EU biodiversity team.

In order to provide inputs to the final NCSA document and facilitate the selection of the topics for the in-depth assessment, a thematic profile will be drafted describing the overall situation regarding available capacity and capacity shortages in regards to biodiversity conservation in China. A national sub-contractor (3 person team) will be recruited to carry out the assessment and draft the thematic profile. The self-assessment will consist of a set of questionnaires, interviews, workshops, brainstorming, and discussions and self-analysis.

The sub-contractors will facilitate the process and record all findings. Existing assessments will be reviewed and linkages to on-going interventions explored. The International Expert and the National Project Coordinator will set quality standards for the outputs.

OBJECTIVES

 To assess the capacity strength and shortages related to biodiversity management in China;  To prepare a thematic profile which will facilitate the prioritization of areas for GEF support to capacity building.

A national sub-contractor will review all existing documentation related to biodiversity management, capacity building for biodiversity management, capacity building for environmental management in China andprevious and current multilateral and bilateral activities and explore their linkages related to capacity building in China in the fields specified in the decisions of the Conference of the Parties and their subsidiary bodies to conventions. The sub- contractor will review all international documentation related to capacity building and biodiversity, notably that forthcoming from GEF, CBD and OECD.

Next, the sub-contractor will hold a structured interview with officers from concerned national level agencies (all members of the national biodiversity coordination group) responsible for

21 biodiversity management in China. The sub-contractor will also interview officers for provincial level agencies responsible for biodiversity conservation in at least two provinces. Sub- contractors will review current status of national capacity in the above specified fields with focuses on institutional and systemic capacity based on information from the above review and interviews, meetings with relevant stakeholders including governmental authorities, enterprises, research institutions, NGOs, and media representatives. The sub-contractor will interview at least 3 national NGOs and 3 international donor agencies.

At last, information collected will be analyzed through reviewing existing and newly gathered information to identify gaps between current and required capacity for implementing CBD, to prioritize national capacity building needs, to identification of obstacles and bottlenecks of capacity and to make recommendation of priorities, strategies and measures of capacity building activities in China for implementation of conventions.

OUTPUT

Based on the desk reviews, interviews and consultations, the sub-contractor will prepare a thematic profile describing the capacity situation. The report, in both Chinese and English, should be kept short (under 30 pages with size 11 font). The report should includes sections on the capacity situation related to each of the following issues (based on GEF / UNITAR guidelines for NCSA, page 21):

 What are the relevant legal instruments, policies and / or non-regulatory mechanisms?  What are the responsibilities and relevant activities of ministries, agencies and other governmental institutions? Are there activities well coordinated and complementary?  What are the respective roles and contribution of industry, public interest groups and bodies in the research sector? Which organizations have major interest and programmes in the relevant subject area?  What relevant information and databases exist, where are they located and who has access to them? Are all relevant data needs well addressed? What are the major gaps?  Which relevant projects have been implemented and what are the impacts of these projects, as well as lessons learned?  What kinds of capacity development projects and activities have been undertaken? What were the short-term and long-term impacts of those projects and activities?  What relevant technical capacity exists and is this infrastructure available and sufficient to address the objectives of the respective area?  What is the level of awareness and understanding within government and the public concerning the thematic area?  What human resources are available, and through which organisations, to work on the respective thematic area?  What training and human resource programmes exist and what do they offer?  What financial resources might be available at the national level for action plans concerning the thematic area?  Has there been any monitoring and evaluation of capacity development projects and activities during or after their execution? How has the country measured their success or effectiveness?

22  Do individuals have an incentive to acquire new skills and technical capacity related to the thematic area? Do they have sufficient opportunity to do so?  Are individuals in contact and exchanging knowledge and experiences with appropriate peers? Are their barriers to communication within and across relevant institutions focused on the thematic area?  Does any untapped capacity exist or is there capacity that could be redeployed to better effect? Is there capacity in danger of being lost?  Are capacity development efforts sufficiently linked to existing or future legal, regulatory, or institutional requirements and responsibilities? Has capacity built in the past proved to be sustainable over the medium-and long-term?  What are the gaps between current and required capacity for implementing CBD?  What are the priorities of national capacity building needs?  What are the obstacles and bottlenecks of capacity in biodiversity conservation in China?  What are priorities, strategies and measures of capacity building activities in China for implementation of conventions?

QUALIFICATIONS

Understanding of ‘capacity building’ in an international context; Demonstrated ability to undertake broad analytical assessments; Excellent writing skills, and English language skills. Knowledge of GEF and Biodiversity would be an asset.

23 Annex 3. TOR for the Thematic Assessment for Climate Change

(to be detailed and modified according to the specific needs and finalized with the assistance of the National Project Coordinator and International Expert)

To define the baseline situation in regards to existing capacity in the area of climate change, a thematic profile will be drafted. This thematic profile will provide information on the existing situation in the country in regards to this thematic area, and insight and guidance into where major challenges lie and where opportunities for future capacity building interventions within the thematic area of climate change exist. The thematic profile is prepared to identify existing strengths as well as weaknesses and thus facilitate an effective priority setting process. In the preparation of the thematic profile, GEF/UNITAR guidelines for NCSA will be followed.

A national sub-contractor (5 person team) will be recruited to carry out the assessment and draft the thematic profile. The self-assessment exercise will consist of the conduct of questionnaire surveys, interviews, workshops, brainstorming, and discussions and self-analysis. The sub- contractors will facilitate the process and record all findings. Related assessments that were carried out recently and in the past will be reviewed and linkages to on-going interventions explored. The International Expert and the National Project Coordinator will set quality standards for the outputs.

OBJECTIVES

 To assess the capacity strength and deficiencies related to climate change in China;  To prepare a thematic profile which will facilitate the prioritization of areas for GEF support on capacity building.

A national sub-contractor will review all existing documentation related to climate change, capacity building for its management, capacity building for environmental management in China and previous and current multilateral and bilateral activities and explore their linkages related to capacity building in China in the fields specified in the decisions of the Conference of the Parties and their subsidiary bodies to conventions.. The sub-contractor will review all international documentation related to capacity building and climate change, notably that forthcoming from UNFCCC, GEF, and OECD.

Next, the sub-contractor will hold a structured interview with officers from concerned national level agencies (all members of the national climate change coordination group) in China. Sub- contractors will review current status of national capacity in the above specified fields with focuses on institutional and systemic capacity based on information from the above review and interviews, meetings with relevant stakeholders including governmental authorities, enterprises, research institutions, NGOs, and media representatives. He/She will also interview officers from competent provincial level agencies in at least two provinces. He/She will interview at least 3 national NGOs and 3 international donor agencies.

Lastly, information collected will be analyzed through reviewing existing and newly gathered information to identify gaps between current and required capacity for implementing CBD, to

24 prioritize national capacity building needs, to identification of obstacles and bottlenecks of capacity and to make recommendation of priorities, strategies and measures of capacity building activities in China for implementation of conventions.

OUTPUT

Based on the questionnaire surveys, desk reviews, interviews and consultations, the sub- contractor will prepare a thematic profile describing the capacity situation. The report, in both Chinese and English, will be concise (under 30 pages with size 11 font). The report will include sections on the capacity situation related to each of the following issues (based on GEF / UNITAR guidelines for NCSA, page 21):

 What are the relevant legal instruments, policies and / or non-regulatory mechanisms?  What are the responsibilities and relevant activities of ministries, agencies and other governmental institutions? Are there activities well coordinated and complementary?  What are the respective roles and contribution of industry, public interest groups and bodies in the research sector? Which organizations have major interest and programmes in the relevant subject area?  What relevant information and databases exist, where are they located and who has access to them? Are all relevant data needs well addressed? What are the major gaps?  Which relevant projects have been implemented and what are the impacts of these projects, as well as lessons learned?  What kinds of capacity development projects and activities have been undertaken? What were the short-term and long-term impacts of those projects and activities?  What relevant technical capacity exists and is this infrastructure available and sufficient to address the objectives of the respective area?  What is the level of awareness and understanding within government and the public concerning the thematic area?  What human resources are available, and through which organisations, to work on the respective thematic area?  What training and human resource programmes exist and what do they offer?  What financial resources might be available at the national level for action plans concerning the thematic area?  Has there been any monitoring and evaluation of capacity development projects and activities during or after their execution? How has the country measured their success or effectiveness?  Do individuals have an incentive to acquire new skills and technical capacity related to the thematic area? Do they have sufficient opportunity to do so?  Are individuals in contact and exchanging knowledge and experiences with appropriate peers? Are their barriers to communication within and across relevant institutions focused on the thematic area?  Does any untapped capacity exist or is there capacity that could be redeployed to better effect? Is there capacity in danger of being lost? Are capacity development efforts sufficiently linked to existing or future legal, regulatory, or institutional requirements and responsibilities? Has capacity built in the past proved to be sustainable over the medium-and long-term?

25  What are the gaps between current and required capacity for implementing UNFCCC?  What are the priorities of national capacity building needs?  What are the obstacles and bottlenecks of capacity to implement UNFCCC in China?  What are priorities, strategies and measures of capacity building activities in China for implementation of conventions?

QUALIFICATIONS

Understanding of ‘capacity building’ in an international context; Demonstrated ability to undertake broad analytical assessments; Excellent writing skills, and English language skills. Knowledge of GEF and climate change would be an asset.

26 Annex 4. TOR for the Thematic Assessment for Desertification/Land Degradation

To define the baseline situation in regards to existing capacity, a thematic profile will be drafted in the thematic area of desertification/land degradation. This thematic profile will provide information on the national existing situation in regards to this thematic area, and insight and guidance into where major challenges lie and where opportunities for future capacity building interventions within the thematic area of desertification/land degradation exist. The thematic profile is prepared to identify existing strengths as well as weaknesses and thus facilitate an effective priority setting process. In the preparation of the thematic profile, GEF/UNITAR guidelines for NCSA will be followed.

A national sub-contractor (3 person team) will be recruited to carry out the assessment and draft the thematic profile. The self-assessment will consist of a set of questionnaires, interviews, workshops, brainstorming, and discussions and self-analysis. The sub-contractors will facilitate the process and record all findings. Existing assessments will be reviewed and linkages to on- going interventions explored. The International Expert and the National Project Coordinator will set quality standards for the outputs.

OBJECTIVES

 To assess the capacity strength and shortages related to desertification/land degradation in China;  To prepare a thematic profile which will facilitate the prioritization of areas for GEF support to capacity building.

A national sub-contractor will review all existing documentation related to desertification/land degradation, capacity building for its management, capacity building for environmental management in China and previous and current multilateral and bilateral activities and explore their linkages related to capacity building in China in the fields specified in the decisions of the Conference of the Parties and their subsidiary bodies to conventions. The sub-contractor will review all international documentation related to capacity building and land degradation, notably that forthcoming from CCD, GEF, and OECD.

Next, the sub-contractor will hold a structured interview with officers from concerned national level agencies (all members of the national bureau to combat desertification) in China. Sub- contractors will review current status of national capacity in the above specified fields with focuses on institutional and systemic capacity based on information from the above review and interviews, meetings with relevant stakeholders including governmental authorities, enterprises, research institutions, NGOs, and media representatives. The sub-contractor will also interview

27 officers from competent provincial level agencies in at least two provinces. The sub-contractor will interview at least 3 national NGOs and 3 international donor agencies.

At last, information collected will be analyzed through reviewing existing and newly gathered information to identify gaps between current and required capacity for implementing CBD, to prioritize national capacity building needs, to identification of obstacles and bottlenecks of capacity and to make recommendation of priorities, strategies and measures of capacity building activities in China for implementation of conventions.

OUTPUT

Based on the desk reviews, interviews and consultations, the sub-contractor will prepare a thematic profile describing the capacity situation. The report, in both Chinese and English, should be kept short (under 30 pages with size 11 font). The report should includes sections on the capacity situation related to each of the following issues (based on GEF / UNITAR guidelines for NCSA, page 21):

 What are the relevant legal instruments, policies and / or non-regulatory mechanisms?  What are the responsibilities and relevant activities of ministries, agencies and other governmental institutions? Are there activities well coordinated and complementary?  What are the respective roles and contribution of industry, public interest groups and bodies in the research sector? Which organizations have major interest and programmes in the relevant subject area?  What relevant information and databases exist, where are they located and who has access to them? Are all relevant data needs well addressed? What are the major gaps?  Which relevant projects have been implemented and what are the impacts of these projects, as well as lessons learned?  What kinds of capacity development projects and activities have been undertaken? What were the short-term and long-term impacts of those projects and activities?  What relevant technical capacity exists and is this infrastructure available and sufficient to address the objectives of the respective area?  What is the level of awareness and understanding within government and the public concerning the thematic area?  What human resources are available, and through which organisations, to work on the respective thematic area?  What training and human resource programmes exist and what do they offer?  What financial resources might be available at the national level for action plans concerning the thematic area?  Has there been any monitoring and evaluation of capacity development projects and activities during or after their execution? How has the country measured their success or effectiveness?  Do individuals have an incentive to acquire new skills and technical capacity related to the thematic area? Do they have sufficient opportunity to do so?  Are individuals in contact and exchanging knowledge and experiences with appropriate peers? Are their barriers to communication within and across relevant institutions focused on the thematic area?

28  Does any untapped capacity exist or is there capacity that could be redeployed to better effect? Is there capacity in danger of being lost?  Are capacity development efforts sufficiently linked to existing or future legal, regulatory, or institutional requirements and responsibilities? Has capacity built in the past proved to be sustainable over the medium-and long-term?  What are the gaps between current and required capacity for implementing UNFCCD?  What are the priorities of national capacity building needs?  What are the obstacles and bottlenecks of capacity to implement UNFCCD?  What are priorities, strategies and measures of capacity building activities in China for implementation of conventions?

QUALIFICATIONS

Understanding of ‘capacity building’ in an international context; Demonstrated ability to undertake broad analytical assessments; Excellent writing skills, and English language skills. Knowledge of GEF and desertification/land degradation would be an asset.

29 Annex 5. TOR for Capacity Self-Assessment Across the Thematic Areas of Biodiversity, Climate Change and Desertification/Land Degradation

In order to address needs within the broader global environmental management and sustainable development context, synergies will be identified for capacity building under the three thematic areas of biodiversity, climate change and desertification/land degradation. Identifying cross- cutting synergies entails an assessment of guidance from the three Rio conventions, an exploration of linkages between the three thematic areas and an identification of concrete opportunities for capacity building. Such an assessment will facilitate a coordinated and harmonized implementation approach at the local, national and international levels, while at the same time reduce cost, relieve the burden of multiple reporting and to produce greater effectiveness and efficiency. In the assessment of the three thematic areas, GEF/UNITAR guidelines for NCSA will be followed.

A national sub-contractor (2 person team) will be recruited to carry out the assessment and draft assessment report. The sub-contractors will facilitate the process. Existing guidance from the three conventions will be reviewed and linkages between them and to on-going interventions explored. Capacity constraints and opportunities for integrated capacity building will be identified. The International Expert and the National Project Coordinator will set quality standards for the outputs.

OBJECTIVES

 To assess the crosscutting synergies regarding capacity building needs under the Rio Conventions and environmental management in China ;  To prepare an assessment report, which determines the areas for GEF support to integrated capacity building.

A national sub-contractor will review all guidance from the three Rio Conventions to identify the similarities and compare the data needs across the conventions. Of the priority issues identified, confirmed or reviewed during thematic assessment of the three thematic areas, commonalities in capacity constraints will be examined. The sub-contractor will review all international documentation related to synergies of capacity building, notably that forthcoming from CBD, CCD, CCC, GEF, and OECD.

Next, the sub-contractor will hold a structured interview with focal points of the three conventions in China. The sub-contractor will also interview officers from competent provincial level agencies in at least two provinces. The sub-contractor will interview at least 3 national NGOs and 3 international donor agencies.

At last, opportunities for integrated capacity building to address the identified capacity constraints across the three thematic areas will be identified.

30 OUTPUT

Based on the desk reviews, interviews and consultations, the sub-contractor will prepare an assessment report describing the crosscutting synergies regarding capacity building needs and identify concrete opportunities for capacity building which cut across the three thematic areas. The report, in both Chinese and English, should be kept short (under 20 pages with size 11 font). The report should includes sections on crosscutting capacity constraints related to each of the following issues (based on GEF / UNITAR guidelines for NCSA, page 31):

 Awareness and exchange of information;  National policy, legal and regulatory framework;  Institutional mandates, co-ordination and processes for interaction and co-operation between all stakeholders;  Information management, monitoring and observation;  Mobilization of science in support of decision-making;  Financial resources and technology transfer;  Incentive systems and market instruments;  Negotiation;  Co-operation and networking with regions;  Institutional management and performance; and  Individual skills and motivation.

QUALIFICATIONS

Understanding of ‘capacity building’ in an international context; Demonstrated ability to undertake broad analytical assessments; Excellent writing skills, and English language skills. Knowledge of GEF and synergy of international environment agreements would be an asset.