Table of Contents...Thailand’s engagement with the Copenhagen Accord, and repeated call for debriefing after each COP. This proactive role is expanding. Presently, the key private

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Table of Contents

Subjects

Page

1. SITUATION BACKGROUND ……..…………………………...……………………………. 5

2. STRATEGY ……………………………………………………………………………………. 10

3. RESULTS AND RESOURCES FRAMEWORK …...………………………………………. 16

4. ANNUAL WORK PLAN ………………………………………………………………………. 24

5. BUDGET PLAN ……………………………………………………………………………….. 30

6. MANAGEMENT ARRANGEMENTS ……………………………………………………….. 33

7. MONITORING AND EVALUATION FRAMEWORK ………………………………………. 38

8. LEGAL CONTEXT ……………………………………………………………………………. 41

9. ANNEXES

ANNEX A: TECHNICAL COMPONENT OF THE PROJECT PROPOSAL ............... 42

ANNEX B: STAKEHOLDERS’ CONSULTATIONS..................................................... 50

ANNEX C: RISKS ASSESSMENT.……………………………..…..…………………… 62

ANNEX D: TERMS OF REFERENCE …………………………...........……………….. 64

ANNEX E: ENDORSEMENT LETTERS ...…………………………...………… 71

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Acronyms

APR Annual Project Review

ARR Annual Review Report

AWP Annual Work Plan

BUR Biennial Update Report

CCA Climate Change Adaptation

CDM Clean Development Mechanism

COP Conference of Parties

CP Country Programme

CPD Country Programme Document

CPEIR Climate Public Expenditure and Institutional Review

DEDE Department of Alternative Energy Development and Efficiency

DEQP Department of Environmental Quality Promotion

DNA Designated National Authorities

FTI Federation of Thai Industry

GEC Global Environment Center Foundation

GEF Global Environment Facility

GIZ German International Cooperation Agency

GHGs Greenhouse Gases

HDR Human Development Report

IPCC Intergovernmental Panel on Climate Change

JSCCIB Joint Standing Committee on Commerce, Industry and Banking

JICA Japan International Cooperation Agency

LEAD Low Emission Asian Development

LECB Low Emission Capacity Building

MA Mitigation Action

MAIN Mitigation Action Implementation Network

MAPT Measurement and Performance Tracking

MDGs Millennium Development Goals

MOEJ The Japan Ministry of Environment

MONRE Ministry of Natural Resources and Environment

MRV Monitoring, Reporting and Verification

NAMA Nationally Appropriate Mitigation Action

NC National Communication

NCCC National Climate Change Committee

NESDB National Economic and Social Development Board of Thailand

NFP National Focal Point

NIM National Implementing Modality

ONEP Office of Natural Resources and Environmental Policy and Planning

OTP Office of Transport and Traffic Policy and Planning

PB Project Board

PCD Pollution Control Department

PC-iGER PC-Institute for Global Environment Research

PCR Project Completion Report

PD Project Director

http://en.wikipedia.org/wiki/Thailand

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PM Project Manager

PMU Project Management Unit

PPR Project Progress Report

Q Quarter

QA/QC Quality Assurance/Quality Control

QPRs Quarterly Progress Report

SBAA Standard Basic Assistance Agreement

SEA Southeast Asia

SEA START Southeast Asia – System for Analysis, Research and Training network

SMEs Small- and Medium-Enterprises

TAG Technical Advisory Group

TGO Thailand Greenhouse Gas Management Organization (Public Organization)

TNA Training Needs Assessment

TNC Third National Communication

UNPAF United Nations Partnership Framework

UNDP United Nations Development Programme

UNEP United Nations Environment Programme

UNFCCC United Nations Framework Convention on Climate Change

USD US Dollar ($)

USEPA US Environmental Protection Agency

V&A Vulnerability and Adaptation

WRI World Resources Institute

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I. SITUATION BACKGROUND

1.1 Policy Context

Thailand has been engaged in the United Nations climate change since 1992, when the UNFCCC was conceived in Rio. Since that time, much progress has been made, especially in participation in climate change negotiations, and in using government policies to drive climate change agendas —and more recently in shaping economic and social development — in Thailand. But climate change agendas have yet to become visibly and systematically driven economic development.

The country’s efforts towards a low-carbon and climate resilient development pathway to date include the preparation of National Communications (now the third one), research activities, conceptions of a climate change strategy, a draft master plan, and more recently, an inclusion of climate change aspects in the national economic and social development plan (i.e., the current 11th National Economic and Social Development Plan, 2012- 2016). Of primary significance in that plan are emphases on food and fuel security, and needs to establish low carbon economy pathways. Beside these, there has been no significant change in development paradigm, integration of policies and measures, and in public finance for development. The limited public expenditures for climate change, according to the climate public expenditure review undertaken with support from UNDP in 2012, might be an indicator.1 Thailand is, by statistics, not a major emitter. From the CO2 equivalent emission trend indicated in Thailand’s Second National Communication to the UNFCCC (2010), it can be seen that the structure of emission sources has not changed much. The energy sector has been the main emitter, followed by agriculture. It should be noted that in 2000, the forestry sector became a net sink until 2004. As a result, net emission in Thailand in 2004 was 263 million tons, compared to 229 million tons in 2000, or an average increase of 3.7 % per year.

When Thailand began to engage itself in negotiating climate change, for the first time in Rio 1992, Thailand had no recognition of climate change. The level of climate change awareness in general was very low, even among those who were engaged in the energy sector. This had been a major barrier to addressing climate change in sustainable development. Twenty years later Thailand came out of Cancun (COP16) and Durban (COP17) with at least two kinds of awareness: one, policies will have to be more integrative and proactive; and two, capacity building is utterly imperative to Thailand’s transition to low-carbon society. Thailand now fully embraces the low-carbon sustainable development by triggering at least two observable changes.

(1) Both sustainable development and low-carbon transition are reflected in its national economic

and social development plans; and

(2) Since 2000 (in the 9th Plan) the Sufficiency Economy, which prescribes rationale, immunity and

moderation principles, has been fully embraced in the national development plan.

For Thailand these two foundations will continue to guide development policy in the future, including any other undertakings such as the promotion of sustainable agriculture and industrialization. At the same time, Thailand has moved quickly to implement the 11th National Economic and Social Development Plan by the cabinet approving the Country Strategy that would make development (1) more inclusive; (2) greener and (3) more competitive. This Country Strategy will be used to guide the 2014 budgeting preparation. Meanwhile the National Economic and Social Development Board (NESDB) continues to take further step to ensure that the 11th Plan will be implemented, by line ministries.

1 Thailand Climate Public Expenditures and Institutional Review (CPEIR), June 2012,.

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1.2 Institutional Context

Institutions have also evolved as a result of international engagement and changed awareness at all levels. Recent developments were as follows:

1. Structure of the committees for climate change has been split into policy and technical

committees—from previous one single national committee chaired by the Minister of

Natural Resources and Environment. The Prime Minister now chairs the national climate

change committee.

2. Thailand Greenhouse Gas Management Organization (TGO) has been established to be

responsible for carbon trading and other technical matters related to mitigation, leaving

policy related matters to the national focal point, Office of Natural Resources and

Environmental Policy and Planning (ONEP).

3. Recently, a new Office of Climate Change Coordination was formed in the ONEP, Ministry

of Natural Resources and Environment (MONRE).

4. A new version of climate change master plan has been prepared, now waiting for cabinet

approval. The draft climate change master plan, listing 21 related policies, plans and

measures that are climate change relevant.

5. Deepening of ownership: Line agencies have been encouraged to consider building the

data base, and to eventually prepare sectoral greenhouse gas inventory. This change of

approach will have significant good impacts of wide scale, from data systems to

institutional and capacity strengthening, to mention a few.

6. Moreover, some agencies have already tried to come up with their own sectoral climate

change plans and have established climate change focal points or offices.

While these developments on the public sector take time, fast tracked progress is being witnessed in the private sector where key stakeholders are eager to stay competitive with their overseas peers. For example, the cement industry has already set voluntary GHG emission reduction targets to stay competitive and comply with global targets and promoted standards of the cement industry. These exogenous drivers have been complemented by positive domestic developments such as the climate labelling work that TGO is doing to ensure that the consumers and private sector could participate in this proactive move.

Besides Thailand’s deepening its engagement in international climate change negotiations, one sees more bilateral dialogue and cooperation taking place in manners that were not expected before. Two parallel developments are taking place to challenge the government’s role in climate change affairs, however, that are worth noticing:

Firstly, climate change is increasingly not an inclusive government affair; the private sector has shown progressive interests and actions in capitalizing on climate change opportunities. This role has been invisible until COP15, when the private sector representatives came forward to question Thailand’s engagement with the Copenhagen Accord, and repeated call for debriefing after each COP. This proactive role is expanding.

Presently, the key private sector organizations like the Federation of Thai Industry (FTI) and Thai Chamber of Commerce, for example, have come forward to propose a climate change strategy to the government. This strategy blueprint remains to be responded by the government. The valid point is that it is becoming inevitably clear that future space in public policy making will be reserved for the private sector to play an increasingly proactive and constructive role.

Secondly, the non-government sector, or the civil society, began to exert more influence over the policy making and its processes; some are calling for greater policy space, for example, in formulating the climate change master plan; others push to invalidate government legal action taken against villagers in deforestation cases. Beyond the issues of being right or wrong, the moves are seen, and interpreted, as much more progressive role taken by the civil society on climate change.

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It is clear that some roles are being adopted by the relevant parties: the Government will be facilitating certain aspects of rule setting, financial and technology transfer and assisting in setting targets and implementing steps needed to fulfil mitigation goals while the private sector will assess their real mitigation potential, confirm feasibility of targets and lead implementation.

All in all, Thailand has a low carbon economy vision and several actions and sectors are geared towards that direction. Capacity building to enhance readiness for nationally appropriate mitigation actions can be instrumental to enable Thailand to make the transformation happen.

1.3 LECB Programme Context The Low Emission Capacity Building Project in Thailand will be nested in the above national policy and institutional context. The interventions are designed to complement and be in synergy with existing groundwork and on-going collaborations with other development partners in the areas of Low Emission Development Strategy and Nationally Appropriate Mitigation Actions (NAMAs) in Thailand.

The most relevant and notable Government’s initiative in this front is the pilot action in developing NAMAs for the energy sector in 2012, undertaken by TGO in collaboration with the Ministry of Energy. This is arguably the first comprehensive attempt by the government to look into ways and means to get Thailand ready and prepared for its own domestic mitigation actions and NAMA obligations.

Various public agencies and offices in Thailand have also actively contributed to GHG mitigation efforts. Good examples of public sector initiatives are the declarations of the Bangkok Metropolitan Administration and the local government of Khon Kaen province, the Public Green Procurement Project of the Ministry of Natural Resources and Environment, and the Green and Clean Project of the Ministry of Public Health. In addition to and in support of the national efforts, international development partners are actively supporting Thailand’s efforts on this front.

Thailand participated in the UNFCCC Regional capacity building for sustainable national greenhouse gas inventory management systems in Southeast Asia (SEA Project) from 2007-10, which featured capacity building from US EPA. The project objective was to strengthen the capacity of SEA countries to improve the quality of their national GHG inventory for the development of sustainable inventory management systems.

From 2009-10, the Japan Ministry of the Environment (MOEJ) and Global Environment Center Foundation (GEC) have funded the Thailand Greenhouse Gas Management Organization (TGO) and the PC-Institute for Global Environment Research (PC-iGER) to develop a methodology & feasibility study for NAMA planning in the waste & wastewater management sector. The Japanese International Cooperation Agency (JICA) has supported the Implementation of a Climate Change Mitigation Action Plan through a Capacity Building Project on Climate Change Adaptation and Mitigation ($1.1M, 2010-12), as part of its broader initiative, Action Plan for Achieving a Low-Carbon Society. JICA also funded a two-year project for Capacity Development and Institutional Strengthening for GHG Mitigation of the TGO from Jan 2010-Jan 2012.

GIZ, meanwhile, has a plan to support Thailand to formulate and implement a national energy efficiency plan, under the National energy efficiency plan as a core element for an activity- and evidence-based mitigation strategy project, NAMAs will be developed and tested as an implementation mechanism under the project, which has the goal is to reduce the energy intensity of the industrial and commercial sectors by 25% by the year 2030 (from the 2005 baseline) and to achieve substantial energy savings in the residential and transport sectors. Under the Programme for developing and implementing a climate protection policy, GIZ will support Thailand in the elaboration and implementation of the strategy on climate change and reduction of greenhouse gas emissions. International experts will advise the various political bodies, and the necessary implementation capacities at the relevant institutions will be put in place.

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Coordination and synergy with another ongoing project under GIZ: ‘Energy Efficiency and Climate Change Mitigation in the Land Transport Sector in the ASEAN region, which includes Thailand, have also been discusses, particularly on Outcome 1 with regards to strengthening institutional and procedural system of the national GHG Inventory System for transport

Moreover, Thailand is one of five countries participating in the Enhancing low-carbon development by greening the economy initiative that will be supported by UNEP and GIZ to design suitable national policies for a Green Economy transition, including fiscal and economic incentives that aim to contribute to the mitigation of and adaptation to climate change. The project includes elaboration of concept papers, establishing and testing of indicators and benchmarking methods (supporting MRV). It is also one of six countries participating in the World Resources Institute (WRI) Measurement and Performance Tracking (MAPT) initiative to assess, build and support national capacities in developing countries in the design and implementation of measurement and tracking systems and tools to meet domestic goals, including a general national inventory system assessment.

Thailand is a participant in US-AID’s regional programme on Low-Emissions Asian Development (LEAD), which specifically focuses on building capacity for MRV, market readiness for increased financing and investment in emissions reduction activities, and development and implementation of LEDS.

The United Nations Development Programme (UNDP) has been a key player in supporting the government in increasing policy and institutional readiness in response to climate change challenges, under its current Country Programme Document (CPD) 2012-2016. Relevant initiative/ projects include:

UNDP-GEF supported project to prepare for the Third National Communication and Biennial Update Report (TNC-BUR) to the UNFCCC;

Climate Public Expenditure and Institutional Review (CPEIR), a potential basis for MRV of support, as part of the overall UNDP’s partnership with the government counterparts to establish a climate fiscal framework in Thailand;

Promoting Renewable Energy in Mae Hong Son Province” (UNDP-GEF) – seeks to remove barriers to the provision of renewable energy services in integrated provincial renewable energy programs;

Promoting Energy Efficiency in Commercial Buildings in Thailand” (UNDP-GEF) – aims to promote and facilitate the widespread application of building energy efficiency technologies and practices in commercial buildings;

“Barrier Removal to the Cost Effective Development and Implementation of Energy Efficiency Standards and Labeling Project” (UNDP-GEF) – regional initiative with six participating Asian countries that seeks to rapidly accelerate the adoption and implementation of energy standards and labels in order to transform the manufacture and sale of energy-efficient appliances and equipment;

A pipeline proposal of UNDP-GEF supported on ‘Achieving Low Carbon Cities through Local Sustainable Urban Systems Management in Thailand mainly focused on waste management and public transport.

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1.4 Existing Barriers for Mitigation and LECB Interventions

Amidst the existing and on-going efforts, the following are the main barriers that prevent the Government and the Private Sector to fulfil their envisioned roles in mitigation and how LECB project in Thailand is formulated to help address the gaps and constraints:

Institutional barriers: although important progress has been achieved to date, a major barrier remains: the development planning authority and the National Focal Point for climate change still have limited influence to exert more of their authority and championship for climate change in the planning and development implementation. There is a new opportunity to overcome this major barrier as public awareness is making climate change a high profile issue relevant to the country’s agenda and visibility of the above referred institutions. At the policy level, this notion seems to have been assumed, and adopted in disaster risks reductions and management. Two earlier surveys conducted by SEA START revealed the low capacity of developing countries, including Thailand, in addressing climate change — looked from both mitigation and adaptation aspects. The current NAMA planning and implementation would require Thailand much more technical, financial and institutional capacities than the previous undertakings of the Clean Development Mechanism (CDM)—which is a project-based initiative. Hence, capacity development requirement is even more demanding than ever.

Barriers for design and approval: another important barrier is the lack of capacity to conceive, plan and implement climate policies, this seminal capacity is critical since it allows building technical expertise to support decisions and fuel political will. The LECB Programme will work on lifting this barrier.

Barriers for defining a baseline: GHG inventories need to be systematized and strengthened. This is particularly relevant for spread, complex and atomized sectors such as waste and transport where information is not very reliable and needs to be properly organized and data flow systematized. The LECB Programme will support capacity building to systematize GHG inventories for the referred sectors.

Barriers for implementation: An important fraction of the private sector (e.g. SMEs) lacks capacities to confirm feasibility of targets, assess and satisfy their technology needs and access competitive financial support for low carbon endeavours. An exception to this is the cement sector that it has already defined targets for emission reductions to stay competitive with their global peers. The LECB Programme will capitalize on the lessons to date from the cement sector and will support the acceleration of its emission reductions through the strengthening of MRV systems and will lead the transfer of this domestic know-how to other sectors of the country. As a whole, the private sector is composed of diverse and complex type of entities. To lead mitigation across them, one of the main capacities to be developed under the LECB Programme is the capacity to technically build a vision, capacities to confirm feasibility of their targets and capacities to support their mitigation decisions in their specific business areas.

II. STRATEGY

2.1 Overview of Project Strategy Thailand’s Low Emission Capacity Building (LECB) project is linked to the Country Programme Outcome on ‘Effective Response to Climate Change,’ and aims to address climate change and environmental security issues through the enhancement of national capacity and policy readiness, particularly Output 1: Low emission and climate resilient society initiatives; and public private investments are translated into relevant policy planning and implementation by the Thai Government with private sector engagement.

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The LECB project has been designed to be an integral part of the existing projects and initiatives under the collaboration between the Royal Thai Government and UNDP Thailand ’s Environment Portfolio. It will be implemented in tandem and in close connection with the project on the preparation of the Third National Communication and the Biennial Update Report and the climate finance initiatives.

The goal of this project is to build capacities for the development of Nationally Appropriate Mitigation Actions (NAMAs) in selected industrial sectors and systematize the GHG inventory in the sectors of Transport and Waste.

In this context, the project aims to achieve 4 outcomes including (1) Strengthened Institutional & procedural system for National GHG Inventory system for the transport and waste sectors. (2) A portfolio of NAMA proposals and their built-in MRV systems developed for selected industrial sectors. (3) Multi-source Finance and Technology Transfer Frameworks formulated to support implementation of NAMAs and (4) Knowledge platform to ensure flows of know-how among key stakeholders of NAMAs in selected industrial sectors.

1) Strengthened Institutional & procedural system for National GHG Inventory system for the transport and waste sectors.

Strengthening the procedural and institutional system for National GHG inventory means to ensure that the institutional framework developed by the MONRE is functional, where TGO leads the QC process in concert with ONEP who leads the QA process. This includes improving the efficiency and effectiveness of the system as well as to ensure integration of data collection and processing of line agencies from concerned ministries.

Aware that the quality of data and the management of data system are limited, not yet systematised, especially in the transport and waste sectors, both sectors were selected as the focus of the LECB project to address the gaps in the current national GHG inventory system; whereas the inventory for the energy sector is well-developed, and those of the agricultural and LULUCF sectors are being improved. This LECB component will be implemented in close coordination with the component on updating and improving the national GHG inventory system under the Third National Communication and the Biennial Update Report Project.

Three major areas for improvement were identified as main outputs including (a) the GHG inventory system, (b) coordination among line agencies, and (c) technical capacities of the personnel/institutions engaged in the referred sectors.

1.1. Systematized GHG Inventory of the transport and waste sectors including data collection, data sourcing, data reporting, data access and sharing, quality control/quality assurance, and archiving procedures, by means of: reviewing existing sources and practices; consult stakeholders to upgrade/improve systems and practices; improve and introduce the new systems to concerned parties; and then follow up and fine-tune the systems as necessary.

1.2. Institutional coordination among line agencies on GHG Inventory data system for the

transport and waste sectors’ data system will be strengthened by means of: review actual status of institutional coordination to identify areas for improvement; regularly updating the actual status institutional coordination and consult concerned parties to seek improvement; develop guidelines and official protocols for data transfer between concerned institutions; and monitoring the progress.

1.3. Technical capacities of line agencies on the GHG Inventory data system for transport and

waste sectors will be improved by means of: assess the training needs prior to develop a

training plan; execute various training activities according to the plan; and follow up after

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the training. Both the training process and performance of institutions will be monitored to

ensure performance improvement of target individuals and/or institutions.

It should be noted that Outcome 1 is designed to help fill the data and information gap of the national GHG inventory system; as well as strengthen and systematise the coordination among line agencies involved in developing national GHG inventory of the key sectors. Outcomes 2,3, and 4, on the other hand, will be closely linked and would focused particularly on the selected industrial sector(s), of which the details are elaborated below.

2) A portfolio of NAMA proposals and their built-in MRV systems developed for selected industrial sectors. To develop a NAMA portfolio2 the project is designed to work in 5 areas (outputs) including: (a) select 1-2 industrial sector(s); (b) develop NAMA base line and target for the selected sector(s); (c) develop NAMA roadmap; (d) building MRV systems; and (e) enhance capacity of individuals/institutions concerned to be able to develop and operate the NAMAs and MRV.

2.1 Key stakeholders in selected industrial sectors have been engaged. Selection of the industrial sector will be the first step, as activities in outcome 2 will showcase the role of the private sector within selected NAMAs.

The stakeholders’ engagement process will begin with an orientation workshop. In this workshop stakeholders will develop a set of criteria for sector selection which may include sizable GHGs reductions, cost-effectiveness, readiness and feasibility of participating firms and sector, opportunities for technology transfer and needs for capacity building. After the sector was selected by collective decisions, a focus group meeting will follow to confirm engagement with potential implementers and develop an action plan towards building a portfolio and developing capacity of concerned parties. To ensure co-ownership and active participation, LECB project progress will be reported in regular meetings of the particular sector(s).

2.2 NAMA baseline and targets for the selected industrial sectors will be developed by participative discussions with the representatives of the selected sector to address the Thai approach to NAMAs and specific national criteria for portfolio development, scale (nationals vs sectoral vs cross-sectoral value chains). Activities to achieve this output include: develop inventory, baseline scenario and projection models for the selected sector(s); review country relate strategies and plans, and consult with stakeholders to identify potentials mitigation actions and set target for the selected sector(s).

2.3 The roadmap for NAMAs of the selected industrial sector(s) will be developed in a

participatory manner between state agencies and the private sector. The road map development process will begin with verified NAMA target against the national strategies/plans and will be followed by consulting the industries to prioritize mitigation options that suit to preference of the particular sector(s). Gaps and barriers to adopt the mitigation options and/or technology transfer will be identified and prioritized and finally seek incentives or solutions defined to overcome the barriers. ‘Template’ for NAMA road map for the selected sector(s) will be designed in correspondence to specific conditions of the sector(s) referring to finance, technology, and management. Once it is consolidated, the roadmap for NAMA in each selected sector will be published. In consequence, technical expert(s) will be employed to analyse, synthesise, and provide recommendations

2 Portfolio means a set of NAMA proposals that follow a pre-defined appetite for risk, geographical, technological and sectoral

prioritization. By proposals we mean solid documents quantifying costs, benefits, GHG reductions, financial structure, technology package, calendar, institutional and managerial arrangements and implementation assumptions. One of the proposals (part of the portfolio) can readily become a prototype or a pilot to provide lessons and insights, as well as guidance along the implementation challenges.

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for a NAMA guideline which can be replicated in other sectors, and to provide inputs for the formulation of Low Emission Development Strategy of the selected sector(s) in the future.

2.4 The built-in MRV systems will be integrated into the developed NAMA for the selected

sector(s). The development process of MRV systems will begin with review and assess existing MRV systems applied in the same sector of other countries or similar sectors within Thailand. An expert will be employed to draft the MRV system adjust it to particular sector(s) and receive feedback from concerned parties and consolidate the systems. Together with stakeholders the recommendations will be provided into a MRV guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector(s) in the future

2.5 In parallel, capacities of personnel and institutions of the selected sectors will be enhanced

along the development process of NAMAs and the MRV systems to ensure the implementation. It could be considered as a kind of on-the-job training or learning by doing approach. The process include identify capacity needs of concerned stakeholders (individuals and institutions), such as organize activities to directly involve target groups in the above activities, and follow up/monitor performance. Lessons learned from all efforts along portfolio development - such as (1) significance of the base year in setting up the reference scenario, (2) on designing NAMA - will systematically recorded, consolidated and published.

3) Multi-source Finance and Technology Transfer Frameworks formulated to support implementation of NAMAs and policies/programs in selected industrial sectors.

The formulation process consist of (a) assess financial options for NAMA/MRV; (b) assess technology supply chain and its financial requirements; (c) shortlist and recommend financial instruments to the sector(s); and (d) ensure that NAMA/MRV systems are complemented by financial flows, budget plans and expenditure systems.

3.1 Financial options for NAMA/MRV in selected industrial sectors and their requirements will

be assessed. Financial flows methodology will be employed to assess financial sources

and financial options for NAMA/MRV in selected industrial sector(s), starting with mapping

of NAMA financial sources, identify potential sources and assess conditions, preferences

and accessibility criteria and visualize it to all concerned parties.

3.2 Technology supply chain and financial implementation requirements will be assessed for selected industrial sectors. Along the line of 3.1 assessment of technology supply chains and its requirements will be carried out.

In similar manner to 3.1, the steps will begin with assess technology needs and supply chain for selected industrial sector(s), consult stakeholders to receive feedback, and finally develop a guideline.

3.3 Financial instruments have been shortlisted and recommended to move NAMA proposals to the finance ready stage. After mapping of financial sources, assessment of technology options, a shortlist of financial instruments and recommendations to move NAMA proposals to the finance ready stage could be drawn.

The actions include review different financing schemes and shortlist for technology options of the sector(s). The suitable schemes will be proposed to the enterprises in the sector(s). Base on their feedback, guideline for the selected schemes will be developed.

3.4 Established institutional system for tracking, monitoring and evaluation on Climate

Finance.

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The project applies stakeholder consultation to review and propose system/ mechanism for tracking and evaluating climate finance with regards to NAMA and MRV. Based on the suggested ideas on finance MRV, assessment of the potential options will be conducted. Finally, the systems will be formulate and presented for feedback from the stakeholders.

4) Knowledge platform established to ensure flows of know-how on NAMAs among key

stakeholders of the selected sector(s). In this regard, the project aims to stimulate exchange at two levels – policy dialogue (4.1) and technical forum (4.2) on LEDS, NAMA, MAs and MRV. In addition, the project willing to ensure that project’s lessons learned (4.4) and related issues could reach wider range of beneficiaries by establish systems of communication to raise public awareness and advocacy (4.3).

4.1 A functional knowledge platform for institutional cooperation and interfaces between

related government agencies, private sector and academia on policy issues such as LEDS, NAMA, MAs and MRV will be established.3 In this regard, stakeholders will be consulted to identify most preferable platform options for institutional cooperation. Once it is in place, the project will try to ensure active participation among key policy agencies including representatives from private sector. Based on their interaction the results (policy papers) and/or its progress will be published and distributed. In addition, the project would seek to establish a mechanism to coordinate results and lessons learned from parallel initiatives, supported by other international development partners – as mentioned in Section 1.3, to consolidate the policy information and recommendations on NAMA and MRV.

4.2 Regularly organized NAMA and MRV task forces and workshops to enable exchanges among key stakeholders for NAMA implementation. Beside policy dialogue, project will either encourage stakeholders to employ their existing forum or organize forum on various issues of NAMA and MRV on regular basis. The topics can be raised according to the changes of current situation as well as to the demands from the members. The project will ensure active participation from different groups of stakeholders (by rotating roles and leadership). The results from each forum will be published and distributed to wide range of network.

4.3 Established systems for communication, public awareness and advocacy to wider audiences. In order to ensure widespread applications and maximize benefits of the project, another corresponding output is dissemination of information and publications about the achievements and lessons learned of the project to selected target groups on regularly basis. The project will establish communication systems by set up communication channels to reach specific public target groups. The systems will be tested with selected target groups and learn from their response. All activities and responses will be systematically documented.

4.4 Lessons learned from the project Implementations consolidated, and introduced for widespread applications.

The project will ensure that all learning process and results are documented systematically. Records and lessons will be kept in a well-organized, easy retrievable and accessible system. Beside this the information will regularly channelled to selected target groups. Records of information dissemination will be well kept for further analysis and improvement.

3 It is notes that one of the key policy entry points of this platform could be the recently-established sub-

committee on NAMA, under the National Climate Change Committee.

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2.2 Summary of the strategy

This project was designed to ensure readiness of Thai agencies to formulate and implement NAMAs by tackle all of the five aspects of capacity building as above mentioned by UNDP (2003):

Capacity Needs Outcome

1 Outcome

2 Outcome

3 Outcome

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1. The capacity to conceive policies, measures and strategies:

2. The capacity to implement policies, measures and strategies;

3. The capacity to work with other stakeholders;

4. The capacity to gather information and use it;

5. The capacity to monitor, evaluate and report.

The designed LECB project will enable and enhance all of these aspects, by targeting to fill the existing gaps in each of the five components of the capacity building needs—as perceived by the concerned authorities and relevant stakeholders. More details will be identified through a systematic investigation. In the design, a hand-on approach will be used. Stakeholders could work and learn to conceive strategies and carry out activities from which they could share information, knowledge and lessons learnt.

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2.3 Expected Key Results

By the end of the project the expected key results are:

GHG Inventory Management Systems: o GHG inventory systems of transport and waste sectors o Functional Institutional mechanism for GHG Inventory Data System

Practical and functional systems for development and implementation of NAMAs and MRV

o Roadmap/portfolio of NAMAs with built-in MRV systems for the selected sector(s)

including at least one industry sector.

o Structured finance schemes

o MRV of multi-source financing

o Recommendations for institutional set-up and operational system for NAMA and

MRV in Thailand

Qualified personnel/institutions

o No. of individuals/enterprises submitting their intention to participate in a NAMA proposal to the LECB focal point

o No. of individuals/enterprises factoring-in a finance and technology component to

be included in a NAMA proposal to the LECB focal point

Lessons learned from project activities in various forms of media including

o Records of exchange from the policy exchange platform

o Records of NAMA and MRV forums

o Mapping of the financial sources

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III. RESULTS AND RESOURCES FRAMEWORK

Intended Outcome as stated in the Country Programme Results and Resource Framework:

Thailand is better prepared to address climate change and environmental security issues through the enhancement of national capacity and policy readiness.

Outcome indicators as stated in the Country Programme Results and Resources Framework, including baseline and targets:

CP OUTCOME ( 2012-2016)

Indicator 1: Number of national and local (networking) platforms supported and/or strengthened.

Baseline As of 2011, there are few (networking) platforms fully operated by the Thai Government and participated by communities and stakeholders.

Target At least 3 national and local platforms developed with UNDP support by 2016.

Indicator 2: Number of climate-related policies and model actions established applied and/or replicated by national and local partners; as well as exchanged in south-south cooperation forums.

Baseline As of 2011, no strong climate-related national policies and model actions established, applied and/or replicated by national and local partners.

Target: At least 3 climate-related policies and model actions established, applied and/or replicated by 2016 with support by UNDP. At least 3 south-south exchange forums conducted addressing the three outputs and other key issues (e.g. mitigation, adaptation, environmental security, climate fiscal framework, etc.)

Applicable Key Result Area (from 2008-11 Strategic Plan): Catalysing Climate Finance

Partnership Strategy: National Implementing Modality (NIM)

Project title and ID (ATLAS Award ID): tbc

18

INTENDED OUTPUTS OUTPUT TARGETS INDICATIVE ACTIVITIES RESPONSIBLE

PARTIES

Indicative Budget

USD

Outcome 1: Strengthened institutional & procedural system for National GHG Inventory system for the transport and waste sectors.

(USD 235,400)

Baseline:

National GHG Inventory for key IPCC sectors established, with particular strength in the energy sector. However, the quality of data and the management of data system is limited, not yet systematised, particularly in the transport and waste.

Targets

Appointed focal point

Agreed system of data collection, database, data sharing and access

Agreed Reporting format

Functional Database

National GHG Inventory

System on transport

and waste

Output 1.1: Systematized GHG Inventory including data collection, data sources, data reporting, data access and sharing for the transport and waste sectors.

Activity 1.1.1 Review/assess actual data collection, database, and reporting systems to identify areas of improvement from various perspectives

Activity 1.1.2 Consult stakeholders to upgrade/enhance the information management systems including test the updated systems

Activity 1.1.3 Introduce the new systems to concerned parties

Activity 1.1.4 Follow up after introduction of the new systems

Activity 1.1.5 (if necessary) fine tuning of the systems

ONEP/TGO

and related line agencies

128,400

Indicators:

National GHG inventory system for transport and waste including data collection, construction, QC/QA, access and sharing, reporting, and upgrading is developed

Roles, responsibilities, and guideline for coordination of line agencies on National GHG inventory system are clearly defined and developed.

No. of officials in related line agencies

with capacities to develop and manage

the National GHG inventory system

Targets

Agreed Institutional coordination mechanism among concerned agencies

Agreements/guideline

on related lined

agencies coordination

and QC & QA

operations

Regular meetings/

information exchange

Output 1.2: Strengthened institutional coordination among line agencies on GHG Inventory data system for the transport and waste sectors.

Activity 1.2.1 Review actual status of institutional coordination to identify point of improvement

Activity 1.2.2 Exchange among concerned parties to seek solutions for improvement of coordination

Activity 1.2.3 Develop guideline for future coordination between concerned institutions

Activity 1.2.4 Monitor implications from application of the guidelines

ONEP/TGO


37,450

Targets

TNA results

Training Plan

Monitoring results of

trainings

Output 1.3: Improved technical capacities of line agencies on the GHG Inventory data system for the transport and waste sectors.

Activity 1.3.1 Conduct training needs assessment (TNA)

Activity 1.3.2 Develop training plan

ONEP/TGO


69,550

19

INTENDED OUTPUTS

OUTPUT TARGETS INDICATIVE ACTIVITIES

RESPONSIBLE PARTIES

Indicative Budget

USD

Activity 1.3.3 Undertake various training activities according to the TNA results

Activity 1.3.4 Follow up after training to ensure improvement of technical capacities

Outcome 2: A Portfolio of NAMA proposals and their built-in MRV systems developed for selected industrial sector(s) to provide a ‘prototype’ for replication and inputs into the formulation of LEDS

(USD 321,000)

Baseline:

Only NAMA roadmap for energy sector has

been developed, based on existing policies

and plans for mitigation actions. No NAMA

proposals from industrial sector, based on

their actual mitigation actions yet. Most of

the industrial sectors are in learning and

planning process to reduce GHG emission;

some are more advance than other for

instance cement sector.

Targets

At least one sector is ready to play active roles in the project

At least 1 established

channel to report

project progress to

industrial sector (s)

Output 2.1: Engagement of key stakeholders in selected industrial sectors prepared and agreed

Activity 2.1.1 Consult with interested parties on project ideas and involvement of the private sector

Activity 2.1.2 Provide information, knowledge, and understanding on NAMA and MRV to interested parties

Activity 2.1.3 Make collective decision on selected sector(s)

Activity 2.1.4 Organize focus group meetings with the sector representatives to develop detail action plan

Activity 2.1.5 Integrate LECB project progress into agenda of the regular meeting of the sector

ONEP/ TGO

and related Industrial

Sectors

21,400

Indicators:

Policy-ready and investment-ready

portfolio containing NAMAs and

sectoral road maps

Number of trainings, seminar/workshops conducted based on training needs assessment done on the understanding of the coordination, planning, design, implementation, and evaluation of NAMAs and MRV sectoral road maps and the participants role in its implementation

Targets

Agreed methodology on baseline, reference scenario, and projection models

Agreed baseline and target for the selected industrial sector(s)

projection model

Output 2.2: Developed NAMA baseline and target for the selected industrial sectors

Activity 2.2.1 Develop inventory, baseline scenario and projection models for selected sector(s)

Activity 2.2.2 Review country’s related strategies and plans, and consult with key stakeholders to identify potential mitigation actions and set target for the selected sector(s)

Activity 2.2.3 Facilitate collective decisions on the potential and target of the selected sector(s)

ONEP/ TGO

and related Industrial

Sectors

74,900

20


PARTIES

Indicative Budget

USD

A set of Recommendations and

guidelines on NAMA roadmap and built

in MRV, based on LECB experiences,

developed and disseminated for

replication and policy information

Targets

Agreed data collection,

data system for NAMA

template

The NAMA roadmap for

the selected sector

Output 2.3: Developed NAMA roadmap for the selected industrial sectors

Activity 2.3.1 Verify NAMA target against the national strategies/ plans

Activity 2.3.2 Consult the industries to prioritize mitigation options which suit to preference of the sectors

Activity 2.3.3 Identify and prioritize gaps and barriers to adopt the mitigation options and/or technology transfer

Activity 2.3.4 Seek incentives or solutions to overcome the barriers

ONEP/ TGO

Responsible Industrial Sector

107,000

Activity 2.3.5 Design ‘template’ for NAMA road map for the selected sector(s); this may consist of key parts on technical, finance, technology, and management

Activity 2.3.6 Consolidate and publish the roadmap for NAMA in each selected sector

Activity 2.3.7 Analyse, synthesise, and provide recommendations into a NAMA guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector(s) in the future

Targets

A complete review and Analysis on existing MRV systems

MRV manual for the

selected sector

Output 2.4: Built-in MRV systems in developed NAMA Proposals for selected industrial sectors

Activity 2.4.1 Review and assess existing MRV systems applied in the same sector of other countries or similar sectors within Thailand

Activity 2.4.2 Draft the MRV system tailor to particular sectors

Activity 2.4.3 Consults concerned parties to receive feedback on the system

Activity 2.4.4 Consolidate the MRV system for particular sectors

Activity 2.4.5 Analyse, synthesise, and provide recommendations into an MRV guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector(s) in the future

ONEP/ TGO

Responsible Industrial Sector

74,900

21


PARTIES

Indicative Budget

USD

Targets

Capacity Need Assessment results

Capacity Development Plan

Monitoring results of

training and capacity

building activities

A complete guideline

and policy

recommendation on

the formulation of a

portfolio of NAMA

proposals/ roadmaps

with built in MRVs

proposed to the

national climate change

committee

Output 2.5: Enhanced capacity of concerned parties to develop and implement NAMAs and their built-in MRV systems.

Activity 2.5.1 Identify capacity needs of concerned stakeholders

Activity 2.5.2 Organize activities to address the needs

Activity 2.5.3 Follow up/monitor performance

Activity 2.5.4 Consolidate and publish the lessons learned, consisting of (1) lessons learned on the significance of the base year in setting up the reference scenario; (2) on designing NAMA roadmap and MRV and (3) on stakeholders ‘engagement

ONEP/ TGO

Responsible Industrial

Sectors

42,800

Outcome 3: Multi-source Finance and Technology Transfer Framework formulated to support implementation of NAMAs and policies/programs in selected industrial sectors.

(USD 128,400)

Targets

Climate Finance Sources Map

Guideline for accessing

and prioritizing climate

finance to support

NAMA implementation

Output 3.1: Finance options for NAMA/MRV in selected industrial sectors and their requirements have been assessed

Activity 3.1.1 Identify potential sources

Activity 3.1.2 Assess conditions, preferences and accessibility criteria of the sources

Activity 3.1.3 Visualize NAMA finance sources in accessible format to all concerned parties

ONEP/TGO 32,100

22


PARTIES

Indicative Budget

USD

Baseline:

Climate Public Expenditure and Institutional

Review (CPEIR) was conducted in 2012,

providing overview and preliminary

indications of the sources and the flows of

climate finance in Thailand. However, there

is no specific climate finance and technology

transfer framework formulated to support

the implementation of NAMA at the national

level and in selected industrial sector.

Targets

A complete report on Technology Needs Assessment for selected industry

A complete technology

supply chain and

financial

implementation

requirements

Output 3.2: Technology supply chain and financial implementation requirements have been assessed for selected industrial sectors.

Activity 3.2.1 Assess technology needs and supply chain for selected industrial sector

Activity 3.3.2 Consult stakeholders to receive feedback

Activity 3.3.3 Develop guidelines for technology supply chain and its financing

ONEP/TGO 20,000

Indicators:

Climate finance for NAMA and technology transfer supply chain for selected industry specified

No. of companies factoring-in a finance and technology component within their submitted industrial NAMA Proposals to the LECB focal point

Targets

At least 1 company submitted a financial and technology ready NAMA proposal to LECB focal point

Guideline on Financial

Instrument for NAMAs

Output 3.3: Financial instruments have been shortlisted and recommended to move NAMA proposals to the finance ready stage.

Activity 3.3.1 Review different schemes

Activity 3.3.2 Propose suitable schemes


Activity 3.3.4 Develop guideline for the selected schemes

ONEP/TGO 50,000

A system/ institutional set-up for tracking climate finance for NAMA and MRV

Targets

Review Paper with proposed system to be tested

Proposed tracking

systems for

NAMAs/MRV financial

flows to the national

climate change

committee

Output 3.4: Established institutional system for tracking, monitoring and evaluation on Climate Finance

Activity 3.4.1 Review and propose system/ mechanism for tracking and evaluating climate finance with regards to NAMA and MRV

Activity 3.4.2 Consult stakeholders to suggest ideas on finance MRV

Activity 3.4.3 Assessment of the potential options

Activity 3.4.4 Formulate the systems and present for feedback from the stakeholders

Activity 3.4.4 Endorse the system by state agencies and representatives of stakeholders

ONEP/TGO 20,000

23


PARTIES

Indicative Budget

USD

Outcome 4: Knowledge Platform established to ensure know-how flows among key stakeholders of NAMAs in selected industrial sector(s).

(USD 107,000)

Baseline:

There are existing policy platforms, information centres, and clearing house mechanisms for exchanges of policy dialogues and information. However, none have explicitly integrated NAMA/ MRV/ climate finance issues in their set-up

Targets

Agreements between stakeholders

Recommended

institutional set-up and

coordination to support

NAMA implementation

in Thailand

Output 4.1: Policy platform for institutional cooperation on NAMAs for selected industrial sectors is functional.

Activity 4.1.1 Consult stakeholders to identify most preferable platform options for institutional cooperation

Activity 4.1.2 Ensure active participation among key policy agencies including representatives from private sector

Activity 4.1.3 Publish and distribute policy papers

ONEP/TGO 32,100

Indicators:

Regularly organized forum

Functional exchange platform(s)

Communication and outreach strategy for NAMA tested and monitored

No. of individuals/ enterprises involved

in the exchange process and the level of

capacity built (based on post-workshop

evaluation)

Targets

Numbers of forum and participants

Topics discussed and

results

Output 4.2: Regularly organized NAMA and MRV task forces and workshops to enable exchanges among key stakeholders for NAMA implementation.

Activity 4.2.1 Organize forum on various issues according to the changes of current situation as well as to the demands from the members

Activity 4.2.2 Ensure active participation from different groups of stakeholders (by rotating roles and leadership)

Activity 4.2.3 Publish and distribute results from the exchange events

ONEP/TGO 32,100

Targets

Various forms of media

and event

Media records

Output 4.3: Established systems for communication, public awareness and advocacy to wider audiences.

Activity 4.3.1 Set up communication channels to reach specific public target groups

Activity 4.3.2 Trial to communicate with selected target groups and learn from the their response

Activity 4.3.3 Regularly keep the target groups informed and reacted to the given information

Activity 4.3.4 Keep records of media coverage of the LECB Programme and related activities.

ONEP/TGO 21,400

24


PARTIES

Indicative Budget

USD

Targets

Project documentation and data collection system established

At least another sector expresses interest to develop NAMA portfolio

Output 4.4: Lessons learned from the project Implementations consolidated, and introduced for widespread applications.

Activity 4.4.1 Ensure all learning process and results are documented systematically

Activity 4.4.2 Organize system to keep all lessons learned in an easy retrievable and accessible manner

Activity 4.4.3 Regularly channel the lessons to selected target groups

Activity 4.4.4 Keep records of impact of lessons (e.g. being used/adopted by third parties).

ONEP/TGO 21,400

Monitoring and Evaluation ONEP/TGO/

UNDP

46,010

Project Management ONEP/TGO 93,090

25

IV. ANNUAL WORK PLAN

Year: 2013-2015

Outcomes/Outputs/Activities Year 1 Year 2 Budgets

(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Outcome 1

Strengthened Institutional & procedural system for National GHG Inventory system for the transport and waste sectors

235,400

Output 1.1 Systematized GHG Inventory including data collection, data sources, data reporting, data access and sharing for the transport and waste sectors

128,400

1.1.1 Review/assess data sources, actual data collection, database, and reporting systems to identify areas of improvement from various perspectives

1.1.2 Consult stakeholders to upgrade/enhance the information management systems and test the updated systems with participatory process

1.1.3 Introduce the new systems to concerned parties

1.1.4 Follow up after introduction of the new systems

1.1.5 (if necessary) fine tuning of the systems

Output 1.2 Strengthened institutional coordination among line agencies on GHG Inventory data system for the transport and waste sectors’. data system

37,450

1.2.1 Review actual status of institutional coordination to identify point of improvement

1.2.2 Exchange among concerned parties to seek solutions for improvement of coordination

1.2.3 Develop guideline for future coordination between concerned institutions

1.2.4 Monitor implication from application of the guidelines

Output 1.3 Improved technical capacities of line agencies on the GHG Inventory data system for the transport and waste sectors. 69,550

1.3.1 Conduct training needs assessment (TNA)

1.3.2 Develop training plan

1.3.3 Undertake various training activities according to the TNA

1.3.4 Follow up after training to ensure improvement of technical capacities

26


(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Outcome 2 A portfolio of NAMA proposals and their built-in MRV systems developed for selected industrial sectors. 321,000

Output 2.1 Engagement of key stakeholders in selected industrial sectors prepared and agreed 21,400

2.1.1 Consult with interested parties on project ideas and involvement of the private sector

2.1.2 Provide information, knowledge, and understanding on NAMA and MRV to interested parties

2.1.3 Make collective decision making on selected sector (s)

2.1.4 Organize focus group meetings with the sector representatives to develop detail action plan

2.1.5 Integrate LECB project progress into agenda of the regular meeting of the sector

Output 2.2 Developed NAMA baseline and target for the selected industrial sectors 74,900

2.2.1 Develop inventory , baseline scenario and projection models for selected sector(s)

2.2.2 Review country’s related strategies and plans and consult with key stakeholders to identify potential mitigation actions and set target for the selected sector (s)

2.2.3 Facilitate collective decisions on the potential and target

of the selected sector

Output 2.3 Developed NAMA roadmap for selected industrial sectors 107,000

2.3.1 Verify NAMA target against the national strategies/ plans

2.3.2 Consult the industries to prioritize mitigation options which suit to preference of the sectors

2.3.3 Identify and prioritize gaps and barriers to adopt the mitigation options and/or technology transfer

2.3.4 Seek incentives or solutions to overcome the barriers

2.3.5 Design ‘template’ for NAMA road map for the selected sector(s); this may consist of key parts on technical, finance, technology, and management

2.3.6 Consolidate and publish the roadmap for NAMA in each selected sector

2.3.7 Analyze, synthesize, and provide recommendations into a NAMA guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector (s) in the future

27


(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Output 2.4 Built-in MRV systems in developed NAMA Proposals for selected industrial sectors 74,900

2.4.1 Review and assess existing MRV systems applied in the same sector of other countries or similar sectors within Thailand

2.4.2 Draft the MRV system tailor to particular sectors

2.4.3 Consults concerned parties to receive feedback on the system

2.4.4 Consolidate the MRV system for particular sectors

2.4.5 Analyze, synthesize, and provide recommendations into an MRV guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector (s) in the future

Output 2.5 Enhanced capacity of concerned parties to develop and implement NAMAs and their built-in MRV systems. 42,800

2.5.1 Identify capacity needs of concerned stakeholders

2.5.2 Organize activities to address the needs

2.5.3 Follow up/monitor performance

2.5.4 Consolidate and publish the lessons learned

28


(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Outcome 3 Multi-source Finance and Technology Transfer Framework formulated to support implementation of NAMAs

128,400

Output 3.1 Finance options for NAMA/MRV in selected industrial sectors and their requirements have been assessed 32,100

3.1.1 Identify potential sources

3.1.2 Assess conditions, preferences and accessibility criteria of the sources

3.1.3 Visualize NAMA finance sources in accessible format to all concerned parties

Output 3.2 Technology supply chain and financial and implementation requirements have been assessed for selected industrial sectors. 21,400

3.2.1 Assess technology needs and supply chain for selected industrial sector

3.2.2 Consult stakeholders to receive feedback

3.2.3 Develop guideline

Output 3.3 Financial instruments have been shortlisted and recommended to move NAMA proposals to the finance ready stage. 53,500

3.3.1 Review different schemes

3.3.2 Propose suitable schemes

3.3.3 Consult stakeholders to receive feedback

3.3.4 Develop guideline for the selected schemes

Output 3.4 Established institutional system for tracking, monitoring and evaluation on Climate Finance. 21,400

3.4.1 Review and propose system/ mechanism for tracking and evaluating climate finance with regards to NAMA and MRV

3.4.2 Consult stakeholders to suggest ideas on finance MRV

3.4.3 Assessment of the potential options

3.4.4 Formulate the systems and present for feedback from the stakeholders

3.4.5 Endorse the system by state agencies and representatives of stakeholders

29


(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Outcome 4 Knowledge platform established to ensure know-how flow among key stakeholders of NAMAs in selected industrial sector(s).

107,000

Output 4.1 Permanent working group and periodic forums on NAMAs for selected industrial sectors have been implemented 32,100

4.1.1 Consult stakeholders to identify most preferable platform options for institutional cooperation

4.1.2 Test the different options

4.1.3 Consolidate the most appropriate policy platform by concerned parties and publish guideline on operation

Output 4.2 Regularly organized NAMA and MRV task forces and workshops to enable exchanges among key stakeholders for NAMA implementation

32,100

4.2.1 Organize forum on various issues according to the changes of current situation as well as to the demands from the members

4.2.2 Ensure active participation from different groups of stakeholders (by rotating roles and leadership)

4.2.3 Publish and distribute results from the exchange events

Output 4.3 Established systems for communication, public awareness and advocacy to wider audiences 21,400

4.3.1 Set up communication outreach strategy and system and communication channels to reach specific public target groups

4.3.2 Trial to communicate with selected target groups and learn from the their response

4.3.3 Regularly keep the target groups informed and reacted to the given information

4.3.4 Keep records of media coverage of the LECB Programme and related activities.

Output 4.4 Lessons learned from the project Implementations are consolidated, and introduced for widespread applications 21,400

4.4.1 Ensure all learning process and results are documented systematically

4.4.2 Organize system to keep all lessons learned in an easy retrievable and accessible manner

4.4.3 Regularly channel the lessons to selected target groups

4.4.4 Keep records of impact of lessons (e.g. being used/adopted by third parties).

30


(USD) Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Monitoring and Evaluation 46,010

Project Management 93,090

TOTAL Budget 930,900

31

V. BUDGET PLAN

Award ID: 00066019 Project ID(s): 00082296

Award Title: PIMS5065 Low Emission Capacity Building Programme - THA

Business Unit: THA10

Project Title: Low Emission Capacity Building (LECB) - Thailand

PIMS no. 5065

Implementing Partner and Responsible Party Office of Natural Resources and Environmental Policy and Planning (ONEP)/ Thailand Greenhouse Gas Management Organization (TGO)

Outcome/Atlas Activity Responsible Party/

Implementing Agent Fund ID

Atlas

Budgetary

Account Code

ATLAS Budget Description Amount Year 1

(USD)

Amount Year 2

(USD)

Total

(USD)

OUTCOME 1:

Strengthened institutional & procedural

system for National GHG Inventory system for

the transport and waste sectors.

ONEP/TGO

30079

71300 Local Consultant(s) 40,000 35,000 75,000

72100 Contractual services -Companies 55,000 50,000 105,000

75700 Meetings/ workshops 20,000 10,000 30,000

71600 Travel 4,000 4,000 8,000

74500 Miscellaneous 1,000 1,000 2,000

Subtotal Outcome 1 120,000 100,000 220,000

75100 Facilities & Admin 8,400 7,000 15,400

Total Outcome 1 128,400 107,000 235,400

OUTCOME 2:

A portfolio of NAMA proposals and their built-

in MRV systems developed for selected

industrial sector(s).

ONEP/ TGO

30079

71300 Local Consultant (s) 40,000 50,000 90,000

72100 Contractual services - Companies 60,000 70,000 130,000

75700 Meetings/Workshops 30,000 30,000 60,000

71600 Travel 5,000 5,000 10,000

74500 Miscellaneous 5,000 5,000 10,000



Total Outcome 2 149,800 171,200 321,000

32



Atlas

Budgetary

Account

Code


(USD)

Amount Year 2

(USD)

Total

(USD)

OUTCOME 3:

Multi-source Finance and Technology Transfer Framework formulated to support

implementation of NAMA Proposals in selected industrial sector(s).

ONEP/TGO 30079

71200 International Consultant 10,000 20,000 30,000

71300 Local Consultant 10,000 15,000 25,000


71600 Travel 5,000 5,000 10,000

75700 Meetings/ Workshops 5,000 15,000 20,000



Total Outcome 3 53,500 74,900 128,400

OUTCOME 4:

Knowledge Platform established to ensure

know-how flows among key stakeholders of

NAMAs in selected industrial sector(s)

ONEP/TGO 30079

71300 Local Consultant (s) 10,000 10,000 20,000


75700 Meetings/Workshops 20,000 20,000 40,000

74200 Audio Visual & Print production Costs 10,000 10,000 20,000



Total Outcome 4 53,500 53,500 107,000

OUTCOME 5:

Monitoring and Evaluation

ONEP/TGO/UNDP

30079

71300 Local Consultant - 20,000 20,000


71600 Travel 3,000 3,000 6,000

74100

Professional Services

(Audit, Micro assessment) 3,000 6,000 9,000

74500 Miscellaneous Expenses 2,000 2,000 4,000


75100 Facilities & Admin 700 2,310 3,010

Total M&E 10,700 35,310 46,010

33



Atlas

Budgetary

Account

Code


(USD)

Amount Year 2

(USD)

Total

(USD)

Project Management ONEP/TGO 30079

71300 Local Consultants 30,000 30,000 60,000

72200 Equipment and Furniture 4,500 2,500 7,000

72500 Supplies 5,000 2,500 7,500

72800 Information Technology Equipment 2,000 0 2,000

71600 Travel 3,500 3,000 6,500

74500 Miscellaneous Expenses 1,000 1,000 2,000


Total Project Management 47,000 40,000 87,000


Total Management 50,290 42,800 93,090

PROJECT TOTAL 446,190 484,710 930,900

Summary of Budget:

BUDGET CLASSIFIED BY OUTCOME AMOUNT YEAR 1 (USD) AMOUNT YEAR 2 (USD) TOTAL (USD)

Outcome 1 Strengthened institutional & procedural system for National GHG Inventory system for the transport and waste sectors.

128,400 107,000 235,400

Outcome 2 A Portfolio of NAMA Proposals and their built-in MRV systems developed for selected industrial sector(s).

149,800 171,200 321,000

Outcome 3 Multi-source Finance and Technology Transfer Framework formulated to support implementation of NAMAs and policies/programs in selected industrial sector(s).

53,500 74,900 128,400

Outcome 4 Knowledge Platform established to ensure know-how flow among key stakeholders of NAMAs in selected industrial sector(s)

53,500 53,500 107,000

Monitoring and Evaluation 10,700 35,310 46,010

project management 50,290 42,800 93,090

TOTAL 446,190 484,710 930,900

34

VI. MANAGEMENT ARRANGEMENTS

The project is designed to be implemented in parallel and in complementarity with the UNDP-GEF supported Third National Communication and Biennial Update Report (hereafter TNC-BUR). The rationale of streamlining the management arrangement of the two projects is as follows:

The two projects are executed under ONEP as the implementing partner;

The outcomes of the two projects are closely linked especially with regards to national greenhouse gas inventory and on mitigation actions;

The implementation timeframe and steps are in tandem. Both are expected to start the implementation in Q1/ 2013. LECB will be implemented in 2013-2015; while TNC-BUR in 2013-2017.

With the above rationale, the two projects will have a joint-management structure, with a joint project board and a joint management structure will ensure the synergy, coherence, and consolidated impacts. The LECB Cluster will be led by TGO, while ONEP will lead the TNC-BUR Cluster. Each cluster will be provided with a project coordinator to support the work of PMU. These two projects will also be linked to UNDP’s partnership with the Royal Thai Government on Climate Finance under the current Country Programme Document (2012-2016). They will be both reported to the National Climate Change Committee (NCCC) as the policy channel.

The following figure presents the institutional management structure for project implementation.

6.1 Project Organizational Structure

Management Unit

Director (in-kind) Manager

Admin & Finance

Project Board

Senior Beneficiary

Representatives from

agencies in NCCC and

Industrial Sectors

Executive

ONEP Secretary General

Senior Supplier

ONEP and TGO

Technical Advisory

Committee

National Climate Change Committee

TNC + BUR Component led by ONEPProject Coordinator

Project Assurance

UNDP

National GHG Inventory + BUR

Mitigation Actions + BUR

Selected GHG Inventory

NAMA +MRV Roadmap for Pilot Industrial Sector to provide inputs into Sectoral LEDS

V&A

Capacity Building / Knowledge Platforms

Clim

ate

Fin

ance

Init

iati

ve Clim

ate Finan

ce Initiative

LECB Component Led by TGOProject Coordinator

Climate Finance and Technology Transfer

35

6.2 Roles and Responsibilities of Key Parties

(A) Implementing Partner:

Following the programming guidelines for national implementation (NIM) of UNDP-supported projects, ONEP, will sign the project document with UNDP, together with TGO as the responsible party. The implementing partner shall be accountable for the disbursement of funds and the achievement of the project objective and outcomes, according to the approved work plan. In particular, ONEP, as the Implementing Partner (IP), will be responsible for the following functions: (i) coordinating activities to ensure the delivery of agreed outcomes and ensure the synergy between LECB and TNC-BUR projects; (ii) certifying expenditures in line with approved budgets and work-plans; (iii) facilitating, monitoring and reporting on the procurement of inputs and delivery of outputs; (iv) coordinating interventions financed by UNDP with other parallel interventions; (v) preparation of Terms of Reference for consultants and approval of tender documents for sub-contracted inputs; and (vi) reporting to UNDP on project delivery and impacts.

(B) Responsible Party:

TGO will be the responsible party to lead the implementation of the LECB Cluster. A responsible party is defined as an entity that has been selected to act on behalf of the Implementing Partner and is directly accountable to the Implementing Partner in accordance with the terms of their agreement with the Implementing Partner. In close coordination with the ONEP, TGO will undertake the engagement of consultants, project coordinators, and other goods and services required to ensure the effective and timely delivery of the agreed outcomes under LECB. TGO will also be responsible to deliver the project progress and financial reports to ONEP, in accordance with UNDP requirements.

(C) Key Stakeholders

C.1 Private Sector:

The Federation of Thai Industry (FTI)

FTI is a private sector organisation that brings together industrial leaders to promote Thailand's socio-economic development. The main objectives of FTI are to represent Thai manufacturers at both national and international levels, to help promote and develop industrial enterprises, to work with the government in setting up national policies, and to offer consulting services to members.

FTI is a full-service organization that cooperates with the government to help mobilize Thai industries to reach international markets. It acts as a "matchmaker" between foreign industrialists and Thai resources which combine the financial strength, planning ability, and persuasive power of Thailand's industrialists.

In this project FTI serve as one of the platform to connect between concerned government agencies and groups of enterprise in different sectors, and will also become part of information channel on project activities and lessons learned.

The Joint Standing Committee of Commerce, Industry, and Banking (JSCCIB)

The Joint Standing Committee of Commerce, Industry, and Banking composed of 3 parties including the Federation of Thai Industry, the Thai Chamber of Commerce, and the Thai Bank Association. It was established since 1977 with the aims to become: 1) a centre point of coordination among private sector in trade promotion, industrial production, and financial of Thailand; 2) a focal point of private sector to interface with Thai government. The JSCCIB represents interest of private sector to cooperate and/or negotiate with Thai government in economic development policies and its implementation.


http://en.wikipedia.org/wiki/Matchmaking

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In this project, as their mandate, the JSCCIB will play active roles to mediate and coordinate between private sector and concerned government agencies – starting from disseminates project information, invites interested sector to join the project, and ensure smooth cooperation between parties.

C.2 Government Agencies:

The National Economic and Social Development Board of Thailand (NESDB)

NESDB is a key agency on planning and formulation of development strategies based on balanced and sustainable development, public participation, and flexibility meeting the changing environment and needs of the Thai people. It was established under the Prime Minister’s Office since 1950.

The key functions of NESDB for instance: 1) to formulate the National Economic and Social Development Plan and translate it into action within a 5-year timeframe; 2) to formulate strategies for key government policies and major development projects; and 3) Make 4 National Agendas: 1. Alleviation of Poverty and Income Distribution problems, 2. Enhancing Thailand’s Competitiveness, 3. Promoting Social Capital Development, and 4. Promoting Sustainable Development.

In this context the NESDB will play supporting roles especially on implementation of low emission economic development policy and taking lessons learned to further develop of the national policies and plans.

The Pollution Control Department (PCD)

PCD was established as an implementing arm of the Ministry of Natural Resources and Environment (MONRE). The mission of PCD is to control, prevent, reduce and eliminate pollution and to conserve and rehabilitate the environment conducive for human life. PCD’s Head Quarter in Bangkok leads operation of 16 Regional Environment Offices across the country.

PCD become stakeholder of the project due to its mandate and willingness to support private sector to implement the 5-year Environmental Quality Management Plans as well as its direct responsibility in controlling solid and hazardous waste which is one of the targeted sector for GHG inventory system.

Department of Local Administration (DOLA)

DOLA operates under the Ministry of Interior and is responsible for developing policies related to the system and structure of local government organisations. They promote public participation in administration and assess the operation of local government organisations. This Department monitors the Key Performance Indicators and governs the functions of the PAO and the TAO, as well as channels the budget allocation from the Decentralization Committee to the local government organizations.

The involvement of DOLA will be essential for improving the data collection for the National GHG inventory of the Waste Sector, under the responsibilities of the local government organisations.

The Department of Environmental Quality Promotion (DEQP)

DEQP is another implementing arm of the MONRE responsible mainly on: 1) support public participation in environmental protection and balance utilization of biological variety and natural resources; 2) coordinate and formulate plan and measure in order to promote and disseminate the protection of national resources and environment; and 3) develop and promote the use of environmental databases and act as the national environmental information centre.


http://en.wikipedia.org/wiki/Sustainable_development

http://en.wikipedia.org/wiki/Public_participation

http://en.wikipedia.org/wiki/Thai_people

http://en.wikipedia.org/wiki/Government_policies

http://en.wikipedia.org/wiki/Poverty

http://en.wikipedia.org/wiki/Income_Distribution

http://en.wikipedia.org/wiki/Competitiveness

http://en.wikipedia.org/wiki/Social_Capital

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DEQP developed its 5-year plan to promote sustainable production and consumption and is willing to take part as stakeholders in the project to support private sector implementing measures of the Plan.

Department of Alternative Energy Development and Efficiency (DEDE)

DEDE was established under the Ministry of Energy. The DEDE mission is (1) to support and promote the clean energy production and consumption that is consistent with the situation of each area at cost effective and sustainable, (2) to develop the clean energy technology commercially for both domestic consumption and export, and (3) to create the co-operation network that will lead Thailand to an energy knowledge-based society.

The main responsibilities include: 1) energy efficiency promotion, energy conservation regulation, energy sources provision, alternative development of integrated energy uses, energy technology dissemination in systematic and continuous proceeding to adequately respond the demand from every sector at optimal costs beneficial to the country development and the people better living standard; 2) regulation, supervision, promotion and assistance provision to the designated factories and buildings to comply with laws and regulations for efficient use of energy and savings.

In this project, DEDE will take part to support initiative of private sector with regards to abve mentioned duties and responsibilities.

Office of Transport and Traffic Policy and Planning (OTP)

OTP, established in 2002, is the policy and planning unit of the Ministry of Transport. The main mission is (1) to formulate and implement policy and plans for land, water, and air transport and traffic system, (2) set measures and standards related to land traffic system, (3) promote safety and suitable environment for transport system, (4) produce status reports on transport and traffic in respect of safety, environment, and economy, and (5) develop database and information system related to transport and traffic.

OTP becomes stakeholder of the project due to its main responsibility in transport sector which is one of the selected sectors for GHG inventory system.

6.3 Project Management Arrangement: Designated Functions

(A) Project Board (PB) shall be established at project inception. It will chaired by ONEP Secretary General. The proposed composition includes representatives from line agencies sitting in the National Climate Change Committee, including representatives from the private sector (e.g. the Federation of Thai Industry, and the Board of Trade, as well as representatives from the selected industrial sectors). It shall meet at least twice a year, to approve the annual work plans and annual progress reports. It will provide overall guidance for the LECB and TNC-BUR Projects, throughout implementation. The project board will be responsible for making management decisions for the project in particular when guidance is required by the Project Management Unit. The Project Board plays a critical role in project monitoring and evaluations by quality assuring these processes and products, and using evaluations for performance improvement, accountability and learning. It ensures that required resources are committed and arbitrates on any conflicts within the project or negotiates a solution to any problems with external bodies. In addition, it approves the responsibilities of the Project Management Unit and any delegation of its Project Assurance responsibilities. Based on the approved Annual Work Plan, the Project Board can also consider and approve the quarterly plans (if applicable) and also approve any essential deviations from the original plans.4

4 See further details in Appendix B

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The project board’s decisions will be made in accordance to standards that shall ensure management for development results, best value money, fairness, integrity, transparency and effective international competition. In case consensus cannot be reached within the Board, the final decision shall rest with the UNDP Environment Project Manager.

(B) Project Management Unit (PMU) will be in charge of overall project administration and coordination with relevant organizations, under the overall guidance of the Project Board for LECB and TNC-BUR Projects. The Project Director will be ONEP official assigned as an in-kind contribution to be the focal point to provide overall guidance to the Project Management Unit members who will be hired under the project budget.5 The PMU will consist of a Project Manager, Project Coordinators, and a Project Administrative and Finance Assistant. The unit is responsible for overall management, monitoring, and coordination of Project implementation according to UNDP rules on managing projects. Specifically, its responsibilities include: (i) ensuring professional and timely implementation of the activities and delivery of the reports and other outputs identified in the project document; (ii) coordination and supervision of the activities outlined in the project document; (iii) contracting of and contract administration for qualified local and international experts who meet the formal requirements of UNDP; (iv) management and responsibility of all financial administration to realize the targets envisioned ; (v) facilitating communication and networking among key stakeholders at the national level; (vi) organizing the meetings of the PB; (vii) review and approval of work and financial plans of implementing partners; (viii) monitor and support the activities of the implementing partners. (C) Project Manager will be responsible for the administrative, financial and technical coordination of the project and report progress. S/he shall have the authority to run the project on a day to day basis in support of the Project Director, within the constraints laid down by the Project Board. The Project Manager’s prime responsibility is to ensure that the project produces the results specified in the project document, to the required standard of quality and within the specified time and cost. The project manager will also coordinate directly with UNDP Environment Unit Manager and responsible programme officer, who will subsequently report to the LECB Global Support Programme. In support of the Project Director, the Project Manager will take charge of the overall management of both LECB and TNC-BUR project.6

(D) Project Administrative and Finance Assistant will support the project management unit to provide logistic support and administrative functions to ensure smooth implementation of the programme. The project’s admin and finance assistance will be responsible especially for financial reporting on a quarterly and annual basis, and in case of needs, according to the government and UNDP requirements, for both LECB and TNC –BUR Projects.7 (E) LECB Project Coordinator will work in support and under the direct supervision of TGO – who is the responsible party and lead the LECB activities. The LECB project coordinator will also report to the project director and project manager, and work in close coordination with the TNC-BUR Project Coordinator.8 (F) Technical Advisory Group (TAG) will provide technical guidance to the projects and comprise a flexible network of national and international experts working on specific ad-hoc assignments. TAG members may be invited from Government departments, private sector representatives, national and international consultants, universities and colleges, research and development institutes.

(G) Project Assurance function will be performed by UNDP Thailand and LECB Global Support Programme. The function supports the Project Board by carrying out objective and independent





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project oversight and monitoring functions. The role ensures appropriate project management milestones are managed and completed. Project Assurance has to be independent of the Project Manager; therefore the Project Board cannot delegate any of its assurance responsibilities to the Project Director or the Project Manager. UNDP will be responsible for Project oversight, ensuring milestones are achieved. It will undertake financial and technical monitoring, as part of its oversight functions. In addition, UNDP will be responsible for: (i) coordinating with UN Country Team in Thailand with a view to mainstreaming in their interventions at the country level and funding as appropriate; (ii) establishing an effective networking between project stakeholders, specialized international organizations and the donor community; (iii) facilitating networking among the country-wide stakeholders and south-south exchanges among LECB countries.

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6.4 Technical Consultants Position/Specialties Major Roles and Responsibilities

1. Inventory Specialist for Transport Sector

Leading in assessment of inventory and develop new systems for Transport Sector

2. Inventory Specialist for Waste Sector

Leading in assessment of inventory and develop new systems for Waste Sector

3. NAMAs Development Specialist Leading in development of NAMA roadmap/prototype/

portfolio for the selected sector(s)

4. MRV Development Specialist Leading in development MRV tailor to NAMAs of the

selected sector

5. Capacity Building Specialist

Leading in assessment training needs and capacity needs of concerned parties in development and implementation of NAMAs and MRV.

Develop training and capacity building plan for the project.

6. Communications and Knowledge Management Specialist

Leading in knowledge management of the lessons learned and communication within concerned parties as well as with the wider stakeholders

7. NAMAs’ Finance Specialist Leading in mapping of NAMAs’ financial sources

8. Financial MRV Specialist Leading in systematic management of NAMA finance and

finance MRV

9. Climate Policy Advisor Leading in policy analysis, formulation and strategic

advocacy of NAMAs’ related policies

10. Multi-stakeholder Consultation Process Specialist

Leading in designing of multi-stakeholder process; as well as moderation/facilitation of collective decision-making and exchange events

VII. MONITORING AND EVALUATION FRAMEWORK

In accordance with the programming policies and procedures outlined in the UNDP User Guide, the project will be monitored through the following:

7.1 Within the annual cycle

On a quarterly basis, a quality assessment shall record progress towards the completion of key results, based on quality criteria and methods captured in the Quality Management table below.

An Issue Log shall be activated in Atlas and updated by the Project Manager to facilitate tracking and resolution of potential problems or requests for change.

Based on the initial risk analysis submitted (see annex 1), a risk log shall be activated in Atlas and regularly updated by reviewing the external environment that may affect the project implementation.

Based on the above information recorded in Atlas, a Project Progress Reports (PPR) shall be submitted by the Project Manager to the Project Board through Project Assurance, using the standard report format available in the Executive Snapshot.

A project Lesson-learned log shall be activated and regularly updated to ensure on-going learning and adaptation within the organization, and to facilitate the preparation of the Lessons-learned Report at the end of the project

A Monitoring Schedule Plan shall be activated in Atlas and updated to track key management actions/events

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7.2 Annually

Annual Review Report. An Annual Review Report shall be prepared by the Project Manager and shared with the Project Board and the Outcome Board. As minimum requirement, the Annual Review Report shall consist of the Atlas standard format for the QPR covering the whole year with updated information for each above element of the QPR as well as a summary of results achieved against pre-defined annual targets at the output level.

Annual Project Review. Based on the above report, an annual project review shall be conducted during the fourth quarter of the year or soon after, to assess the performance of the project and appraise the Annual Work Plan (AWP) for the following year. In the last year, this review will be a final assessment. This review is driven by the Project Board and may involve other stakeholders as required. It shall focus on the extent to which progress is being made towards outputs, and that these remain aligned to appropriate outcomes.

7.3 Micro Assessment, Audit, and External Evaluation

A micro assessment will be conducted at the beginning of the project implementation to assess the internal control framework of the implementing partner, before the first project’s cash advance will be disbursed. The micro assessment will be conducted by a Third Party.

The project will also be subject to at least one external management audit in accordance with established UNDP regulations.

The project will also be subject to at least one independent evaluation, i.e. the final evaluation, to be conducted by an external team to assess progress on outputs/outcomes.

Apart from the external audit mentioned above, the project is also subject to internal UNDP Office spot checks/audits.

7.4 Project Inception

A Project Inception Workshop will be held within the first 3 months of project start-up with those with assigned roles in the project organization structure, the UNDP CO and, where appropriate/feasible, regional technical policy and programme advisors, as well as other stakeholders. The Inception Workshop is crucial for building ownership regarding the project results and to prepare the Year 1 Annual Work Plan. The Inception Workshop will address a number of key issues including:

a) Assist all partners to fully understand and take ownership of the project. Discuss the roles, functions, and responsibilities within the project's decision-making structures, including reporting and communication lines, and conflict resolution mechanisms. The Terms of Reference for project staff can be discussed again as needed.

b) Based on the Project Results Framework, finalize the Year 1 Annual Work Plan, review and agree on the indicators, targets and their means of verification, and recheck assumptions and risks.

c) Provide a detailed overview of reporting, monitoring and evaluation requirements. The M&E work plan and budget should be agreed and scheduled.

d) Discuss financial reporting procedures and obligations. e) Plan and schedule PB meetings. Roles and responsibilities of all project organization

structures should be clarified and meetings planned. The first PB meeting should be held within the first 12 months following the Inception Workshop.

An Inception Workshop Report is a key reference document and will be prepared and shared with participants to formalize various agreements and plans decided during the meeting. It should be considered a key deliverable of the project.

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7.5 Learning and Knowledge Sharing

As noted earlier, it will be important to have effective coordination mechanisms and synergistic approaches between the LECB project and other similar and complementary initiatives, such as LEDS and Third National Communication, through regular meetings among the respective project working groups in the planned dialogue platforms. Additionally, close coordination among the UNDP, USAID, EU, BMU-GIZ and other partners will be undertaken particularly on the NAMA expectations in the course of project implementation. This coordination will ensure that a coherence framework or methodological approach to develop the NAMAs is used across the sectors covered under the two initiatives.

Furthermore, potential linkages and synergies between the Public and Private sectors will identify opportunities for public-private partnerships to address key climate change priorities under the project in a coordinated manner. In this context, the country will be able to identify the most suitable options to engage the private sector in the formulation and implementation of the project and its activities.

Results from the project will be disseminated within and beyond the project intervention zone through existing information sharing networks and forums at the sub-national, national, regional, and global levels. The national management unit will work closely with the Programme’s Global Support Component in this context.

The project team will also identify and participate, as relevant and appropriate, in scientific, policy-based and/or any other networks, which may be of benefit to project implementation through lessons learned.

The project will identify, analyze, and share lessons learned that might be beneficial in the design and implementation of similar future projects. There will be a two-way flow of information between this project and other projects of a similar focus, supported by the Programme’s Global Support Unit.

7.6 At project completion

The project’s Terminal or Project Completion Report (PCR) that will sum up the level of the project’s accomplishments in meeting its objectives, outcomes and outputs. The PCR will also highlight the breakthroughs and innovative contributions of the project in the field of coordination system development which are worth replicating in similar projects to be undertaken in other countries. It will also set out the strategies to efficiently managing resources.

Results from the Project will be disseminated within and beyond the Project intervention through information sharing networks and/or through publications. For publications, proper acknowledgement to UNDP and programme donors for providing funding will be ensured.

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7.7 M&E Work Plan

Type of M&E activity Responsible Parties Time frame

Inception Workshop and Report Project Manager ONEP/TGO UNDP

Within first 3 months of project start up

Quarterly report on output and implementation

Project Manager Project team/ONEP/TGO

Quarterly

Periodic status/ progress reports Project Manager and team ONEP/TGO

Every six months

Project Terminal Report Project Manager and team ONEP/TGO

At least three months before the end of the project

Project Final Evaluation Third Party Assessment Team

At least three months before the end of the project

Micro Assessment and Audit Third Party Assessment Team

At the beginning of the project (Micro Assessment)

Once the project expenditures reaches USD 300,000 (audit)

VIII. LEGAL CONTEXT

The Royal Thai Government and the United Nations Special Funds have entered into the Agreement to govern assistance from the Special Fund to Thailand, which was signed by both parties on 04 June 1960. Pending the finalization of the Standard Basic Assistance Agreement (SBAA) between UNDP and the Government, the Agreement will govern the technical assistance provided by UNDP Thailand under the Country Programme Document (2012-2016). Under the UNDP-funded programmes and projects, the responsibility for the safety and security of the implementing partner and its personnel and property, and of UNDP’s property in the implementing partner’s custody, rests with the implementing partner in accordance with the aforementioned Agreement between the UN Special Fund and the Government of Thailand concerning Assistance from the Special Fund 1960. The implementing partner shall: a) put in place an appropriate security plan and maintain the security plan, taking into account the

security situation in the country where the Programme is being carried;

b) assume all risks and liabilities related to the implementing partner’s security, and the full implementation of the security plan.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this agreement. The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant to the Programme Document are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or sub-agreements entered into under this Programme Document.

http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm

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IX. ANNEXES

Annex A: Technical Components of the Project Proposal

The goal of this project is to enhance capacity and readiness of Thai agencies to formulate and implement Nationally Appropriate Mitigation Actions (NAMAs) to ensure that Thailand is better prepared to address climate and environmental security issues.

The proposed project outcomes, which are described further below, are:

Outcome 1: Strengthened Institutional & procedural system for National GHG Inventory system for the transport and waste sectors.

Outcome 2: A portfolio of NAMA proposals and their built-in MRV systems developed for selected industrial sectors.

Outcome 3: Multi-source Finance and Technology Transfer Frameworks formulated to support implementation of NAMAs

Outcome 4: Knowledge platform to ensure flows of know-how among key stakeholders of NAMAs in selected industrial sectors

9.1 Detailed descriptions Outcome 1: Strengthened Institutional & procedural system for National GHG

Inventory system for the transport and waste sectors.

The National GHG Inventory for key IPCC sectors has been established, with particular focus on the energy sector. However, the quality of data and the management of data system lacked of harmonization, particularly in the transport and waste sectors, which share significant levels of emissions due to its rapid growth.

Strengthened institutional system of GHG inventory means to ensure that institutional framework developed by the MONRE is functional, where TGO leads the QC process in concert with ONEP who leads the QA process. Meanwhile, strengthened procedural system of GHG inventory means improve efficiency and effectiveness of the system management as well as ensure integration of data collection and processing of line agencies from concerned ministries.

Three 3 major areas of improvement identified by stakeholders as outputs involving (a) the GHG inventory system itself, (b) the coordination of line agencies, and (c) technical capacities of the personnel/institutions engaged in the sectors.

Output 1.1 Systematized GHG Inventory including data collection, data sources, data

reporting, data access and sharing for the transport and waste sectors.

GHG Inventory of the transport and waste sectors will be systematized (including

data collection, data sources, data reporting, data access and sharing) by

reviewing existing sources, practices and inventory results, by consulting

stakeholders to upgrade/improve systems and practices.

Activity 1.1.1 Review/assess actual data collection, database, and reporting

systems to identify areas of improvement from various perspectives by participation of stakeholders.

Activity 1.1.2 Consult stakeholders to upgrade/enhance the information management systems and test the updated systems with participatory process

Activity 1.1.3 Introduce the improved systems to concerned parties

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Activity 1.1.4 Follow up on data quality and system management after introduction of the new/improved systems

Activity 1.1.5 (if necessary) Fine-tuning systems

Output 1.2 Strengthened institutional coordination among line agencies on GHG Inventory

data system for the transport and waste sectors.

Institutional coordination among line agencies on GHG Inventory data system for

the transport and waste sectors’ data system will be strengthened by regularly

updating the actual status of institutional coordination, consult concerned parties

to seek improvement, and develop guidelines for data collection and information

management practices and for monitoring.

Activity 1.2.1 Review actual status of institutional coordination to identify point of

improvement

Activity 1.2.2 Exchange among concerned parties and identify practices to improve-- coordination

Activity 1.2.3 Develop guideline for future coordination between concerned institutions

Activity 1.2.4 Monitor compliance with application of the guidelines

Output 1.3 Improved technical capacities of line agencies on the GHG Inventory data system for the transport and waste sectors.

Technical capacities of line agencies on the GHG Inventory data system for

transport and waste sectors will be improved based on the assessment of the

training needs. The training plan and execution will address identified gaps. The

training process and performance of institutions after the training will be monitored

to ensure improvement of capacity.

Activity 1.3.1 Conduct training needs assessment (TNA)

Activity 1.3.2 Develop training plan

Activity 1.3.3 Undertake various training activities of line agencies’ personnel according to the TNA results

Activity 1.3.4 Follow-up and coaching after training to ensure improvement of technical capacities

Challenge: Clarify and communicate leadership of all three activities making line agencies

personnel commit to hand in and process data timely, random checks to assure data quality and coaching needs might be sensitive and should therefore be handled with care.

Outcome 2: A portfolio of NAMA proposals and their built-in MRV systems

developed for selected industrial sectors.

Portfolio is a set of NAMA proposals that follow a pre-defined appetite for risk, geographical, technological and sectoral prioritization. By proposals we mean solid documents quantifying costs, benefits, GHG reductions, financial structure, technology package, calendar, institutional and managerial arrangements and implementation assumptions. One of the proposals (part of the portfolio) can readily become a prototype or a pilot to provide lessons and insights, guidance about the implementation challenges. To develop a portfolio the project is designed to work in 5 areas (outputs) including: (a) select 1-2 industrial sector(s); (b) develop NAMA base line and target for the selected sector(s); (c) develop

46

NAMA roadmap; (d) building MRV systems; and (e) enhance capacity of individuals/institutions concerned to be able to develop and operate the NAMAs and MRV. The stakeholders proposed to include orientation of the project and sector selection as part of project activities, which are planned to be organized within the first half of the year one. In this outcome, the linkage between sectoral NAMA and national NAMA will receive considerable attention. Activities in outcome 2 will demonstrate how private can help strengthen understanding of the overall picture of national NAMA. Output 2.1 Engagement of key stakeholders in selected industrial sectors prepared and

agreed

Selection of the industrial sector will be the first step, as activities in outcome 2 will showcase the role of the private sector within selected NAMAs. The stakeholders’ consultation process will begin with an orientation workshop. In this workshop stakeholders will develop a set of criteria for sector selection which may include sizable GHGs reductions, cost-effectiveness, readiness and feasibility of participating firms and sector, opportunities for technology transfer and needs for capacity building. After the sector was selected by collective decisions, a focus group meeting will follow to develop an action plan towards building a portfolio and developing capacity of concerned parties. To ensure co-ownership and active participation, LECB project progress will be reported in regular meetings of the particular sector(s).

Activity 2.1.1 Consult with interested parties on project ideas and involvement of the private sector

Activity 2.1.2 Provide information, knowledge, and understanding on NAMA and MRV to interested parties

Activity 2.1.3 Make collective decision on selected sector(s)

(A set of criteria for sector selection may include sizable GHGs reductions, cost-effective, readiness and feasible of participating firms and sector, opportunities for technology transfer and needs for capacity building.)

Activity 2.1.4 Organize focus group meetings with the sector representatives to develop detail action plan

Activity 2.1.5 Integrate LECB project progress into agenda of the regular meeting of the sector

Output 2.2 Developed NAMA baseline and target for the selected industrial sectors.

NAMA baseline and targets for the selected industrial sectors will be developed by participative discussions with the representatives of the selected sector to address the Thai approach to NAMAs and specific national criteria for portfolio development, scale (nationals vs sectoral vs cross-sectoral value chains). Activities to achieve this output include: develop inventory, baseline scenario and projection models for the selected sector(s); review country relate strategies and plans, and consult with stakeholders to identify potentials mitigation actions and set target for the selected sector(s).

Activity 2.2.1 Develop inventory, baseline scenario and projection models for selected sector(s)

Activity 2.2.2 Review country’s related strategies and plans, and consult with key stakeholders to identify potential mitigation actions and set target for the selected sector(s)

Activity 2.2.3 Facilitate collective decisions on the potential and target of the selected sector(s)

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Output 2.3 Developed NAMA roadmap for the selected industrial sectors

The roadmap for NAMAs of the selected industrial sector(s) will be developed in a participatory manner between state agencies and the private sector. The road map development process will begin with verified NAMA target against the national strategies/plans and will be followed by consulting the industries to prioritize mitigation options that suit to preference of the particular sector(s). Gaps and barriers to adopt the mitigation options and/or technology transfer will be identified and prioritized and finally seek incentives or solutions defined to overcome the barriers. ‘Template’ for NAMA road map for the selected sector(s) will be designed in correspondence to specific conditions of the sector(s) referring to finance, technology, and management. Once it consolidated, the roadmap for NAMA in each selected sector will be published. In consequence, technical expert(s) will be employed to analyse, synthesise, and provide recommendations for a NAMA guideline which can be replicated in other sectors, and to provide inputs for the formulation of Low Emission Development Strategy of the selected sector(s) in the future.

Activity 2.3.1 Verify NAMA target against the national strategies/ plans

Activity 2.3.2 Consult the industries to prioritize mitigation options which suit to preference of the sectors

Activity 2.3.3 Identify and prioritize gaps and barriers to adopt the mitigation options and/or technology transfer

Activity 2.3.4 Seek incentives or solutions to overcome the barriers

Activity 2.3.5 Design ‘template’ for NAMA road map for the selected sector(s); this may consist of key parts on technical, finance, technology, and management

Activity 2.3.6 Consolidate and publish the roadmap for NAMA in each selected sector

Activity 2.3.7 Analyze, synthesize, and provide recommendations into a NAMA guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector(s) in the future

Output 2.4 Built-in MRV systems in developed NAMAs for selected industrial sectors The development process of MRV systems will begin with review and assess

existing MRV systems applied in the same sector of other countries or similar sectors within Thailand. An expert will be employed to draft the MRV system adjust it to particular sector(s) and receive feedback from concerned parties and consolidate the systems. Together with stakeholders the recommendations will be provided into a MRV guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the selected sector(s) in the future.

Activity 2.4.1 Review and assess existing MRV systems applied in the same sector of other countries or similar sectors within Thailand

Activity 2.4.2 Draft the MRV system tailor to particular sectors

Activity 2.4.3 Consults concerned parties to receive feedback on the system

Activity 2.4.4 Consolidate the MRV system for particular sectors

Activity 2.4.5 Analyse, synthesise, and provide recommendations into an MRV guideline for replication in other sectors, and to provide inputs into the formulation of Low Emission Development Strategy of the

48

selected sector(s) in the future

Output 2.5 Enhanced capacity of concerned parties to develop and implement NAMAs and their built-in MRV systems.

In parallel, capacities of personnel and institutions of the selected sectors will be

enhanced along the development process of NAMAs and the MRV systems to ensure the implementation. It could be considered as a kind of on-the-job training or learning by doing approach.

The process include identify capacity needs of concerned stakeholders (individuals and institutions), such as organize activities to directly involve target groups in the above activities, and follow up/monitor performance. Lessons learned from all efforts along portfolio development - such as (1) significance of the base year in setting up the reference scenario, (2) on designing NAMA - will systematically recorded, consolidated and published.

Activity 2.5.1 Identify capacity needs of concerned stakeholders

Activity 2.5.2 Organize activities to address the needs

Activity 2.5.3 Follow up/monitor performance

Activity 2.5.4 Consolidate and publish the lessons learned, consisting of (1) lessons learned on the significance of the base year in setting up the reference scenario; (2) on designing NAMA roadmap and MRV and (3) on stakeholders ‘engagement

Outcome 3: Multi-source Finance and Technology Transfer Frameworks formulated to

support implementation of NAMAs

In line with development of NAMA and MRV systems of the selected sector(s), the Framework of Multi-source Finance and Technology Transfer will be formulated. The formulation process include: the assessment of financial sources and financial options for NAMA/MRV in selected industrial sector(s); assessment of requirements of technology supply chains and implementation; shortlist of financial instruments and recommendations to move NAMA proposals to the finance ready stage. The last output is to ensure that MRV systems for NAMAs are complimented by a financial flows and budget planning/expenditure systems for mitigation in selected industrials sectors. The LECB project will create capacities in industrial stakeholders. A way to measure the effectiveness of this capacity building work is to look at the proposals that companies may submit to the LECB focal point (or whoever the Government designates). More than just ideas or qualitative proposals, the project expects to deliver proposals (that will become part of the Thai Industrial portfolio after being screened and filtered by the Government) that will be feasible to secure finance, technology supply chain and an adequate engagement of relevant stakeholders (companies, vendors, clients, Government institutions, etc.) Output 3.1 Finance options for NAMA/MRV in selected industrial sectors and their

requirements have been assessed

Financial flows methodology will be employed to assess financial sources and

financial options for NAMA/MRV in selected industrial sector(s) as well as the

linkages to the CPEIR and UNDP investment.

Starting with mapping of NAMA financial sources, identify potential sources and assess conditions, preferences and accessibility criteria and visualize it to all concerned parties.

49

Activity 3.1.1 Identify potential sources

Activity 3.1.2 Assess conditions, preferences and accessibility criteria of the sources

Activity 3.1.3 Visualize NAMA finance sources in accessible format to all concerned parties

Output 3.2 Technology supply chain and financial implementation requirements have been

assessed for selected industrial sectors.

Along the line of 3.1 assessment of technology supply chains and its requirements will be carried out. In similar manner to 3.1, the steps will begin with assess technology needs and supply chain for selected industrial sector(s), consult stakeholders to receive feedback, and finally develop a guideline.

Activity 3.2.1 Assess technology needs and supply chain for selected industrial sector


Activity 3.2.3 Develop guideline

Output 3.3 Financial instruments have been shortlisted and recommended to move NAMA

proposals to the finance ready stage.


Activity 3.3.1 Review different schemes

Activity 3.3.2 Propose suitable schemes


Activity 3.3.4 Develop guideline for the selected schemes

Output 3.4 Established institutional system for tracking, monitoring and evaluation on Climate

Finance.


Activity 3.4.1 Review and propose system/ mechanism for tracking and evaluating climate finance with regards to NAMA and MRV

Activity 3.4.2 Consult stakeholders to suggest ideas on finance MRV

Activity 3.4.3 Assessment of the potential options

Activity 3.4.4 Formulate the systems and present for feedback from the stakeholders

Activity 3.4.5 Endorse the system by state agencies and representatives of stakeholders

Outcome 4: Knowledge platform established to ensure flows of know-how on

NAMAs among key stakeholders of the selected sector(s).

50

Know-how flow of among key stakeholders about NAMAs in selected sector(s) will be established

and introduced. Under Outcome 4 the project aims at two levels including (a) a functional know-

how channel or transfer mechanism for institutional cooperation and interfaces between related

government agencies, private sector and academia on policy issues such as LES, NAMA, MAs

and MRV and (b) a technical forum to enable stakeholders to develop and implement NAMAs and

MRV. Moreover, the project will raise public awareness and advocacy to wider audiences by

visibility activities.

Output 4.1 A functional knowledge platform for institutional cooperation and interfaces between related government agencies, private sector and academia on policy issues such as LEDS, NAMA, MAs and MRV will be established.. In this regard, stakeholders will be consulted to identify most preferable platform options for institutional cooperation. Once it is in place, the project will try to ensure active participation among key policy agencies including representatives from private sector. Based on their interaction the results (policy papers) and/or its progress will be published and distributed.

Activity 4.1.1 Consult stakeholders to define working group for institutional

cooperation and most preferable policy channel for know-how flow

Activity 4.1.2 Ensure active participation among key policy agencies including representatives from private sector

Activity 4.1.3 Publish and distribute policy papers through selected channel

Output 4.2 Regularly organized NAMA and MRV task forces and workshops to enable exchanges among key stakeholders for NAMA implementation. Beside policy dialogue, project will either encourage stakeholders to employ their existing forum or organize forum on various issues of NAMA and MRV on regular basis. The topics can be raised according to the changes of current situation as well as to the demands from the members. The project will ensure active participation from different groups of stakeholders (by rotating roles and leadership). The results from each forum will be published and distributed to wide range of network.

Activity 4.2.1 Organize forum on various issues according to the changes of current situation as well as to the demands from the members

Activity 4.2.2 Ensure active participation from different groups of stakeholders (by rotating roles and leadership)

Activity 4.2.3 Publish and distribute results from the exchange events

Output 4.3 Established systems for communication, public awareness and advocacy to wider audiences. In order to ensure widespread applications and maximize benefits of the project, another corresponding output is dissemination of information and publications about the achievements and lessons learned of the project to selected target groups on regularly basis. The project will establish communication systems by set up communication channels to reach specific public target groups. The systems will be tested with selected target groups and learn from their response. All activities and responses will be systematically documented.

Activity 4.3.1 Set up communication outreach strategy and system and communication channels to reach specific public target groups

51

Activity 4.3.2 Trial to communicate with selected target groups and learn from the their response

Activity 4.3.3 Regularly keep the target groups informed and reacted to the given information

Activity 4.3.4 Keep records of media coverage of the LECB Programme and related activities.

Output 4.4 Lessons learned from the project Implementations consolidated, and

introduced for widespread applications. The project will ensure that all learning process and results are documented systematically. Records and lessons will be kept in a well-organized, easy retrievable and accessible system. Beside this the information will regularly channelled to selected target groups. Records of information dissemination will be well kept for further analysis and improvement.

Activity 4.4.1 Ensure all learning process and results are documented systematically

Activity 4.4.2 Organize system to keep all lessons learned in an easy retrievable and accessible manner

Activity 4.4.3 Regularly channel the lessons to selected target groups

Activity 4.4.4 Keep records of impact of lessons (e.g. being used/adopted by third parties).

52

Annex B: Stakeholder Consultations

Development of this project is a multi-stakeholders consultation process. Collective decision-making is key to formation of project ideas and this proposal is the result of collective efforts.

In this regard, series of meeting was organized for stakeholder consultation process includes:

Date Meeting

26 October a. The Stakeholders’ Orientation Workshop

19 November b. Meeting with ONEP

22 November c. Meeting with Cement Sector at FTI

26 November d. Meeting with Steel Sector at FTI

3 December e. Meeting with TGO

21 December f. The Stakeholders’ Validation Workshop on Project Document

Details of the meeting an workshop are described as follow:

B.1 MINUTE OF THE STAKEHOLDERS’ ORIENTATION WORKSHOP

Date: 26 October 2012

Place: Amari Watergate, Bangkok

Participants: UNDP LECB Team, ONEP, TGO, FTI, PCD, DEDE,

Purpose and goals:

The general purpose of this meeting is to kick-start a consultation process to formulate a full project proposal for LECB—thereby informing key stakeholders the expected outputs and outcomes and the process leading to these goals. See Agendas attached. The purpose is to get common understanding, acceptance and agreement on the project as a whole, and to identify candidate economic sector(s) and associated stakeholders.

Methods:

LECB team leads the discussion after each slot of presentations. Questions and answers and discussions were provided with ample time and opportunities to interact. A member of the LECB team facilitated the whole event.

Points of discussion and agreement:

Being part of the global program for NAMA, this project aims to build capacity

necessary for identifying and implementing a prototype NAMA that deems

appropriate for Thailand.

It has been pointed out that emissions reduction objectives are already in the

current draft of climate change master plan, enabling Thailand to take a more

ambitious and proactive role in NAMA, including enhancing the current reporting

systems, with an aim to increase the accuracy of data and information. The planned

Inventory to be responsible by respective government agencies could be enhanced

by the project which will strengthen the capacity and facilitate the process.

LECB has five components to be implemented, in whole or in part as follows:

o Inventory

o MRV

o Low carbon development strategy

o NAMA and

o Emissions reduction in selected industry

It is agreed on the following possible outcomes of LECB would include:

53

o Improved policies and programs

o Removal of barriers

o Improved climate financing

o Improved scenarios and projection

o Learning platform and

o Improved readiness for climate finance

Examples are given for reference. At the global level NAMA sectors covered are:

energy, transport, waste, agriculture, LULUCF, industry, mine and cities. Examples

are Kenya (energy, transport and industry); and Mexico (mining and chemicals).

Lessons learnt from Phase I are: programs that are flexible, fill the gaps and could

be tailor made to suit local needs.

It is noted that any sector to be selected must be based on some criteria, such as:

priority, feasibility, acceptance, consistency with policies and plans, needs for

capacity building, impacts on the economy, willingness and avoidance of repetition.

These criteria will be used to guide sector selection.

Participants agree on two tasks: selection of sector for NAMA and mapping of

current project activities in line ministries. The first task will be conducted by the

LECB team in close collaboration with the Federation of Thai Industry. And the

second one will be done by the LECB team with collaboration from all line

ministries.

Participants also agree on the immediate next step: FTI is to consult with its

members on potential sector(s), and more consultation process of relevant

sector(s).

B.2 MEETING WITH ONEP

Date: 19 November 2012 (10

Place: Room 601, ONEP Office

Participants: ONEP; TGO; UNDP

Agenda: a. Reintroduction of team members

b. Consultation on scope, activities, sector selection, and ways forward

Process: UNDP reintroduce scope and objectives of the project, and its development update. Thailand is free to choose sector, focuses and priority activities that best fit its own policy and interests. Much of the discussion was around the selection of sectors of interest and approaches. It was agreed to have arranged meetings with the private sector industrial groups to sound out potential sector, or sectors to be covered. So far, options are identified as follows:

-waste and transport sectors, to fill the gap in inventory; -steel and cement industries to be further considered

Action points

1. Reconvene another meeting right after Doha, to be participated by ONEP; TGO and

UNDP to discuss a narrow list of potential industries;

2. Prior to the planned meeting with the cement industry group on 22 November,

UNDP and TGO will meet to prepare for the meeting, at place and time to be

determined;

3. Meanwhile UNDP team will meet with the cement industry group at Sirikit

Convention Center on 22 November in the morning.

54

B.3 MEETING WITH STEEL INDUSTRY GROUP

Date: 26 November 2012 (10:00-12:00)

Place: FTI meeting room, Sirikit Convention Center, Bangkok

Participants:

o Representatives from TGO, UNDP

o Khun Teerayuth Lertsirarungsun, Committee member, Steel Industry Group, FTI

o Khun Surapongse Tanaponpitaya, Committee member, Steel Industry Group, FTI

Agenda:

a. Component, Purpose and approaches of the LECB project

b. Interests and issues related to cooperation with steel industry

Activities to be covered under LECB: Inventory, NAMA, MRV, and mitigation actions. The steel industry is one candidate to be participating in the project.

Questions and discussions:

1. Disclosure of industrial sector data and information? Where is the level of

disclosure? Disclosure agreement? This could be a sensitive issue, and the project

should consider.

2. Scope of emissions iron and steel industry? What sort of industry are considered

‘steel industry’? To what extent and level will the ‘sector’ cover?

3. Positive interest is expressed from the representative of the steel industry, but they

asked for a project brief which contains snap shot information, and clear responses

to the above questions, so that they could communicate to group members.

Note: Agreement reached to follow up as soon as the document is ready to be sent to members.

B.4 MEETING WITH TGO

Date: 3 December 2012 (13.00-15.00)

Place: at TGO office

Participants: TGO and UNDP LECB Team

Purpose: update briefing and agreement on next steps

Issues:

1. Output, LEDS for Thailand or sector-specific LEDS: we agree to continue with the

sector-specific LECB NOT the national LEDS/NAMA

2. Output components were discussed, and arrived at the followings

a. Inventory: data systems/ capacity building programs / institution

strengthening

b. NAMA/MRV: projection models/ developing NAMA and MRV/ capacity

building

c. Climate finance and technology: source mapping/ access/ carbon finance/

finance MRV

d. Knowledge platform: information exchange/ lessons learnt

3. Project management needs to be clarified between ONEP and TGO. This includes

a project board, which responds directly to the NCCC. (See Chart).

Note: UNDP Team will improve upon the current concept and draft the proposal.

55

B5. Minute of Stakeholders’ Validation Workshop on Low Emission Capacity Building (LECB) Project in Thailand Date: 21st December 2012 (13:30-16:00) Place: Amari Watergate Hotel, Bangkok Objective:

The main objective was to gather views, comments, and suggestions from stakeholders of the LECB project on the draft logical framework (objective/outcomes/outputs/activities), budget allocation, and management structure which have been developed during the past three months (October-December) through extensive consultations with key responsible government agencies.

Stakeholders Participants were from both government and private agencies. The list of participants appears in Annex I.

Agenda The workshop began with the opening remark by Dr. Chaiwat Muncharoen, Deputy Executive Director of Thailand Green House Gas Management Organization (TGO), followed by the background of LECB project development process in Thailand by Dr. Sutharin Koonphol, UNDP Thailand, and discussions on the project logical framework and management structure facilitated by Mr. Tien-ake Tiyapongpattana, project development specialist.

Summary of Discussion The main discussion focused on the draft outcomes and their indicators, as well as corresponding outputs. Overall, participants agreed with the objective, outcomes, and outputs presented by Mr. Tien-Ake but they also provided some comments and suggestions with possible revision on the outcome indicators so as to ensure that the outcomes are actually achieved with clear delivered outputs. Apparently, participants from both public and private sectors were interested in the outcome 2 (sectoral NAMA & MRV), as indicated by extensive discussions and comments made on the issues. They viewed that this outcome component would be the key LECB’s contribution to the formulation of strategy and policy on Low Emission, in particular the national NAMA. Representatives from the private sector (cement and steel) also expressed interests in participating in future sectoral consultations, even though a decision to join or not to join the sectoral NAMA/MRV as well as scope and extent of their participation is still pre-mature at his stage.

Key points of discussion can be summarized as in the below table:

Outcome / Indicator Comments / Suggestion

Outcome 1: Strengthened Institutional & procedural system for National GHG Inventory.

Indicators:

1. Joint GHG inventory system management of transport and waste sector

2. Co performance of QC/QA is functional and well integrated

3. No. of individuals/ enterprises trained Output

1. Systematized National GHG Inventory including data collection, data sources, data reporting, data access and sharing, with particular focus on transportation (within the energy sector) and waste sector

2. Strengthened institutional coordination among line agencies on National GHG Inventory’s data system

3. Improved technical capacities of line agencies

- For the first indicator, the meeting agreed to delete the word “joint” as it is unclear why we need a “joint” GHG inventory system management for these two sectors

- For the second indicator, the meeting agreed to delete the word “Co-performance” and change to “coordination” or “efficiency” of “QA and QC” or “line agencies”. The main objective is to see how coordination is improved among different line agencies.

- UNDP viewed that as output 1-3 aim to strengthen data, mechanism, and capacities, we need to think carefully whether the existing outcome indicators well capture these three aspects.

- For the first output, the meeting agreed to add “responsible agencies” somewhere for clarity so that all will be clear on who responsible for what

56


on National GHG Inventory data system

Outcome 2: Prototype/roadmap of NAMAs & MRV is developed for selected sector.

Indicators

1. Pilot sector selected 2. Agreed reference scenario 3. Recommended projection model 4. The Roadmap of NAMAs & MRV 5. No. of individuals/ enterprises trained Output

1. Engagement of the selected industrial sector(s) prepared and agreed

2. Developed NAMA target of the selected industrial sector(s)

3. Developed NAMA roadmap for the selected sector (s)

4. Developed MRV systems for the selected sector (s)

5. Enhanced capacity of concerned parties to develop and implement NAMAs & MRV.

- A Representative from TGO viewed that one key objective of this outcome is to draw the linkage between sectoral NAMA and national NAMA. This outcome is also linked to the outcome 3 – how we can secure financial support and technology transfer after formulating NAMA

- A representative from one of big cement companies expressed willingness to discuss further on this sectoral initiative during the next 6 months of project inception phase. He viewed that the big company would not have technical problem for joining, but middle ranged companies may be facing challenges.

- A representative from the steel company viewed that this project is related to capacity building - big companies may already have capacity and may be the benchmark. Small companies may be interested but not ready. With the limited resources and time, it is questionable how we cover all these issues? Companies vary according to technology and capacities. If big company is picked for this project, they are already equipped with technology and roadmap and “What do we need from big companies?”

- TGO viewed that we are not now selecting big or small but we need to study in details and do analysis first. Companies with potential to reduce may also need technology and financial support

- A representative from Department of Alternative Energy Development and Efficiency (DEDE)raised the following questions “How does the project plan to engage the targeted companies/sectors? In what aspects? How does the project provide support or incentive for private engagement? How do we select companies within the sector? Which channel of private bodies would be appropriate for making decision on the sectoral selection? What are the set criteria? If we are not clear about the sectors to be engaged, other issues will also be unclear.

- UNDP viewed that the key of this project is outcome 2 - How private can help strengthen understanding of the overall picture of national NAMA - how it is linked to sectoral NAMA. If the outcome 2 is clear, the outcome 3 will follow. The outcome 2 will focus on 1 or 2 sector at max. So far the consultations with steel and cement sectors have been underway. Now we have clear direction of potential sectors but during the first 6 month of inception phase, an intensified dialogue on the sectoral selection is foreseen. We also need to seek views from private on the decision making body related to sectoral selection.

- A representative from the Federal of Thailand Industries informed that the Joint Sectoral Committee of Commerce, Industry, and

57


Banking may be an appropriate decision making body.

- Many participants agreed that there should be criteria set for setoral selection (i.e. willingness, readiness, data and information)

- DEDE viewed that this project will provide further information, strengthen understanding on the current status (we want to know the overall picture, map companies and their readiness). What we know now is just indicative information, but we have not yet seen the real practices.

Outcome 3: Climate Finance and Technology Transfer Frameworks for NAMAs developed to support implementation of MAs in the selected sector.

Indicators

1. Mapping of sources 2. Carbon finance schemes 3. MRV of climate finance 4. No. of individuals/ enterprises trained Output

1. Formulated climate finance framework for NAMA/MRV and technology transfer frameworks for the selected sector(s), looking into sources, access, and institutional arrangement, on climate finance and technology transfer

2. Enhanced knowledge and understanding on assessing/linking/sequencing/ and managing climate finance and technology transfer

3. Recommended carbon finance schemes (e.g. offsetting, trading, pricing, negotiation)

4. Proposed institutional system for tracking, monitoring and evaluation of Accountability on Climate Finance.

- A representative from the Pollution Control Department questioned how this outcome and corresponding outputs are linked to UNFCCC supports and it was clarified that this is not directly linked. Climate fund under UNFCCC may be one channel but there are other financial supports from other sources.

Outcome 4: Knowledge Platform for coordination and exchange of lessons learned established and institutionalized.

Indicators

1. Consolidated lessons learned 2. Regularly forum organized 3. Functional exchange platform(s) 4. No. of individuals/ enterprises involved in the

exchange process Output

1. Functioned knowledge platform for institutional cooperation and interfaces between related government agencies, Private sector, and academia on LEDS, NAMAs, MAs and MRV

2. Regularly organized NAMA and MRV forum to enable exchanges between responsible agencies

3. Established systems for communication and advocacy to wider audiences.

4. Lessons learned from the project Implementations consolidated, and introduced for widespread applications.

- A representative from the Board of Trade (BoT) viewed that when all information gathered and complied, we need to ensure that it will be a living document and easily accessed. Relevant agencies need to carry on updating.

- For indicator 2, BoT suggested that it be changed to “regularly organized forum”

58

Next Steps

Dr. Sutharin outlined the next step of the LECB project as follows:

26 Dec 2012: Final draft of project document, taken into account of the comments/ suggestion from the validation workshop

28 Dec 2012: Submission of project document with letters of endorsement from ONEP and TGO

Jan- Feb 2013: (1) Comments and feedbacks from global programme (2) Continue bilateral meetings to engage industrial sectors

Mar 2013: Implementation starts

The meeting ended at 16.30 hr.

--------------------------

59

Participant list Orientation Workshop on Low Emission Capacity Building (LECB)

26 Oct 2012 at Amari Watergate, Bangkok

No Agency Name Functional Title Tel Fax Email

1 TGO Dr. Jakkanit Kananurak

ดร .จักกนติต ์คณานุรักษ์

Director of Capacity Building and Outreach Office

ผูอ้ านวยการส านักพัฒนาศักยภาพและเผยแพร่

องคค์วามรู ้

02 141 9852 02 143 8405 [email protected]

2 TGO Mr. Chessada Sakulku

นายเจษฎา สกลุค ู

Director of Greenhouse Gas Information

Center

ผูอ้ านวยการศนูยข์อ้มูลก๊าซเรอืนกระจก

02 141 9840 02 141 8405 [email protected]

3 TGO Mr. Varoon Raksakulkarn

นายวรุณ รักสกลุกานต ์

Official

นักวชิาการ

02 141 9838 02 141 8405 [email protected]

4 DEDE Mrs. Sukamon Prakobchat

นางสกุมล ประกอบชาต ิ

Scientist

นักวทิยาศาสตร ์

02 223 0021-9 ext 6531

02 223 8705 [email protected]

5. DEDE Ms. Karnnalin Theerarattananodh

นางสาวกานตน์ลนิ ธรีรัตนานนท ์

Engineer

วศิวกร

02 223 0021-9 ext 6531

[email protected]

6. BoT Mr. Buntoon Wongseelashote

นายบณัฑรู วงศส์ลีโชต ิ

Chairman of the Committee on Trade

ประธานคณะกรรมการประเด็นทางการคา้

186 914 9315 10 419 9893 [email protected]

7. BoT Dr. Nalinrut Masomboon

ดร. นลนิรัตน ์มาสมบรูณ์

SPECIALIST – CLIMATE CHANGE

ผูเ้ชีย่วชาญดา้นการเปลีย่นแปลงสภาพ

ภมูอิากาศ

02 625 7733 02 631 0608 [email protected]

8. BoT Ms.Pimsiri Puthivorachai

นางสาว พมิพส์ริ ิพุฒวิรชยั

COMMITTEE OF RESOURCES AND ENVIRONMENT

กรรมการทรัพยากรธรรมชาตแิละสิง่แวดลอ้ม

10 103 9905 10 156 1118 [email protected]

9. OTP Mr. Vichit Nimitvanich

นายวจิติต ์นมิติรวานชิ

Director of safety Planning Bureau

ผอ้ านวยการส านักแผนความปลอดภัย

10 061 5981 10 061 5986 [email protected]

10. OTP Mrs. Puttamon Ratajeen

นางพุทธมนต ์รตจนี

Plan and Policy Analyst, Senior

Professional Level

นักวเิคราะหน์โยบายและแผนช านาญการ

02 215 1515 Ext

2019

[email protected]

mailto:[email protected]

60


11 OTP Ms. Wipada Unlumlert

นางสาว .วภิาดา อนัล าาเลศิ

Plan and Policy Analyst, Practitioner Level

นักวเิคราะหน์โยบายและแผนปฏบิตักิาร

02 215 1515 Ext

2061

[email protected]

12. JSCCIB Ms.Achara Kongkaew

นางสาว .อจัจรา กองแกว้

Head of Academic

หัวหนา้งานวชิาการและเศรษฐกจิ

10 622 1860-70

ext423


13. JSCCIB Ms. Sukanya Chaichuen

นางสาวสกุัญญา ใจชืน่

COMMITTEE ON TRADE ISSUES COMMITTEE

กรรมการ คณะกรรมการประเด็นทางการคา้

10 625 8211 02 631 0850

14. EPPO Ms. Chirapaporn Laima

นางสาวจริะภาพร ไหลมา

Director

Energy Policy and Planning Division

Energy Policy and Planning Office (EPPO)

ผูอ้ านวยการกองนโยบายและแผนพลงังาน

02 612 1555 ext 411

081-814-2548


15 NESDB Mrs. Chuleeporn Bunyamalik

นางชลุพีร บญุยมาลกิ

Senior Policy and Plan Analyst

นักวเิคราะหน์โยบายและแผนช านาญพเิศษ

10 0819183 Ext.

0314

081 658 0737


16 OIC Ms. Sujittra Kiatsutthakorn

นางสาวสจุติรา เกยีรตสิทุธากร

Environment Officer (Specialist Level)

ส านักความร่วมมอืดา้นทรัพยากรธรรมชาตแิละสิง่แวดลอ้มระหวา่งประเทศ

02 278 8627

083 544 8118


19 ONEP Mrs.Nirawan Pipitsombat

นางนริวาน พพิธิสมบตั ิ

Director of Office of Climate Change Coordination

ผูอ้ านวยการส านักงานประสานการจัดการการ

เปลีย่นแปลงสภาพภมูอิากาศ

02-265-6650 02-265-6692 [email protected]

68 ONEP Ms. Prattana Meesincharoen

นางสาวปรารถนา มสีนิเจริญ

Environmental Officer, Professional Level

นักวชิาการสิง่แวดลอ้มช านาญการ

10-013-1311 ตอ่

1809

10-013-1311

ตอ่ 1989

[email protected]

64 ONEP Ms.Nichanan Tadkaew

นางสาวนชินันท ์ทัดแกว้

Environmental Officer, Professional Level

นักวชิาการสิง่แวดลอ้มช านาญการ

10-013-1141 02-265-6692 [email protected]

01 ONEP Ms.Chompunut Songkhao

นางสาวชมพูนุท สง่ขา่ว

Environmental Officer, Practitioner Level

นักวชิาการสิง่แวดลอ้มปฏบิตักิารการ

10-013-1311 ตอ่

1989

10-013-1311

ตอ่ 1989

[email protected]

06 ONEP Ms.Dares Kaeket

นางสาวดาเรศ แกว้เกศ

Environmental Officer, Practitioner Level

นักวชิาการสิง่แวดลอ้มปฏบิตักิารการ

10-013-1311 ตอ่

1985

02-265-6692 [email protected]

00 ONEP Mr.Anuchat Tangphoomrapeewong

Policy and Plan Analysis Officer

เจา้หนา้ทีว่เิคราะหน์โยบายและแผน

10-013-1311 ตอ่ 1989

10-013-1311 ตอ่ 1989

[email protected]

61


นายอนุชาต ิตั างภมูริะพวีงศ ์

05 ONEP Mr.Pornphat Darapattanapak

นายภรภัทร ดาราพัฒนภัค

Policy and Plan Analysis Officer

เจา้หนา้ทีว่เิคราะหน์โยบายและแผน

10-013-1311 ตอ่ 1989

10-013-1311 ตอ่ 1989

[email protected]

09 ONEP Ms.Phuttatida Rattana

นางสาวพุทธธดิา รัตนะ

Project Coordinator, Environment Unit

เจา้หนา้ทีป่ระสานงานโครงการ

10-013-1311 ตอ่

1989

10-013-1311

ตอ่ 1989

[email protected]

03 UNDP Dr. Sutharin Koonphol

ดร. .สธุารนิทร ์คณูผล

Programme Analyst, Environment Unit

นักวเิคราะหแ์ผนงานโครงการดา้นสิง่แวดลอ้ม

02 304 9100 Ext.

2148


01 UNDP Ms.Nisakorn Puangkamalard

นางสาวนศิากร พวงก ามลาสน์

Programme Associate 02 304 9100 Ext. 2134


09 UNDP Ms .Jutarat Dangtmmachat

นางสาว จุฑารัตน ์แดงธรรมชาติ

Intern, Environment Unit 02 304 9100 Ext.

5077

02 280 4294 jutarat.dangtummachat@undp

.org

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Participants list Stakeholders’ Validation Workshop on Low Emission Capacity Building (LECB)

Friday, 21 December 2012 at Amari Watergate, Bangkok

No Agency Name Title Tel Fax E-mail

1 TGO Dr. Chaiwat Muncharoen ดร. ชยัวัฒน ์มั่นเจรญิ

Deputy Executive Director

02 141 9805 02 143 8400 [email protected]

2. TGO Dr. Jakkanit Kananurak

ดร. .จักกนติต ์คณานุรักษ์

Director of Capacity Building and

Outreach Office ผูอ้ านวยการส านักพัฒนาศักยภาพและเผยแพร่

องคค์วามรู ้

02 141 9852 02 143 8405 [email protected]

3. TGO Mr. Chessada Sakulku นายเจษฎา สกลุค ู

Director of Greenhouse Gas Information Center

ผูอ้ านวยการศนูยข์อ้มูลก๊าซเรอืนกระจก

02 141 9840 02 141 8405 [email protected]

4 TGO Mr. Varoon Raksakulkarn นายวรุณ รักสกลุกานต ์

Official นักวชิาการ

02 141 9838 02 141 8405 [email protected]

5. NESDB Mrs. Chuleeporn Bunyamalik นางชลุพีร บญุยมาลกิ

Senior Policy and Plan Analyst นักวเิคราะหน์โยบายและแผนช านาญพเิศษ

10 0819183 Ext. 0314

081 658 0737


6. DEDE Mrs. Sukamon Prakobchat นางสกุมล ประกอบชาต ิ

Scientist นักวทิยาศาสตรช์ านาญการพเิศษ

02 223 0021-9 ext 6531


7. DEDE Ms. Karnnalin

Theerarattananodh นางสาวกานตน์ลนิ ธรีรัตนานนท ์

Engineer

วศิวกร

02 223 0021-9

ext 653 6

022238705 [email protected]

8. BoT Mr. Buntoon

Wongseelashote นายบณัฑรู วงศส์ลีโชต ิ

Chairman of the Committee on Trade

ประธานคณะกรรมการประเด็นทางการคา้ สภาหอการคา้ไทย

186 914 9315 10 419 9893 [email protected]

4. BOT Ms. Jeeranee Jangrungautai

Senior Specialist

10. OTP Mrs. Puttamon Ratajeen

นางพุทธมนต ์รตจนี

Plan and Policy Analyst, Senior

Professional Level

นักวเิคราะหน์โยบายและแผนช านาญการ

02 215 1515

Ext 2019

[email protected]

11. OTP Mr. Vichit Nimitvanich

นายวจิติต ์นมิติรวานชิ

Director of safety Planning Bureau

ผอ้ านวยการส านักแผนความปลอดภัย

10 061 5981 10 061 5986 [email protected]

12. FTI Mr. Surapong Tanapongpitaya

นายสรุพงษ์ ธนะพงศพ์ทิยา

Assistant Secretary General - Steel Industry Club, FTI

ผูช้ว่ยเลขาธกิารกลุม่อตุสาหกรรมเหล็ก สภาอตุสาหกรรมฯ

088 022 2493 [email protected], [email protected]













63

No Agency Name Title Tel Fax E-mail

13. ONEP Ms. Oabprick

นางสาวโอบปรกิ กอ้งภาณุรักษ์

0226556500 [email protected]

14. UNDP Dr. Sutharin Koonphol

ดร. .สธุารนิทร ์คณูผล

Programme Analyst, Environment Unit

นักวเิคราะหแ์ผนงานโครงการดา้นสิง่แวดลอ้ม

02 304 9100 Ext.

2148


15. UNDP Ms.Nisakorn Puangkamalard นางสาวนศิากร พวงก ามลาสน์

Programme Associate 02 304 9100 Ext. 2134


16. UNDP Dr. Pawin Talerngsri

ดร .ภาวญิญ ์เถลงิศร ี

PEI Project Cooridinator 02 304 9100 Ext.

2671


17. Mr. Tien-ake

Tiyapongpattana นายเธยีรเอก ตยิพงศพั์ฒนา

Project Development Specialist

081 8854394 [email protected]

18. Assoc. Prof. Dr. Sitanon

Jesdapipat รศ. ดร. สติานนท ์เจษฎา

พพัิฒน์

Climate Change Policy Specialist 081 266 6361 [email protected]


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Annex C: Risk assessment:

The risks that could be foreseeable as direct threat to successful implementation of the project include internal ones: 1) right channel for private decision making and consultations on LECB key activities i.e. sectoral selection process and criteria, cross-sectoral coordination, policy linkage, and sharing of good practices and lessons learned 2) unity and willingness of enterprises within the selected sectors to involve in project activities, to be influenced by tangible benefits from the project, 3) too frequent changes / rotations of senior officials / head of implementing and responsible agencies with limited background and interests in the project. And, 4) Enhanced coordination capacity of respective stakeholders participating in the project.

To address these risks, the project has to establish effective means to monitor, target and

to the extent possible, mitigate these risks. Risk mitigation measures include active and continuous involvement of all key stakeholders at all stages of implementation – begin with sector selection until development of NAMA, MRV and lessons learned. Despite all possible efforts are made to ensure the effective design and implementation of the project activities, there are some risks that have to be addressed to ensure success of the project- one internal and the other external to the project. The greatest risk to the success of the project is external, that is, continued political commitment and continued stable economic growth in Thailand-- whereas the second is heavily influenced by the global and regional development which are outside the influence of the project.

Summary of Risks and the Mitigation Measures for the LECB Project

Risks Level of

Risk Mitigation Actions

1. Right channel for private decision making and consultations that might delay the process of sectoral selection and development of NAMA/MRV systems

Low Consult with relevant private organizations i.e. Federation of Thai Industry, Board of Trade of Thailand, and Joint Sectoral Committee on Commerce, Industry, and Banking to identify the right private decision making and consultative body for the LECB project.

Develop a structured engagement plan to inform, consult, and update the organisation about project background, selection criteria for industrial sectors, sectoral coordination, progress of , results, and lessons learned.

Meanwhile, approach representatives of potential sectors directly

2. Unity of enterprises and leadership quality of the selected sector(s)

Medium As the project aims to work at the sectoral not individual enterprises level, hence a unified decision to work and cooperate on project activities is crucial. Some industrial sectors are composed of a few large enterprises while some consists of many SMEs with limited capacities to:

Assess willingness and readiness of the potential industrial sector

Assess unity and leadership quality of the candidate industrial sectors prior to selection

3. Reluctance of individual enterprises to share information on emission which might put their business into risk

Low Make agreement between concerned parties on type and level information sharing

Set code of conduct between concerned parties on confidentiality of information

Joint monitor of information disclosure

4. Change of administration and key management positions within the implementing partner and responsible party

Low to Medium

Ensure engagement and participation of mid-management and working-level staff to create the sense of ownership.

Regularly keep the new institutional leaders informed about movement of the project

Establish a well-defined and well-resourced project management unit and project coordination mechanism to enable smooth transition and continuity of project

65

implementation.

5. Constraints in coordination among various stakeholders

Medium Reduction of this risk rests primarily with the Project Manager and commitment of participating members in the project. A standard practice that could reduce this risk include:

Written communication and constant dialogue between stakeholders

Development of human interface among senior officers and key leaders of stakeholders

OVERALL Low

At the inception stage of the LECB project, the project risks will be reviewed, and where necessary additional project risks will be identified. In addition, as part of the project inception activities, a detailed risk management strategy for the project implementation will be prepared.

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Annex D: TERMS OF REFERENCES (OF KEY PROJECT MANAGEMENT POSTS) D.1 TERMS OF REFERENCE Title: Project Board (PB) Duty Station: Thailand Requirement The Project Board (PB) will monitor the conduct of the LECB and TNC-BUR projects and provide guidance and direction to the project team at the strategic level. The PB will be established with the following composition and will meet at least twice a year and as and when the need arises. The Secretary General of the Office of Natural Resources and Environment Policy and Planning (ONEP) will chair the Board. The National Project Director will serve as the Secretary to the PB, and the National Project Manager will provide support to the Secretary. The secretariat services will be provided by the Office of Climate Change Coordination of ONEP. Duties and Responsibilities PB shall be responsible for the following functions:

Provide policy guidance on matters pertaining to the implementation of the projects;

Monitor and evaluate the implementations of the projects towards the fulfillment of the objectives stated in the project documents;

Review, approve and endorse proposed work plans and budgets;

Initiate remedial actions to overcome all constraints in progress of the projects;

Review and approve relevant changes to the project designs;

Coordinate the roles of the various organisations involved in the execution of the projects and ensure harmony with related activities;

Advice on the long term sustainability strategy of the projects;

Reviewing the project activities, and their adherence to the work plans set forth in the project documents and approve any modifications/revisions as may be necessary;

Reviewing and approving on each year’s proposed work plans and budget and annual progress reports;

Approving major project deliverables;

Making decisions on the issues brought to its notice by UNDP and other cooperating institutions, and advise regarding efficient and timely execution of the projects;

Reviewing issues raised and agreeing to action plans for their resolutions; and,

Appointing sub-committees to carry out specific tasks

Approving the responsibilities of the Project Management Unit and any delegation of Project Assurance responsibilities

Indicative Membership The PB will comprise main stakeholders as follows:

Secretary General of ONEP (as the Chair);

Executive Director / Deputy Executive Director of TGO;

Members of National Climate Change Committee

Office of National Economic and Social Development Board (NESDB) ;

Pollution Control Department (PCD) ;

Department of Alternative Energy Management and Efficiency (DEDE)

Department of Environmental Quality Promotion (DEQP)

Federation of Thai Industry (FTI)

Board of Trade of Thailand (BoT)

Office of Joint Sectoral Committee on Commerce, Industry, and Banking (JSCCIB)

Cement and Steel Associations

UNDP - Thailand

Note: Designation of the members of the project board will be finalized during the inception phase.

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D.2 TERMS OF REFERENCE Title: Project Director (NPD) – in-kind Duty Station: Thailand The National Project Director is appointed by the PB to oversee the implementation and progress of the LECB and TNC-BUR projects. The person will be an ONEP official and is holding a senior position in the government’s system. Duties and Responsibilities The National Project Director shall be tasked for:

Ensuring that the project documents and project revisions requiring Government’s approval are processed through the Government co- coordinating authority , in accordance with established procedures;

Mobilizing national institutional mechanisms for smooth progress of projects;

Providing formal project/deliverable sign-off and acceptance upon verification by appointed authorized agency/ies;

Reviewing and recommending for endorsement project deliverables and reports

Providing direction and guidance on project-related issues;

Providing advice and guidance to the project management unit (PMU) .

Reporting to the PB the progress of the projects and seek approval for any modifications/revisions to the project documents ;

Ensuring conformity of the project activities and objectives to the project documents;

Providing overall guidance to the PMU for managing the project finances in line with UNDP guidelines and approve expenditure as provided for in the project budgets;

Providing overall guidance to the PMU on the project execution ;

Approving annual project reports and other relevant reports and knowledge products for submission to the PB and UNDP;

Approving payments according to the agreed deliverables.

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D.3 TERMS OF REFERENCE Title: Project Manager (PM) Duty Station: Thailand The Project Manager will take charge of the overall management of the LECB and TNC-BUR projects, in support of the National Project Director. The project manager will be primarily focused on the day to day operation of the projects including administrative, financial and operational aspects of the projects. The project manager’s role is to manage and coordinate the implementation of various project activities in ensuring quality and timeliness of activities and delivery of outputs. He/She will be based at the ONEP. Duties and Responsibilities The Project Manager (PM) shall report directly to the National Project Director (NPD) and shall be responsible for:

Managing and coordinating the implementation of project activities to ensure the maintenance of quality and timeliness, and delivery of outputs;

Liaising and working closely with the project partners and beneficiaries;

Reporting regularly to the PB on progresses under the projectss;

Maintaining close contact with designated focal points from UNDP and other stakeholders, indicating any estimated changes to the work plans, and proposing budget revisions when appropriate;

Ensuring that the requisite allocations are available in accordance with the agreed budgets and established schedules of payments, if any, in consultation with ONEP and UNDP;

Working closely with key stakeholders in the drafting and preparation of relevant Terms of Reference for local consultants;

Monitoring the project budgets, funds and resources;

Preparing progress and financial reports of the projects when required;

Maintaining an up-to-date accounting system to ensure accuracy and reliability of financial reporting;

Being actively involved in the preparation of relevant knowledge products (including publications and reports);

Performing the function of ATLAS External User, creating requisitions and vouchers, and other relevant ATLAS processes;

Coordinating the management and implementation of activities of the projects as set out in the project documents and recommending any such modifications/revisions as may be necessary to the PB through the NPD;

Delivery of the Project Inception Reports and the results as per the agreed results framework and contained in the Project Documents and/or Project Briefs;

Preparing the annual work plan (AWP) and budget of the project and its timely submission to the NPD;

Collating deliverables from all components and being responsible for the write up of progress reports (annually and quarterly);

Reviewing and editing technical reports in cooperation with the National Project Director; and

Facilitating the work of the PB by presenting to the Committees regular progress reports and results of project development.

Requirement

Advanced Degree in climate change, energy, or any other science-based background

At least 5 years extensive working experience in the field of climate change mitigation, low emission initiative, and policy formulation and implementation of strategies and programs related to climate change

Extensive experience in project management with adequate exposure to financial management.

Have a good command of Thai and English language.

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D.4 TERMS OF REFERENCE Title: LECB Project Coordinator (PC) Duty Station: Thailand The primary role of the LECB Project Coordinator is to manage and coordinate the implementation of LECB project activities led by TGO. He/She will work in support and under the direct supervision of TGO and assist the NPD and PM in ensuring quality and timeliness of activities and delivery of outputs under the LECB project. He/She will also work in close coordination with the TNC-BUR Project Coordinator. He/She will be based at TGO. Duties and Responsibilities The LECB Project Coordinator (PC) shall report directly to the National Project Director (NPD) Project Manager (PM) and shall be responsible for:

Managing and coordinating the implementation of all LECB project activities to ensure the maintenance of quality and timeliness, and delivery of outputs;

Liaising and working closely with TGO, other project partners and beneficiaries;

Assist the PM in reporting regularly to the PB on the project’s status and progress and seek appropriate recommendation if required;

Liaising with designated focal points from UNDP and other stakeholders, indicating any estimated changes to the work plan, and proposing a budget revision when appropriate;

Ensuring that the requisite allocations are available in accordance with the agreed budget and established schedules of payment, if any, in consultation with ONEP and UNDP;

Working closely with key stakeholders in the drafting and preparation of relevant Terms of Reference for local consultants;

Monitoring the project implementation performance, particularly on the delivery of outputs;

Preparing progress and financial reports of the project when required;

Make use of the project’s accounting system to ensure accuracy and reliability of financial reporting;

Active involvement in the preparation of relevant knowledge products (including publications and reports);

Provision of the necessary inputs for the application of the ATLAS External User system, assisting in creating requisitions and vouchers, and other relevant ATLAS processes;

Coordinating the management and implementation of activities of the project as set out in the project document and recommending any such modifications/revisions as may be necessary to the PB through the NPD;

Coordination of the delivery of the Project Inception Reports and the results as per the agreed results framework and contained in the Project Document;

Provision of inputs in the preparation of the annual work plan (AWP) and budget of the project and its timely submission to the NPD; and

Provision of inputs and assistance in the preparation of regular progress reports to the local implementing agency and UNDP.

Requirement

Advanced Degree in climate change, energy, or any other science-based background.

At least 5 years extensive working experience in the field of climate change mitigation, low emission initiative, and policy formulation and implementation of strategies and programs related to climate change.

Extensive experience in project management with adequate exposure to financial management.


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D.5 TERMS OF REFERENCE Title: Project Administrative and Finance Assistant Duty Station: Thailand The Project Administrative and Finance Assistant will support the project management unit to provide logistic support and administrative functions to ensure smooth implementation of the LECB and TNC-BUR projects. He/She will be responsible especially for financial reporting on a quarterly and annual basis, and in case of needs, according to the government and UNDP requirements, for both LECB and TNC –BUR Projects Duties and Responsibilities The Project Administrative and Finance Assistant r shall report directly to the Project Manager and shall be responsible for:

Providing administrative and logistic support to the project team;

Executing secretarial tasks and related activities;

Managing schedules and project implementation within specified project constraints;

Undertaking secretariat services to specific project activities;

Providing limited backup support to the team

Providing financial reporting on a quarterly and annual basis according to the government and UNDP requirements for both LECB and TNC-BUR projects;

Executing financial and budgetary tasks and related activities;

Managing project funds and co-financing sources, budget expenditures and accounts;

Maintaining up to date accounts and facilitating financial audit process;

Preparing tender documents and undertaking procurement process.

Assisting in the Annual NEX/NIM Audit as per UNDP’s requirement

Ensuring that all transactions are done according to the standard UNDP or government’s procedure. Requirement

Minimum qualification is a tertiary education in secretarial science degree/diploma or related professional qualifications

At least 3 years experience project assistant


Experiences in project management related to climate change are preferred.

Exposure to financial management activities is an advantage.