Midterm Review Report June 2015 Version: final CBPF: Strengthening the Effectiveness of the Protected Area System in Qinghai Province, China to conserve globally important biodiversity GEF Project ID: 3993 UNDP PIMS ID: 4179 Country: China Region: Asia and the Pacific Focal Area: Biodiversity GEF Cycle GEF-4 Implementing Agency: United Nations Development Programme (UNDP) Executing Agency: Qinghai Finance Bureau, Qinghai Provincial Government Other Responsible Parties: Qinghai Forestry Department, Project Management Office Project Timeframe: January 2013 – December 2017 (planned) Prepared by: Professor Li He, National Consultant James Lenoci, International Consultant / Team Leader Midterm Review Report, June 2015 CBPF: Strengthening the effectiveness of the protected area system in Qinghai Province, China to conserve globally important biodiversity GEF Project ID: 3992; UNDP PIMS ID: 4179 Midterm Review Opening Page: Project Name: CBPF: Strengthening the effectiveness of the protected area system in Qinghai Province, China to conserve globally important biodiversity GEF Project ID: 3992 UNDP PIMS ID: 4179 Country: China Region: Asia and the Pacific Focal Area: Biodiversity GEF Cycle: GEF-4 GEF CEO Endorsement Date: 05 Apr 2012 Prodoc Signature by Ministry 30 August 2012 of Finance of China: Prodoc Signature by UNDP: 14 September 2012 Implementation Timeframe: Start: Jan 2013 Closure: Dec 2017 (planned) Implementing Agency: United Nations Development Programme Implementation Modality: National Implementation Modality (NIM) Executing Agency: Qinghai Finance Bureau, Qinghai Provincial Government Other Responsible Parties: Qinghai Forestry Department, Project Management Office Project Cost: USD 23,954,545 GEF PPG Grant: USD 100,000 GEF Project Grant: USD 5,354,545 Co-Financing, Pledged: USD 18,500,000 (includes USD 151,000 for PPG phase) Government, Cash: USD 14,602,900 Government, In- USD 3,897,100 Kind: Midterm Review Timeframe: May-July 2015 Evaluation Team: Professor Li He, National Consultant James Lenoci, International Consultant / Team Leader MTR Reporting Language: English The evaluation team would like acknowledge the information and feedback provided by interviewed project stakeholders, including the national project director, the director of the PMO, the UNDP Assistant Country Director and Program Manager, the RTA and CTA, the project manager, other members of the PMO, officials from provincial and sub-provincial agencies, and national and international consultants. Special thanks are also extended to the local beneficiaries of the visited communities. PIMS 4179 Qinghai MTR report 2015_final Midterm Review Report, June 2015 CBPF: Strengthening the effectiveness of the protected area system in Qinghai Province, China to conserve globally important biodiversity GEF Project ID: 3992; UNDP PIMS ID: 4179 Table of Contents Executive Summary ............................................................................................................................i Abbreviations and Acronyms .......................................................................................................... xvi 1. Introduction ...............................................................................................................................1 1.1. Purpose of the Review ................................................................................................................. 1 1.2. Scope and Methodology .............................................................................................................. 1 1.3. Structure of the Review Report ................................................................................................... 2 1.4. Ethics ............................................................................................................................................. 2 1.5. Limitations .................................................................................................................................... 3 1.6. Rating Scales ................................................................................................................................. 3 2. Project Description ..................................................................................................................... 4 2.1. Development Context .................................................................................................................. 4 2.2. Problems that the Project Sought to Address ............................................................................. 6 2.3. Project Description and Strategy ................................................................................................. 7 2.4. Implementation Arrangements ................................................................................................... 8 2.5. Project Timing and Milestones .................................................................................................... 8 2.6. Main Stakeholders ........................................................................................................................ 9 2.7. Project Budget and Finance ....................................................................................................... 10 3. Findings ................................................................................................................................... 11 3.1. Project Strategy .......................................................................................................................... 11 3.1.1. Project Design .......................................................................................................................... 11 3.1.2. Results Framework .................................................................................................................. 11 3.1.3. Gender Mainstreaming Analysis .............................................................................................. 15 3.2. Progress toward Results ............................................................................................................. 16 3.2.1. Progress towards Outcomes Analysis ...................................................................................... 16 3.2.2. Remaining Barriers to Achieving the Project Objective .......................................................... 30 3.3. Project Implementation and Adaptive Management ............................................................... 31 3.3.1. Management Arrangements ................................................................................................... 31 3.3.2. Work Planning ......................................................................................................................... 32 3.3.3. Finance and Cofinance ............................................................................................................. 33 3.3.4. Project-level Monitoring and Evaluation Systems ................................................................... 34 3.3.5. Stakeholder Engagement and Partnerships ............................................................................ 35 3.3.6. Reporting ................................................................................................................................. 36 3.3.7. Communications ...................................................................................................................... 36 3.4. Sustainability .............................................................................................................................. 37 3.4.1. Financial Risks to Sustainability ............................................................................................... 37 3.4.2. Socio-Economic Risks to Sustainability .................................................................................... 37 3.4.3. Institutional Framework and Governance Risks to Sustainability ........................................... 38 3.4.4. Environmental Risks to Sustainability ...................................................................................... 39 4. Conclusions and Recommendations .......................................................................................... 40 4.1. Major Achievements/Strengths ......................................................................................... 40 4.2. Key Shortcomings and Recommendations ......................................................................... 42 4.2.1. Recommended Modifications to the Strategic Results Framework ........................................ 42 4.2.2. Corrective Actions for the Design, Implementation, Monitoring and Evaluation ................... 46 4.2.3. Actions to Follow Up or Reinforce Initial Benefits from the Project ....................................... 47 4.2.4. Proposals for Future Directions Underling Main Objectives ................................................... 51 PIMS 4179 Qinghai MTR report 2015_final Midterm Review Report, June 2015 CBPF: Strengthening the effectiveness of the protected area system in Qinghai Province, China to conserve globally important biodiversity GEF Project ID: 3992; UNDP PIMS ID: 4179 5. Annexes Annex 1: Evaluation Mission Itinerary (3-18 June 2015) Annex 2: MTR Evaluation Matrix Annex 3: List of Persons Interviewed Annex 4: List of Documents Reviewed Annex 5: Summary of Field Visits Annex 6: Survey Questionnaire and Findings Annex 7: Progress towards Results Matrix Annex 8: Cofinancing Table Annex 9: Evaluation Consultant