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Vladimir Hecl
UNFCCC secretariat, technology team
Background paper on the implementation of
technology action plans of developing countries
TEC-12, Bonn, Germany, 7 April 2016
• COP 20 recognized the need for the TNA process to be improved in order to facilitate the implementation of the project ideas
emanating from it. This can be done through the provision of technical assistance and finance to each TNA, which should also aim to
integrate EES aspects into the development of the TNA.
• COP 20 requested the TEC to provide guidance on how the results of the TNAs, in particular the TAPs, can be developed into
projects that can be ultimately implemented, and to provide an interim report on its preliminary findings to SB-43.
• COP 21 welcomed the interim report of the TEC on guidance on enhanced implementation of the results of TNAs, noting that the report
should be considered final.
• COP 21 noted that the TEC is to elaborate the guidance on the preparation of TAPs, and make it available in early 2016 to developing
countries for use in informing the TNA process.
• COP 21 invited the CTCN to use the guidance when responding to requests from developing countries regarding the provision of
assistance to enable the implementation of the results of their TNAs.
Background paper on the implementation of TAPs of developing countries
Mandates
Background paper on the implementation of TAPs of developing countries
From Interim report to Guidance development
Background paper on the implementation of TAPs of developing countries
The purpose of this background paper is to:
• Deliver an in depth overview of key findings from TAPs of the Phase I of the global
TNA project.
• Made aware of the substance of the technology action plans including:
• Mitigation and adaptation sectors and subsectors,
• Actions identified in TAPs,
• Common elements of TAPs.
• Provide with an understanding of implementation priorities of developing countries
on regional and global scales.
• Drive through the technology action plans as opportunities to:
• Consider their possible further development via feasibility and other studies,
• Capitalize on in form of their further promotion,
• Make other mitigation and adaptation communities (INDCs, NAPs etc.) aware
of the added value the TAPs can provide in terms of nationally identified
actions,
• Discuss them as possible investment portfolio.
Background paper on the implementation of TAPs of developing countries
Elements of the TAP process at the national level
1. During the latest round of TNAs (2009-2013), 29 countries have developed 328 TAPs, of which142 were
for mitigation and 186 for adaptation.
2. All TAPs were based on the technology prioritization in the TNA process, all TAPs were driven by demand
based on country priorities, as revisited by domestic stakeholders, and all TAPs followed on the analysis
of market barriers and enablers.
3. Most of the TAPs are identified at larger scale of technology development and transfer. Their scope is
usually broader than that of single projects, although single projects are also included among actions
identified in TAPs.
4. A vast majority of TAPs aimed at deployment and diffusion of priority technologies at a larger scale within
countries, while some of the TAPs were designed to prepare for an implementation of a single project.
5. Most of TAPs included a cost indication per action plan and per each activity included in the action plan,
including indication of potential domestic and international funding sources.
6. Many TAPs contained capacity building, including information and awareness campaigns, trainings to
enhance: technical capacity, technology operation and maintenance, data collection and organization.
7. TAPs indicated roles of various stakeholders in the process of their implementation, including which
actors will be involved for each of the activities.
8. Most of the TAPs included indicators for monitoring the implementation of action plan.
Background paper on the implementation of TAPs of developing countries
Mitigation and adaptation sectors identified and prioritized in TAPs
Energy
Waste management
Agriculture
Transport
Afr
ica -
TA
PM
itig
ation
se
cto
rs
0 10 20 30 400 10 20 30 40
Water
Agriculture
Coastal zones
Afr
ica -
TA
PA
dap
tation s
ecto
rs
0 10 20 30 40
Energy
Transport
Forestry and peat
Agriculture
Asia
- T
AP
Mitig
atio
nsecto
rs
0 5 10 15 20 25
Agriculture
Water
Coastal zones
Food security
Health
Asia
- T
AP
Ada
pta
tio
nsecto
rs
0 5 10 15 20
Energy
Transport
Waste management
Agriculture
La
tin
Am
erica -
TA
PM
itig
ation
se
cto
rs
0 5 10 15 20
Water
Agriculture
Climate observation
Health
La
tin
Am
erica -
TA
PA
dap
tation s
ecto
rs
Background paper on the implementation of TAPs of developing countries
Mitigation and adaptation sub-sectors identified and prioritized in TAPs - Africa
0 5 10 15 20
Renewable energy technologies
Biofuels
Energy efficiency
Efficient lighting
Hydro-electric technologies
Effective domestic refrigeration
Improved stoves
Sustainable charcoal
CCS
Cement production
Energ
y
Afr
ica -
TA
P M
itig
atio
n
0 2 4 6 8 10 12 14
Techniques for efficient production
Improved crop varieties
National planning and management
Livestock breeding
Hydro-agricultural projects
Agro forestry
Community based extension agents
Air stem cuttings products…
Agriculture
Afr
ica -
TA
P A
da
pta
tion
0 5 10 15 20
Water collection and harvesting
Water supply
Drip Irrigation
Reduction of water use
Water desalination for drinking…
Reuse of waste water
Actions against toxic algae in…
Early warning systems
Seasonal forecasting
Wate
r
Afr
ica -
TA
P A
da
pta
tion
Background paper on the implementation of TAPs of developing countries
Mitigation and adaptation sub-sectors identified and prioritized in TAPs - Asia
0 5 10 15
Energy efficiency
Renewable energytechnologies
Biofuels
Efficient lighting
Hydro-electric technologies
Energ
y
Asia
- T
AP
Mitig
atio
n
0 2 4 6 8 10
Improved crop varieties
National planning and management
Techniques for efficient production
Livestock breeding
Agro forecasting
Agro forestry
Agriculture
Asia
- T
AP
Ada
pta
tio
n
0 1 2 3 4 5 6 7
Water collection and harvesting
Water supply
Seasonal forecasting
Reuse of waste water
Monitoring and disaster…
Management infrastructure
Early warning systems
Drip Irrigation
Wate
r
Asia
- T
AP
Ada
pta
tio
n
Background paper on the implementation of TAPs of developing countries
Mitigation and adaptation sub-sectors identified and prioritized in TAPs - Asia
0 2 4 6 8
Energy efficiency
Renewable energytechnologies
Biofuels
Efficient lighting
Energ
y
La
tin
Am
erica -
TA
PM
itig
ation
0 0,5 1 1,5 2 2,5 3 3,5
Agro forestry
Techniques for efficient production
Improved crop varieties
National planning and management
Agriculture
La
tin
Am
erica-T
AP
Ada
pta
tio
n
0 1 2 3 4 5 6
Drip Irrigation
Water supply
Water collection and harvesting
Monitoring and disastermanagement
Wate
r
La
tin
Am
erica -
TA
P A
dapta
tion
Background paper on the implementation of TAPs of developing countries
Examples of sub-sectors
Mitigation (Box 1 of the paper)
For energy efficiency following sub-sectors were identified:
Morocco - National programme supporting energy efficiency technologies in housing;
Zambia, Bhutan - Policy on energy efficiency;
Senegal - Energy efficiency programme in industry;
Mongolia - Development and adoption of energy efficiency law;
Dominican Republic - Energy efficiency in public buildings;
Colombia - Energy efficient regeneration burners.
For renewable energy the following sub-sectors were identified:
Rwanda - Set up a unit for training and research of solar exploitation;
Senegal - Development of law to foster renewable energy production, mapping of potential;
Indonesia - Development of national PV cells industry, improvement of local research and development;
Mongolia - Introduction of feed-in tariff for medium and large scale hydro power plans;
Sri Lanka - Imposing levy for fossil fuels, constitute fund for renewable energy projects;
Vietnam - Development of wind maps;
Argentina, Dominican republic - Enhanced implementation of biomass for energy production.
Background paper on the implementation of TAPs of developing countries
Examples of sub-sectors
Adaptation (Box 2 of the paper)
For water collection and harvesting the following sub-sectors were identified:
Dominican Republic, Peru - Exploring of innovative rain harvesting methods;
Cambodia - Implementation of small dams, reservoirs, micro catchments;
Sri Lanka - Restoration of networks of small dams, reservoirs, micro catchments;
Kenya, Zambia - Surface water harvesting technology;
Senegal - Reuse of waste water for households usage.
For efficient crop production the following sub-sectors were identified:
Sudan - Improved crop varieties breeding;
Cote d’Ivoire - Multiplication of food plats tolerant to water stress;
Senegal – Development of bank of improved seeds;
Bangladesh – Implementation of improved farming processes for food crops;
Mongolia – Wheat production intensification;
Bhutan – Implementation of drought and pest resistant crops production;
Thailand – Crop improvement technologies development and deployment.
Background paper on the implementation of TAPs of developing countries
Actions identified in TAPs - Africa
0 5 10 15 20 25 30 35
National/local policy and programmes development
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Training for equipment maintenance
Marketing and promotion
Monitoring of quality
Afr
ica -
TA
P M
itig
atio
n
0 5 10 15 20 25 30 35
National/local policy and programmes development
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Marketing and promotion
Training for equipment maintenance
Monitoring of quality
Afr
ica -
TA
P A
da
pta
tion
Background paper on the implementation of TAPs of developing countries
Actions identified in TAPs - Asia
0 10 20 30 40 50 60
National/local policy and programmes…
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Training for equipment maintenance
Marketing and promotion
Monitoring of qualityA
sia
- T
AP
Mitig
atio
n
0 10 20 30 40 50 60 70
National/local policy and programmes development
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Training for equipment maintenance
Marketing and promotion
Monitoring of quality
Asia
- T
AP
Ada
pta
tio
n
Background paper on the implementation of TAPs of developing countries
Actions identified in TAPs – Latin America
0 2 4 6 8 10 12 14
National/local policy and programmes development
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Training for equipment maintenance
Marketing and promotion
Monitoring of quality
La
tin
Am
erica -
TA
P M
itig
ation
0 2 4 6 8 10 12 14 16 18 20
National/local policy and programmes development
Legal & regulatory instruments
Financial incentives
Infrastructure development
R&D
Data collection and organization
Standards enforcement
Networks formation
Technical capacity
Trainings
Information and awareness
Installation of pilot projects
Training for equipment maintenance
Marketing and promotion
Monitoring of quality
La
tin
Am
erica -
TA
P A
dapta
tion
Background paper on the implementation of TAPs of developing countries
Comparative regional analysis
• In mitigation, most types of actions were financial incentives, which were reported
frequently in all three regions, followed by information and awareness and development
of technical capacity. Legal and regulatory instruments were also quite frequently
reported by countries in Africa and Latin America.
• In adaptation, countries in all three regions identified development of technical
capacities to develop, deploy, disseminate, operate and maintain adaptation
technologies, followed by financial incentives mainly reported by Asian countries, and
information and awareness and trainings to enhance human capacities mainly reported
by African countries.
Examples of actions in which need for financial incentives were identified (Box 3):
Kenya - Solar home systems;
Zambia - Geothermal energy for electricity generation;
Cote D’Ivorie - Landfill biogas capture;
Bhutan - Drip and sprinkler irrigation systems;
Vietnam – Wind power technology, combined production of heat and power;.
Background paper on the implementation of TAPs of developing countries
Common elements of TAPs - Africa
0 10 20 30 40 50 60
Potential of a sector
Targets
Existing enabling environment
Activities to be implemented
Benefits of implementation
GHG Emission reduction (t of CO2eq/year)
Budget identified
Budget identified per activity
Budget expenditures in time
Responsible body
Time frame
Sources of funds
Risks
Expected impact of implementation
Success criteria
Monitoring of implementation
Afr
ica -
mitig
ation
- a
ctio
n p
lan
s s
teps -
freq
uen
cy o
f re
po
rtin
g
0 10 20 30 40 50 60 70
Potential of a sectorTargets
Existing enabling environmentActivities to be implemented
Benefits of implementationVulnerability of sector
Budget identifiedBudget identified per activityBudget expenditures in time
Responsible bodyTime frame
Sources of fundsRisks
Expected impact of implementationSuccess criteria
Monitoring of implementation
Afr
ica -
ad
apta
tion -
action
pla
ns s
tep
s -
freq
uen
cy o
f re
po
rtin
g
Background paper on the implementation of TAPs of developing countries
Common elements of TAPs - Asia
0 10 20 30 40 50 60
Potential of a sectorTargets
Existing enabling environmentActivities to be implemented
Benefits of implementationGHG Emission reduction (t of CO2eq/year)
Budget identifiedBudget identified per activityBudget expenditures in time
Responsible bodyTime frame
Sources of fundsRisks
Expected impact of implementationSuccess criteria
Monitoring of implementationA
sia
- m
itig
ation
- a
ction p
lans s
teps -
freq
uen
cy o
f re
po
rtin
g
0 10 20 30 40 50 60 70 80
Potential of a sector
Targets
Existing enabling environment
Activities to be implemented
Benefits of implementation
Vulnerability of sector
Budget identified
Budget identified per activity
Budget expenditures in time
Responsible body
Time frame
Sources of funds
Risks
Expected impact of implementation
Success criteria
Monitoring of implementation
Asia
- a
dap
tation -
action
pla
ns s
tep
s -
freq
uen
cy o
f re
po
rtin
g
Background paper on the implementation of TAPs of developing countries
Common elements of TAPs – Latin America
0 5 10 15 20 25 30 35
Potential of a sectorTargets
Existing enabling environmentActivities to be implemented
Benefits of implementation
GHG Emission reduction (t of CO2eq/year)Budget identified
Budget identified per activity
Budget expenditures in timeResponsible body
Time frame
Sources of fundsRisks
Expected impact of implementationSuccess criteria
Monitoring of implementation
La
tn A
me
rica -
mitig
ation
- a
ctio
n p
lan
sste
ps -
fre
que
ncy o
f re
po
rtin
g
0 5 10 15 20 25 30 35 40
Potential of a sector
Targets
Existing enabling environment
Activities to be implemented
Benefits of implementation
Vulnerability of sector
Budget identified
Budget identified per activity
Budget expenditures in time
Responsible body
Time frame
Sources of funds
Risks
Expected impact of implementation
Success criteria
Monitoring of implementation
La
tin
Am
erica -
ada
pta
tion
- a
ctio
n p
lan
sste
ps -
fre
que
ncy o
f re
po
rtin
g
Background paper on the implementation of TAPs of developing countries
Comparative regional analysis
• In mitigation following elements of action plans were reported most frequently in all
three regions: activities to be implemented, responsible body and time frame of action
plans. These were followed in each three regions by budget identified per action plan
and budget identified per each activity of action plan.
• In adaptation following elements of action plans were reported most frequently in all
three regions: activities to be implemented, responsible body, and budget identified per
action plan. These were followed by time frame of action plans, and budget identified
per ach activity of action plan.
Background paper on the implementation of TAPs of developing countries
Lessons learned
• Well elaborated methodology helped countries to identify their priority sectors, subsectors, priority technologies, and
technology inclusive actions.
• The handbook, guidebooks, and the TAP template were closely followed by all the countries involved in the TNA
project, hence creating a logical and understandable platform for analysis per region, and comparable analysis
amongst the three analyzed regions.
• Most of the countries, when conducting the TAPs prioritized quite similar mitigation and adaptation sectors which
were energy, water and agricultural sectors, with only smaller regional exceptions.
• Development and implementation of financial incentives on national level to support mitigation actions was often
identified by countries as activity in their TAPs. Other identified actions were: enhancing information and awareness,
development of technical capacity, and development and implementation of targeted trainings.
• Most of adaptation TAPs included activity on information and awareness of adaptation technologies in countries.
This was followed by activities on enhancing technical capacity. In adaptation more need was express to inform, learn
from pilot projects and develop technical skills to operate and maintain adaptation technologies.
• Countries in their mitigation and adaptation TAPs proved their understanding of the main elements of action plans
and elaborated their action plans in a set of consequent activities, with responsible bodies and timelines for their
implementation. Countries also assessed budget to undertake the action plans, in most cases elaborated per each
activity of action plans. Comparing with the previously identified project ideas for implementation, the enhanced
Guidance and the template assisted countries in more in depth conducting and reporting of what actions, timelines,
responsibilities and cost are considered necessary by countries to enhance technology implementation.
Background paper on the implementation of TAPs of developing countries
Challenges
• The identified barriers and enablers were for the first time in the TNA process built on and used for conducting TAPs.
The enhancement of TNA process, in terms of focusing on TAPs besides the project ideas, was initially implemented
through, at the time of the Phase I of the TNA project, newly elaborated guidance and templates.
• Such pioneering approach in limited project time and discussions with countries brought some challenges into the TAP
guidance in terms of capturing of elements of TAPs such as defining the potential of actions, impact of actions, and
detailed information on cost, risk mitigation considerations, and modalities of monitoring of implemented
actions.
• The analysis has also shown that many countries do not have rich experiences with putting together an action plan on
governmental level to be disseminated with purpose of its implementation. One of the main challenges was lack of a
clear methodology on budget assessment resulting in insufficient elaboration of detailed budgets, and time flow of
expenditures. Another challenge was risk assessment and steps proposed for the risk management. This information
was discussed as needed for thorough project considerations by representatives of financial institutions during TNA
experience sharing workshops. Hence there is a room for capacity building of national stakeholders to undertake TAP
exercise in more comprehensive manner in future.
• Access to finance to implement mitigation and adaptation technologies remains possibly the biggest challenge in
developing countries. To close the gap of accsess to fincnce, financial community could assist in development of
TAPs to consider elements allowing for a comprehensive assessment of proposed actions from the financial point of
view, including existing risks for investments. The reported TAPs proved that in most cases involvement of financiers
was a challenge and hence there is a potential in the next TNA rounds to employ in the TNA process multi-sectoral
TNA teams, including representatives of financial community. All these challenges were reflected in the enhanced
guidance, which is currently under development and testing in the Phase II of the TNA project.
Background paper on the implementation of TAPs of developing countries
Key findings
• TAP methodology and guidance was followed by countries resulting in consistent results, allowing for comparative analysis to
be made.
• Access to finance to implement mitigation technologies remains possibly the biggest challenge in developing countries, as
countries frequently asked for financial incentives as one the TAP action.
• In adaptation information and awareness and enhancing technical capacity to develop, deploy, operate and maintain
technologies was recognized as the main need. Finance still played a significant role in adaptation TAPs, however many
adaptation technologies were considered locally manageable hence possibly decreasing financial concerns.
• One of the main TAP challenges was lack of methodology on budget and risk assessment, resulting in insufficient elaboration
of detailed budgets per activity, and of flow of expenditures in time, which could assist financial community to better analyze TAP
investment options.
• The work of countries on TAPs could be further promoted as a basis to initiate future technology development, deployment,
transfer and dissemination.
• Feasibility studies should be developed out of TAPs, which require finance, engagement of national champions, and support of
national decision makers.
• The TAPs may also serve, due to their well-developed methodology and implementation oriented outcomes, as a valuable input
to the ongoing work in other processes such as INDCs, and NAPs. Synchronizing these processes may significantly
strengthen investment portfolios for developing countries, and provide a more comprehensive picture of their technology needs.
Background paper on the implementation of TAPs of developing countries
Interim report findings
Key findings and Recommendations on TAP:
The following recommendations for improved guidance were made:
• Specify the role of key stakeholders, which includes identification of actors and
specification of their roles as ‘champions’ or ‘enablers’, in implementing enabling
actions for mitigation and adaptation and examining what can be funded by whom;
• Develop a slim guidance document to identify actions for implementation of priority
technologies at a scale for delivering desired social, environmental and economic
benefits and formulate a TAP to manage these actions;
• Enhance guidance on how to attract funding for actions in a TAP by informing
TNA teams on: minimum requirements for determining costs of actions in a TAP;
• Comparison of costs with benefits and identification of potential funders for
actions in a TAP;
• Elaborate on the potential role of and capacity needs for NDEs, as a contact or
focal point in a country, and of the CTCN for supporting implementation of priority
technologies in the countries concerned.
Background paper on the implementation of TAPs of developing countries
Interim report findings
In order to enhance the learning potential from experience with implementing TNA
prioritised technologies, it is recommended that the secretariat’s Technology Portal or
UDP’s TNA Project portal is extended with information on:
• The status of implementation of actions in a TAP and project ideas;
• Progress with implementation of actions and projects, including the time frame and
criteria for checking progress with implementation of actions;
• How funding for implementation has become available (and by whom);
• How enabling support (e.g. training, CB) has been made available, and by whom);
• What have been decisive incentives or factors for success.
• Conducted TNA in 2009-2013
• On adaptation technologies, focused on addressing droughts
and consequences for deep well supplies
• Prioritized how to increase water supply for local economy
and enhance sustainable development
• Key technology: rainwater harvesting from greenhouse tops
• Is implementing projects based on TNA
TNA/TAP success stories - Lebanon