version1.0

NAMA Guidebook
Manual for practitioners
working with mitigation actions

Imprint
Published by:Overseas Environmental Cooperation Center, Japan (OECC)
Registered office:Shibakoen Annex 7th Floor / 3-1-8 Shibakoen / Minato-ku, Tokyo 105-0011
T: +81-3-5472-0144

F: +81-3-5472-0145

Responsible (Edition):
Miguel Jiro Ogahara (OECC)
Authors:
Overseas Environmental Cooperation Center, Japan (OECC)
With contributions from:
Institute for Global Environmental Strategies (IGES)
Mizuho Information and Research Institute (MHIR)
Ministry of Environment and Green Development (MEGD), Mongolia
Institute of Meteorology, Hydrology and Environment (MONRE), Viet Nam
Ministry of Environment, Cambodia (MOEC)
Ministry of Natural Resources and Environment (MONRE), Lao PDRWorld Resources Institute / EMBARQ and CEP (WRI)
And other contributors
Citation:
Overseas Environmental Cooperation Center, Japan, et. al. (2014). The NAMA Guidebook. OECC,
Japan.

Copyright  2014 by the Ministry of the Environment, Japan (MOEJ)Table of Contents

PAGE
1

2

Background3

Organization of basic elements of NAMAs

6

2.1

Elements of NAMAs agreed in UNFCCC COP decisions

6

2.2

Shaping NAMAs: Essential building blocks and steps

8

2.3

NAMA finance and support schemes

18

Approach of NAMA decisions3

3.1

Top-down approach

25

3.2

Bottom-up approach

31

3.3

MRV of policy based NAMAs

35

Experiences of NAMA development in Asia and the world

4

42

4.1

Experience gained developing NAMAs in the agriculture sector in Cambodia

42

4.2

Experience gained developing NAMAs in the transport sector in Lao PDR

49

4.3

Experience gained developing NAMAs in the energy supply sector of Mongolia

56

4.4

Experience gained developing NAMAs in the waste sector in Vietnam

63

4.5

Experience gained developing NAMAs in the transport sector in Mexico

70

Facts obtained from analysis of NAMA introductions and future prospects

5

25

89

5.1

Essence of NAMA formulation support experience

89

5.2

Next steps and practical insights

92

5.3

Potential areas for future collaborations

94

Chapter

1

BACKGROUND“Nationally Appropriate Mitigation Actions”(NAMAs) in a measurable, reportable, and verifiable (MRV)
are relatively new in the history of climate change negotiations. The term was first used in 2007 at
the thirteenth session of the Conference of the Parties (COP13) of the United Nations Framework
Convention on Climate Change (UNFCCC), but which was gradually and further developed in subsequent
COP decisions.

1

Some people tend to consider NAMAs to be a new initiative involving a number of issues that need to
be defined either at the international negotiation level or by the relevant decision makers at the national
level. However, the truth is that efforts related to mitigate greenhouse gas (GHG) emissions havegenerally taken place as part of sustainable development policies.
Two examples would be a transport related project in which city planners have decided to introduce
new measures in attempting to improve the flow of traffic in congested areas or a problem involving
open dumping but which can be solved by developing a waste management project that results in the2

generation of energy and compost for use in agriculture related activities. Both of the above would
typically be considered mitigation actions.
From the point of view of finance and donors, loans and grants for use in environmental and social
projects have been available for quite some time, although the climate change component of ODA has
recently started to be taken into consideration in a more explicit manner. The rationale used in providing
development assistance is to aim at improving the social, economic and environmental conditions ofdeveloping countries, while also at the same time helping to achieve their sustainable development.

3

Past experience is being used to invite developing countries to step forward and design their own
individual low carbon society blue print and then strategically implement that plan in its concrete
realization. This will typically encompass finance, low carbon technologies, and improved capabilities,
and the resources that will be needed by partnering with developed country governments and a variety
of other key stakeholders. These expectations have led to efforts to increase the amount of support
for them, and different collaboration schemes have been expanded upon in a variety of different ways,
including international and domestic financing, carbon financing, and various approaches, etc., and with

4

that a trend appearing to remain dominant into the future.
The agreement reached regarding NAMAs in the Cancun Agreements is nothing less than a reflectionof all these facts, and through a concept where all the conditions involved in mitigation related projects,
get linked together in a more systemic and synergetic way. The fact that a definition has not been
provided yet allowed ample opportunities for experimentation for both developed countries ready toprovide assistance and for developing countries looking to comply with their sectoral strategies, while
not only being of benefit at the national level but also at the global scale.

5

We believe that NAMAs provide a real opportunity for developing countries to direct their efforts at therealization of a low-carbon development path. To date, literature on NAMAs has been both accessible
and prolific, but with a particular focus on their theoretical background or detailing the steps involved indeveloping a NAMA.

5

The focus of this Guidebook is therefore on providing an easy-to-read document for practitioners
working in the implementation phase of NAMAs. The idea is to provide a“living document”that will
involve the constant compilation of case studies of the actual experiences of developing countries“atthe ground level”. The lessons learned can then be extracted from those examples and by adding newcase studies shared by our international partner organizations, future steps to take can be inferred.
Without discrediting any other efforts we believe that the compilation of real examples will be the core1

difference with all the other numerous documents published regarding this matter.
Chapters 1 and 2 summarize the historical background of NAMAs, as based on the development ofinternational negotiations under the UNFCCC, and the theoretical aspects that make up the elementsof NAMAs, and the building blocks involved in the preparation of NAMAs. Chapter 2 also introduces thelinks between sustainable development and the low-carbon development plans of developing countries,
as well as financial sources and other support schemes.

2

Two different approaches to take with NAMAs (namely, the top-down approach and the bottom-up
approach) are explained in Chapter 3 with the purpose of providing decision-makers with options to use
in the early planning stage. The top-down approach attempts to cover overall sectoral emissions at themacro level via use of statistical information and models, whereas the bottom-up approach basicallyfocuses on emissions and emissions reduction potential at the activity level (entity, project, or the partsof a program) and aggregates them into a larger mass, which is the equivalent of the total emissions
from the sector concerned.

3

Chapter 4 is a compilation of case studies, although mainly in the Asian region but with the important
addition of a Latin American case study. Finally, the Guidebook concludes with Chapter 5, which
provides key lessons and recommendations obtained in the implementation of the above.
The intention with this Guidebook was to make useful and practical information available to anyone
involved in the implementation of NAMAs. Our belief is that the knowledge made available in thisdocument could be very useful in either the replication of projects or the creation of new ones. Thisinitiative was made possible through a collaboration of several different organizations and hence we

4hope that it will serve as a tool in encouraging dialogue with new partners and further enriching future
editions of this document.

5

6

ACKNOWLEDGEMENTS
The NAMA Guidebook was supported by the Ministry of the Environment, Japan (MOEJ), and as part of
the Program of JCM Project Seeds Development through the Mizuho Information and Research Institute(MHIR). The Overseas Environmental Cooperation Center, Japan (OECC), acted as the Secretariat andmain coordinator of this initiative.

1

We would like to thank our partner organizations in Japan, namely the National Institute forEnvironmental Studies (NIES), the Institute for Global Environmental Strategies (IGES), and MHIR, forcontributing to the writing of this Guidebook and for participating in its overall coordination.
We are extremely thankful to the Ministry of Environment of Cambodia (MOEC), the Ministry of Natural
Resources and Environment of Lao PDR (MONRE), the Ministry of Environment and Green Development(MEGD), Mongolia, and the Ministry of Natural Resources and Environment (MONRE), Vietnam, for2

contributing their case studies. It was extremely beneficial to work together and create the newknowledge that can be shared through this document.
Special thanks go out to our colleagues from the World Resources Institute (WRI and CEP), forgenerously sharing some of their own experiences and also participating in the review of this document.

3

Invitation:
We would very much welcome any messages of intent to share new case studies for use in the
publication of the 2nd edition of this Guidebook. Any comments or inquiries can be sent to:
Miguel Jiro Ogahara
ogahara@oecc.or.jp
Overseas Environmental Cooperation Center, Japan (OECC).

4

5

7

Chapter

2

ORGANIZATION OF BASIC ELEMENTS
OF NAMAS

The Copenhagen Accord and subsequent requests made at the 16th and 17th Conferences of the Parties(COP16 and COP17) for additional submissions have resulted, to date, 57 developing countries andone group having submitted information on their Nationally Appropriate Mitigation Actions (NAMAs)
to the United Nations Framework Convention on Climate Change (UNFCCC) Secretariat. A number ofother developing countries are also in the process of preparing their NAMAs. It is generally understoodthat the aim of NAMAs is to achieve a deviation from Business as Usual (BAU) emissions by 2020 in1

developing countries, however, the definition of NAMAs has remained rather ambiguous, with quite a
bit of room for different interpretations. This has led to a significant amount of diversity in the NAMAs
submitted both in terms of their type and their scope, ranging from project-based actions, sector-based
actions, and policies and measures, and right through to economy-wide targets. However, despite theambiguity of the concept and the diversity of the NAMAs submitted the core feature of NAMAs is thatthey revolve around the context of sustainable development, and can provide significant low carbon
development path opportunities for developing countries.
This chapter provides basic information which can be of aid to the various stakeholders involved when2

considering possible NAMAs. The first section of this chapter discusses the COP decisions that are
related to NAMAs and clarifies what has been agreed upon as minimum NAMA requirements and what isleft up to the discretion of developing countries. The second section then identifies the basic elements
and approaches which policymakers and other stakeholders need to take into account. The third section
introduces various international schemes, both within and outside the UNFCCCC framework, and which
can be of help to developing countries when formulating and implementing their NAMAs.

Elements of NAMAs agreed in UNFCCC COP
decisions

2.1

3

By

Makoto Kato (Overseas Environmental Cooperation Center, Japan)

2.1.1 Introduction
While mitigation actions in developing countries have been in place and in its essence these are not4necessarily new, such actions in the context of the UNFCCC emerged recently. Since the nature of
mitigation actions communicated to the Convention, as mitigation pledges by Non-Annex I (NAI) parties
are framed by recent COP decisions, it is important to sort out what has been agreed as minimum
requirements, and what is being left to the discretion of developing country parties particularly
important.

2.1.2 Historical background5

The UNFCCC, as the legal foundation of the international regime, generally provides its ultimate
objectives, and requires parties to provide national communications on their Greenhouse Gas (GHG)
emissions. The Kyoto Protocol sets legally binding targets for Annex I (AXI) Parties only; while for NAI
parties the Clean Development Mechanism (CDM) was the only way to participate in mitigation actions
at the UNFCCC regime. However, when COP started negotiating a post 2012 regime a lot of attention
was paid to how increasing GHG emissions by NAI parties would be mitigated, together with thoseconcerning AXI, thus making the issue of mitigation by NAI an essential part of the negotiation package.

8

The Bali Action Plan (1/CP.13) adopted at COP13 in 2007 was the first COP decision to explicitly
mention NAMAs, and established a negotiation process for a future regime through the Ad Hoc Working
Group on Long-term Cooperative Actions (AWG-LCA), including mitigation actions to be taken by NAI,
and with a view to achieving an agreement in 2 years’time. The Copenhagen Conference in 2009,
despite rather high expectations, only took note of the Copenhagen Accord, which literally contained
ideas concerning NAMAs in more detail, including a call for pledges from NAI. However, based on this,1

the Cancun Agreement was adopted to formalize those ideas, and the subsequent Durban Decisions
then added procedures and format of reporting through Biennial Update Report (BUR) and International
Consultation and Analysis (ICA). The AWG-LCA concluded the matters that concerned it at COP 18, andthus issues related to NAMAs were decided either to be dealt with by the Subsidiary Bodies or continued
to be discussed at the Ad Hoc Working Group on the Durban Platform for Enhanced Action (ADP).

2.1.3 Elements of NAMAs in the UNFCCC context
2

It is primarily important to note that NAMAs expressed by NAI are diverse, and that due to its inherent
nature NAI can design any kind of NAMAs, being in accordance with their national development
policies and circumstances. At the same time, being made alongside the series of abovementioned COP
decisions, the elements of NAMAs are framed. In other words, the following elements can be perceived
to be the minimum requirements to fulfill when designing NAMAs, together with the general directions
that NAI parties are expected to take.
• NAMAs are always subject to measurement, reporting, and verification (MRV)3

MRV has been a constantly indispensable element both at the outset of negotiations andwhen COP decisions regarding NAMAs were adopted, and it is understood that when NAI are
implementing NAMAs, any such mitigation actions, will be subject to an MRV. The Cancun
Agreements state that while internationally supported NAMAs will be ’MRVed’domesticallythey are also subject to international MRV, while also having decided that domestically supported
NAMAs would be‘MRVed’domestically.
• NAI have access to support by technology, financing, and capacity-building

4

According to the Bali Action Plan, as well as the subsequent COP decisions it is stipulated that
NAI can be supported with technology, financing and capacity-building, and that AXI parties shallprovide enhanced support for the preparation and implementation of NAMAs (para 52, 1/CP.16) .
•	NAMAs should aim (at least) at a deviation from business-as-usual emissions (BAU) in
2020
It was agreed in 2/CP.16 that NAI would take NAMAs in the context of sustainable development,
being supported and enabled with technology, finance and capacity-building, and with the aim of

5

achieving a deviation in emissions relative to BAU emissions in 2020 (para 48, 1/CP.16).1 In otherwords, a deviation from BAU emissions in 2020 is a minimum requirement for NAMAs, and which isexactly why it is so important to both consider and clarify assumptions and methodologies used to
set any such BAU emission goals when designing and implementing NAMAs.

1

	Most of the pledges expressed to date were made in response to the Copenhagen Agreement, and thus any such pledges recorded at
FCCC/AWGLCA/2011/INF.1 do not necessarily contain information regarding a deviation from BAU emissions in 2020. This therefore
makes quantifying GHG emissions and their mitigation as the next step rather important.

9•	NAMAs are reported in BURs and described with quantitative goals and progress
indicators
As a hint for use in shaping the technical nature of NAMAs, the Guidelines for BURs (2/CP.17
Annex III) include a lot of the important parts that constitute NAMAs. For example, NAMAs should
clarify:(a) Information on the nature of the actions, coverage (i.e. sectors and gases), quantitative goals,

1

and progress indicators;(b) Information on methodologies and assumptions;(c) Objectives of the action and steps taken or envisaged to achieve that action;(d) Information on the progress of implementation of the mitigation actions and the underlying
steps taken or envisaged, and the results achieved, such as estimated outcomes andestimated emission reductions, to the extent possible; and(e) Information on international market mechanisms.

2•	NAMAs are encouraged to be linked to low carbon development strategies and planning
NAMAs are considered to be a driver for the co-benefits of sustainable development, and NAMAs
are encouraged to be developed within the larger context of national planning (para 65, 1/CP.16)

2.2
By

3

Shaping NAMAs : Essential building blocks andsteps
Koji Fukuda, Kentaro Tamura (Institute for Global Environmental Strategies)

This section explores andidentifiesthe basic but essential building blocks that need to be taken into
account when designing NAMAs,while also introducinga strategic way of thinking about
1) how NAMAs can beutilizedinpractice to achieve a broader range of national sustainable
development goals,and2) how to establish links between upstream national visions/targets with on-the-ground activities.

4

The possible diverserange of approaches and pathwaysto take whenformulating NAMA tailored tothe individual national circumstances and needs are also discussed.

2.2.1 Link between NAMAs and sustainable development
It is always useful to start with the long-term vision overalland national development aspiration when
initially designing NAMAs:theyare envisaged as being implemented within the context of sustainable5development and toprovide practical opportunities for developing nationsto steer towards taking a low
carbon development pathway.
NAMAs as a tipping point toward low carbon development
Low carbon development (or low emission development in UNFCCC negotiations) is a concept thatrevolves around sustainable development, and has beensteadily gaining growing attentionfrom
theinternational community. There is no agreed definition for what constitutes“low carbon”, but withKing (2009), after having reviewed various attempts to define it, having identified some of the common

10elementsthat are indispensable in achieving sustainability, which are as shown in Figure 2.1.:(i) reducing energy demand;(ii) moving away from carbon-intensive fossil fuels and their associated GHG emissions;(iii) continuing to meet the developmental needs of all groups across society, but especially those of
the poor and/or vulnerable;(iv) ensuring energy security; and1(v) adopting appropriate technologies and policies that continuously lead toward a low carbon society,An emphasis on energy and departure from fossil fuel utilization distinguishes the low carbon
development concept from more general sustainable development paths, but low carbon development
does serve as an integral part of sustainable development.
For developing countries, low carbon developments can provide various leapfrogging opportunitiesthat
will be in accordance with their different stages/levels of development. For example, for Least
Figure 2.1. Low Carbon Development as an integral part of Sustainable Development
Commonly observed elements
in Low Carbon Development
Reducing
Energy Demand
Departure fromfossilfuels/GHGs

Fulfilling
Developmental
needs

Ensuring
Energy Security

Appropriate LC
Technology &Policies

2

Sustainable
Development
Pathway
Implementation

NAMA Linking low carbon (LC) elementswith NAMAs
 Tailored to national circumstances &needs (flexibility)

3

Developed Countries (LDCs) they canprovide the opportunity to take a late comer’s advantageby
tappinginto low carbon technologies, thereby avoiding the carbon lock-in associated with conventionalmodernization and urbanization pathways. Likewise, for middle-income countries they can provide
theopportunity to escape from the“middle income trap”by transforming a resource-intensive economy
to a more efficient and competitive one.

4

These opportunities are indeed well recognized and captured by developing countries in Asia. Thailand,for example, has a draft National Master Plan on Climate Change 2011-2050 that presents a long-term
vision which aims at being a low-carbon society within the next 40 years. In addition, the 11th National
Economic and Social Development Plan 2011-2016 calls for a low carbon economy being part of thenational development strategy. Similarly, Vietnam launched the Socio-Economic Development Strategy
2011-2020 that set a mid-term vision of being an industrialised country by 2020, and with low carbon
development clearly being viewed as an opportunity to transform a resource-intensive economy into5

a more resource-efficient and competitive one. NAMAs, therefore, can serve to be an effective tipping
point toward low carbon development.

11

Figure 2.2. NAMA Design Process
Design Approach 1
 Framing NAMAs using longer-term
visions and goals
 Policies and measures

1

That realisation of such opportunities and national
visions make understanding the different approaches touse when formulating NAMAs particularly useful in thedesign process (Figure 2.2). One approach is to startwith an upstream vision: position NAMAs over the longterm but toward the realisation of sustainable, low carbon
development, and provide developing countries with cost-

NAMA Framing NAMAs using shor -term
visions and goals
 Projects
Design Approach 22effective and technically feasible mitigation policy andmeasure options.
This approach enables NAMAs to be embedded within
national developmental priorities and thus ensures policy
coherence that is coupled to multi-sectoral engagement.
The establishment of links between NAMAs and long-term
visions is then followed by strategic planning that includes
a set of concrete measures to use in achieving the vision

concerned. The second approach focuses on positioning NAMAs within short-term visions instead, andwith goals that emphasize the links between NAMAs and existing policies and measures. In this casethe scope of NAMAs can be considered as being limited to one mitigation sector. Both approaches havetheir own individual advantages and challenges, and thus require different sets of technical capabilities.
Thorough strategic thinking is therefore needed a priori when assessing which approach is best suited
for a particular country reflecting national circumstances, degree of political acceptability, existing

3

capabilities, and national vision on sustainable development. Indeed, developing Asian countries aredemonstrating a wide range of diversity in the approaches they take when crafting NAMAs. This will befurther elaborated upon in Chapter 3 and empirical examples then provided in Chapter 4.

2.2.2 Reflecting developing countries’priorities: Diversity and sectoral comprehensiveness
There is general understanding within the UNFCCC context that the NAMAs of developing countries aim
at achieving a deviation from BAU GHG emissions by 2020 (paragraph 48, 1/CP.16), but the definition

4of NAMAs has basically remained ambiguous, with room left for different interpretations being made by
the country concerned. This flexibility consequently led to a significant range of diversity in submitted
NAMAs in terms of the type and sectoral coverage; ranging from activity that enables the conditions
needed for mitigation, project-level mitigation actions, sector-level actions, policies, and measures, andto economy-wide targets (Fukuda and Tamura 2011).
Here, the enabling conditions include preparation of National Communications, including GHG
inventories, and the identification of NAMAs per se. Project-level actions are essentially CDM-like5

mitigation projects, although with differing levels of maturity and project design details. Economy-widetargets include sub-categories such as absolute emission reduction targets that use a specific baseyear, emission reduction targets that use BAU emissions, as well as intensity emission targets (emission
reductions per GDP) and carbon neutrality (keeping the level of emissions at the same as or less thancarbon sinks).
Given what has been proposed to date by the different countries the sectoral coverage of NAMAs islikely to be more comprehensive than that of the CDM. The CDM is a market-based mechanism, andhence tends to be more biased toward specific sectors. On the other hand, it is ultimately developing

12

countries that decide the sectoral scope of NAMAs1. From the standpoint of sectoral inclusiveness it
is therefore worthwhile pointing out that building, transportation, agriculture, and forest sectors are
all fairly evenly covered by NAMAs. Those sectors are often not sufficiently tapped nor captured by
CDM, even though they can have significant implications for the sustainable development of developing
countries. This then suggests a possible strategic utilization of NAMAs; the harnessing of both NAMAs
and CDM in a complementary manner in thereby identifying and realizing a broader range of mitigation1

potential and needs at an appropriate scale.
Table 2.1. Diversity of Submitted NAMAs
Category 1 Category 2

Category 3

Category 4

Enabling
Project-level
Activities
Conditions1

Sector/policy-level Activities

Economy-wide Targets

Afghanistan Ethiopia
Georgia
JordanTajikistan
Mongolia
MoroccoThe former
Yugoslav
Republic ofMacedonia

Algeria
Eritrea
Intensity
targets
Argentina
Gabon
(GDP)
Armenia
Ghana
Benin
Madagascar China
India
Botswana
Mauritania
Cambodia
Mauritius
Cameroon
Peru
Central
San Marino
AfricanSierra Leone
Republic
Togo
Chad
Tunisia
Colombia
Congo
Côte d’Ivoire

Absolute targets
Base Year

BAU

CarbonNutrality2

Antigua
Barbuda(1990)
MarshallIslands(2009)
Republic ofMoldova(1990)

BrazilChile
Indonesia
IsraelMexicoPapua New
GuineaRepublic of
Korea
SingaporeSouth
AfricaBhutanCosta Rica
Maldives

2

3

Note:	1 Category 1 includes such mitigation related actions as preparation for Initial National Communication (INC), GHG
Inventories, identification of BAU emission paths, and identification of actual NAMAs themselves, among others.
	2

Carbon neutrality refers to achieving zero net GHG emissions by balancing total anthropogenic GHG emissions withthe total amount of carbon sequestrations, emission reductions, and offsets.
Source: Fukuda and Tamura (2011), modified.

4

2.2.3 Key elements of NAMAs
The NAMA formulation process requires thorough planning with respect to how to design and link the
different building blocks used together, followed by a national consensus creation process throughmulti-stakeholder consultations. Even in cases where NAMAs could also have been decided upon in a
decidedly top down fashion, for example like Indonesia, ensuring stakeholder engagement and national
consultations remains the key to successful implementation and with a strong sense of ownership. Thisnation-wide, inclusive exercise can be indeed extremely time-consuming and labor-intensive in nature;5

the process typically requiring the effort, commitment, and skills of all those involved, along with an
expected institutional capacity in leading, facilitating, and concluding the process to enable informed
national decision-making. However, the reward of this transformation can be enormous; if well-designed
NAMAs can serve as the tipping point for steering a country towards a low carbon development path,
which can then attract and mobilize additional support and investment.

1

An exception could be crediting NAMAs in which the market continues to play a dominant role.

13

What, then, should constitute NAMAs? The integration of national circumstances and sectoralprioritization is required on a country by country basis alongside their differing national circumstances,
but the below diagram summarizes the major steps, tools, and institutions that are essential when
formulating NAMAs embedded in a national plan, and subsequent implementation stages.
Figure 2.3. Sectoral Convergence of

1

Nationally Appropriate Mitigation Actions(NAMAs) submitted to the UNFCCC
Secretariat

While keeping the key steps and tools of the planningstage of NAMAs in mind it is essential to also build on andelaborate upon the three dimensions (technical, mainstream,and institutional) involved in NAMAs, and which can then lay
the foundation for a national NAMA formulation consensus
to be reached.
Technical dimension: NAMAs need to be based on an
accurate understanding of current and future GHG emissions
trends, possible mitigation options, and their cost implications.

2This dimension constitutes: 1) an understanding of current
GHG emissions and projection of future GHG emissions; 2)
identification and prioritization of mitigation options; and3) cost estimates of mitigation options. Each component
requires technical expertise with analytical capacity atnational level, which in part, can be supplemented by
Source: ECN ECOFYS, 2012

harnessing domestic technical institutions and experts. This
strategic engagement of domestic institutions is indeed3

needed to ensure long-term national capacity development, as well as to ensure national ownershipand confidence in the process. Further technical assistance and capacity development can be injected
to help closing the capacity gap required for analysis, identification, and implementation of mitigation
options/scenarios for NAMAs. Even in the case of project-level NAMA formulations this kind of technicalinformation can serve as a robust basis for policymakers to strategically prioritize specific mitigation
projects that are consistent with national development plans and priorities.

4

5

14

FigureToolsatatFormulation
FormulationPhase
Phaseofofeconomy-wide
economy-wide
NAMAs
Figure2.4.
2.4. Major
Major Steps
Steps and Tools
NAMAs

OutcomeRealizing national sustainable development and contributing to global effort to mitigate
adverse impacts of climate change as a UNFCCC member state, by steering country
towards low carbon development pathway by 2020

1
1. Setting National Vision/Direction for Climate Change Mitigation
Setting National Mitigation Target / Vision

i.e. Emission reduction target

Mainstreaming into National Development Plani.e. Chapter/section on mitigation
i.e. Prioritization of measuresinter-sectoral, intra-sectoral,
division of roles between
central-local governments

National Climate Change Strategy
National Policy on Climate Change

2

2. Setting the Means of Implementation and Achievement Plan
Setting Achievement Plan (Policy and Measures Matrix)
Activity Lists for Sectors/Themes

i.e. Sorting out/combining new andexisting relevant activities

Duration of Envisaged Activities

i.e. Project lifespan, next steps

Identifying Implementing/Executing Entity

i.e. Division of labour / roles

Estimating Implementation Cost

i.e. Source of budget (funded/seeking
funds, domestic/international)

Calculating Expected Impact

i.e. Direct (avoided/reduced emissions),
indirect (co-benefits)

3

Figure2.5.2.5.
Tools
thatthat
SupportTechnical
Dimensions
and Prerequisites
FigureTools
SupportTechnical
Dimensions
and Prerequisites

4

BAU, Baseline Analysis
Double Counting Risks

Understanding Current
Emission Levels/Patterns

Identifying Appropriate
LC Technologies

Cost
Estimation

Models(Future Projection)

GHG
Inventories

Needs
Assessment

National MAC
Curve

Tools

Prerequisite Future Emission Projection
based on various models (i.e.
LEAP, AIM, MESSAGE, IMAGE) Analysing results, explaining
results in non-technical terms

 Emission level Emission patterns(sectoral trend) Mitigation potential
 Activity data, refining
emission coefficient Technology needs
assessment (focused
mitigation)
 Capacity needs
assessment

 Cost of LC
technology options
 Planning
introduction of LC
technologies

 Domestic technical capacity forrunning models & analysing
results
 Training domestic technicalexperts

 Permanent GHG Inventory
team Robust line of datacollection and reports
 Sophisticated estimations

 Understanding current
domestic capacity
levels and needs
 Review of relevant
existing policies andactivities

 Understanding
appropriatetechnology vsstate-of-the-art
 Timing of LC
technology
introduction

5

5

15

Mainstream dimension: In principle, NAMAs need to be embedded within overall national priorities.
This dimension consists of three components: 1) inclusion of a climate change mitigation agenda within
national development plans and priorities; 2) identification of priority sectors, policies, and measures;and 3) the development of mitigation action plans with operational details. Mainstreaming is essential inensuring policy and sectoral coherence, and provides a rationale for future budget allocations.

1

For the first and second component, it is important for a country to seize the right“timing”ofmainstreaming to ensure that climate change mitigation agenda is adequately captured. For example,
injecting climate change mitigation agenda at the planning year/stage will be critical to be reflected
and align with the life-cycle of 5-year development plan. The same principle applies to alignment withsectoral policies, by capturing drafting and revising process for the climate change agenda to be taken
into account. Such careful planning on“when”and“how”could expedite ensuring consistencies andcoherence among existing plans and policies within the country.

2

For the third component, from operational perspective, it is also ideal that the mitigation action plans
resulting from mainstreaming efforts reach the certain level of specificity (clearly identifying envisaged
goals, outcomes, outputs, durations and cost estimations for each actions defined). This will certainly
increase predictability of the impacts of NAMAs, help avoiding NAMAs to become simple wish-lists, andhelp interested donors and investors to better identify areas of support with confidence.
Institutional dimension: NAMAs need to be formulated through a cross-ministerial decision-making
process that can be used to coordinate and reconcile diverse domestic interests. This dimension again

3

consists of three components: 1) the establishment of a national, cross-ministerial decision-making
process on climate change mitigation, preferably being a high-level setting and therefore capable ofreconciling any potential conflict between the different institutions involved; 2) coordination of thedifferent stakeholders involved in the mitigation efforts; and 3) task allocation of NAMAs formulation andimplementation among the ministries and stakeholders concerned.
Figure 2.6. Model Institutional Framework that Supports NAMA Formulation and Implementation

4

National Steering Committee(multi-sectoral setting)Domestic Fund for NAMAs(if desired)

Secretariat(National Office for coordinating NAMAs)

Technical Working Group(Thematic)

Basis for
BUR/NC5

 Reports progress,
delivers output, identifies
challenges

 Oversight, technical guidance,
resource allocation, monitoringand evaluation

Implementing/Executing Entity
Sector/Activity A(i.e. Energy)

16

Sector/Activity B(Forestry)

Sector/Activity C(Agriculture)Ensuring harmony between the different institutions with their different mandates and priorities requires
solid managerial and facilitative capabilities and experience (Fukuda and Tamura 2012). That role can,however, be further reinforced by affording appropriate legal status to the coordinating entity. The
appointment of any such coordinating entity, however, requires political considerations and capacity
assessments to be taken into account in thereby ensuring harmonization proceeds accordingly. And in
addition to these elements a country may opt to create a domestic fund to use to amass and channel

1resources designated for NAMAs implementation.

2.2.4 Progress observed in Southeast Asia and lessons learnt
Fukuda and Tamura (2012) provide comparative assessments of NAMA formulation processes infive ASEAN countries—Cambodia, Indonesia, Lao PDR, Thailand and Viet Nam—along with the three
analytical dimensions. This section provides snapshots of the progress and efforts made by these
ASEAN countries over the three dimensions of NAMAs.

2

Technical Dimension of NAMA Formulation
Observations• There are observable differences in the level of in-house capabilities of the five countries. At
moment Cambodia and Lao PDR display the gap between existing domestic technical capabilities
and technical expertise required for analyses and country projections, whereas the other countries
are equipped with higher levels of technical capabilities.
• Data collection and sharing across the different ministries pose a challenge to all the countries.

3

However, various initiatives are being implemented in thereby addressing this issue. For example,
Indonesia advanced in establishing a legal basis for national GHG inventories and the placement ofa permanent team, while Viet Nam is also in the process of establishing institutional arrangements
regarding inventories.
• Indonesia and Thailand are also creating voluntary emission reduction schemes with quite robust
accounting rules and emission reduction systems. These measures contribute to the streamlining ofdata collection and sharing, and strengthen the MRV foundation.
Lessons Learnt

4• All the countries has room for the further improvement and sophistication of their technicalcapability to capture GHG emission trends using BAU estimates, mitigation potential, and associatedcost. Enhancing these technical capabilities based on detailed needs assessment can contribute tofurthering a sense of ownership of NAMAs.
• Ideally multiple sets of projection models need to be identified, selected and utilized that will thentrigger national technical discussions and improve projection accuracy, while also enabling crosscountry comparisons.
• Existing initiatives to improve the collection and sharing of data can provide mutual opportunities

5

within the region, and experience then shared between neighbouring countries that will induce
positive technical spill-overs. Support modality for any such south-south cooperation therefore
needs to be elaborated upon towards robust national data management and sharing system.
Mainstream Dimension of NAMA Formulation
Observations• While mainstreaming efforts can be observed in all the countries there is a contrast in terms of thelead entity involved in the mainstreaming process. Developmental ministries were assigned to play17the lead role in Indonesia and Viet Nam, but environmental ministries and agencies in the case of
Cambodia and Thailand. Further analysis could prove helpful in assessing how and to what extent
any such difference in the lead entity and their capabilities can affect the actual implementation of
the mainstreaming process in each country.
• Most of the countries try to ensure NAMAs’contribute to sustainable development via useof existing sectoral policies and programmes (energy efficiency, renewable energy, forestry,

1

agriculture) as the initial point when considering NAMAs.
Lessons Learnt• Regardless of which entity takes the lead in the NAMA formulation process they must have theappropriate capabilities, experience and confidence to lead, coordinate, and facilitate the domestic
process involved.
• Drawing from existing sectoral policies and programmes is a reasonable entry point for NAMAs. It
is important to view NAMAs as a continuous process involving raising the level of mitigation actions
over time rather than a one-off event, and through which developing countries can increase the2level of mitigation actions and expand the scope of mitigation activities. This is an area where themainstream dimension interacts with the other two dimensions (technical understanding of mitigation
potential and cost estimate, and institutional arrangements for decision-making and implementation).
Institutional Dimension of NAMA Formulation
Observations• All the five countries have established high-level cross-ministerial policy processes. However,further analysis is necessary regarding identifying how they actually work. In particular, the3question of how the design and formulation of NAMAs should be discussed is yet to be determinedin some of the countries, for example Thailand and Viet Nam.
• The emergence of NAMAs creates evolving dynamics in how climate change mitigation is managed
domestically in many developing countries. Any such change results in“Institutional congestion”, as isindeed observable in most of the countries examined. Many NAMA-related initiatives and similar but
not identical initiatives, for example Low-Emission Development Strategies (LEDS) and national green
growth strategies, are simultaneously emerging in each country. This could potentially result in asound level of competition between the various initiatives, but in reality there can be unnecessary

4overlapping and inefficiency alongside fragmentation of resources, which then leads to institutional
congestion.
Lessons Learnt• Physical establishment of climate change institutions is an important initial step in the NAMA
• formulation process, but it does not automatically prove the robustness of any such institution nor
become a proxy for institutional capabilities to effectively handle multi-sectoral reality. The ideal
situation would be capability assessments and developments being planned and then provided tothe designated lead entity in strengthening the NAMA formulation process.

5• Relieving any potential institutional congestion requires both improving the capabilities of thedomestic coordinating bodies involved in the various sectoral initiatives and streamlining the varietyof NAMA-related support provided through harmonization efforts among international donors.

18

2.2.5 The way forward
In essence, NAMAs do provide practical opportunities for developing countries; if well-designed they canserve as an effective tipping point for transforming countries towards low carbon development, which isthe essential component in envisaged sustainable development. Flexibility being attached to country’s
individual interpretations of NAMAs does allow for developing countries to tailor to and incorporate

1

their differing national circumstances but can also pose the risk of resulting in a poor design if not wellplanned. Strategic thinking is therefore highly recommended with regard to how to best seize any suchopportunity. Linking upstream national visions/targets to on-the-ground activities can be one approach
used in NAMAs formulations and which will therefore be further explored in the following chapters.
The design, selection, and effective utilization of the steps and tools used with NAMAs are also crucial
in increasing the robustness of the formulation process, along with planning on how to invest in andstrengthen the three dimensions involved in NAMAs: technical, mainstream, and institutional dimensions.

2

NAMA formulation processes can already be observed to have made progress in many developing
countries, but various practical challenges still remain. NAMAs require concerted and coordinatedefforts by all the domestic stakeholders during their formulation stage. This process ensures appropriate
interpretations to remove any conceptual ambiguity and in accommodating the variety of mitigationneeds.
NAMAs being considered using a timeframe and envisaging the possible evolution of component

3

activities also enables them to be linked to longer-term sustainable development. And in this sense,
therefore, NAMAs should not be regarded as a one-off event and instead a continuous process throughwhich developing countries can increase their level of mitigation actions while also expanding theirscope over time. Strategic long-term consideration of adopting more ambitious mitigation targets and/or activities, as well as expansion into other mitigation sector activities and areas over time could boththerefore also be very useful in the process.
Developing countries also need to take into consideration strategic thinking with regard to how to best4

utilize NAMAs to attract more international support in terms of finance, low carbon technologies, andcapability creation. Schemes that can be used to support NAMAs will be discussed in the following
Section 2.4.
References:
Fukuda, K
 ., and K. Tamura (2011)“An Analysis of Non-Annex I Parties NAMAs: Challenges for Designing
International Support and Implementing an Effective MRV Framework”Negotiating a Low Carbon
Transition in Asia: NAMAs and MRV. Hayama: Institute for Global Environmental Strategies.

5

Fukuda, K
 ., and K. Tamura (2012)“From NAMAs to Low Carbon Development in Southeast Asia:
Technical, Mainstreaming, and Institutional Dimensions”IGES Policy Brief #23 Hayama: Institutefor Global Environmental Strategies.
King, P. (2009) Low Carbon Development Path in Asia-Pacific—Background Paper. Hayama: Institute for
Global Environmental Strategies.

19

2.3
By

NAMA finance and support schemes
Yuqing Ariel Yu, Kentaro Tamura, Koji Fukuda and Noriko Shimizu (Institute for Global Environmental Strategies)

NAMA finance aims to effectively mobilize financial resources for developing countries to use informulating and implementing NAMAs. There are also various other non-financially based schemes

1that can be used as support when preparing and implementing NAMAs. NAMAs tend to have agreater focus on integrating climate policy actions with the sustainable development goals ofdeveloping countries, and therefore NAMA support, in principle, should not be limited to specificprojects and instead program based and available across the entire sector or industry.
The lack of a clear definition for a NAMA indicates that there exists considerable room for flexibility
and customization when designing NAMA support schemes. International support for NAMAs iscurrently available both from the UNFCCC (Section 4.1) and externally to the UNFCCC through2bilateral and multilateral initiatives (Section 4.2).

2.3.1 UNFCCC schemes
Financial Mechanism used by UNFCCC
The existing operating entity of the UNFCCC financial mechanism—the Global Environmental Facility(GEF)—has distributed the largest amount of mitigation finance to date but is in fact not dedicated to3

supporting NAMAs. The GEF fourth and fifth replenishments (2006-2014) resulted in only two approved
Asian projects having been specified in title as NAMA projects, although many projects may actually beclosely analogous to NAMAs and have the potential to be recognized as NAMAs by recipient countries
in the future.
However, that situation is expected to change after the operationalization of several emerging UNFCCC
schemes. The intention with the new operating entity of the UNFCCC financial mechanism—the Green
Climate Fund (GCF)—is to become the main global fund for use in climate financing matters and aims

4

at pursuing a country-driven approach, while also promoting environmental, social, economic anddevelopmental co-benefits (GCF, 2011).
NAMA Registry
Another emerging UNFCCC scheme involves a NAMA Registry2. The NAMA Registry incorporates two
major functions: 1) facilitating matches between NAMAs seeking international support with finance,technology, and capability creation support; and 2) providing NAMAs with international recognition(Figure 2.7). Before the official launch of the registry any developing countries that sought NAMA

5support and recognition and donors offering potential support would submit information to a prototypeof the registry. 12 activities from 5 developing countries had been registered as NAMAs seeking
preparation support by August 2013, along with 24 activities from 8 developing countries as NAMAs
seeking implementation support.

2

20

For further details of the NAMA Registry, see http://unfccc.int/cooperation_support/nama/items/7476.php

Figure 2.7. Matching Function of the NAMA Registry

1

2

They included Indonesia and the Cook Islands seeking implementation support and Germany and the UK,
along with the GEF, submitting information on available support. No matches between them have takenplace yet but which can be expected to occur after the registry has been officially launched.

3

Climate Technology Centre and Network (CTCN)
The Climate Technology Centre and Network (CTCN)—the operational arm of the UNFCCC Technology
Mechanism—is another emerging scheme that can assist developing countries to prepare and implement
their NAMAs (Figure 2.8)3. The CTCN does not provide any direct funding to developing countries andinstead aims to support the development and transfer of climate change mitigation and adaptation
Figure 2.8 Climate Technology Centre and Network

technologies in developing
countries through the4provision of expert technicalassistance (CTCN, 2013).
Developing countries canmake requests throughNationally DesignatedEntities (NDEs) to the Climate
Technology Centre (CTC),
which the CTC and the5

Climate Technology Network(CTN) then respond to.
Further details regarding its
operation and arrangements
are, however, yet to be
determined.

3

For further details on CTCN, see http://www.unep.org/climatechange/ctcn/

21

Framework for Various Other Approaches: Joint Crediting Mechanism
The Japanese government is proposing use of a Joint Crediting Mechanism (JCM) as a scheme within
the framework used for various other approaches, but which is still being discussed. The JCM is ascheme through which Japanese low carbon technologies can be transferred to mitigation projects in
the host developing country and verified reductions or removals from mitigation projects then used aspart of internationally pledged GHG mitigation efforts by the two reciprocal countries in the future (Figure

12.9). The JCM is currently operating as a non-tradable crediting mechanism. As of January 2014
the Japanese government had concluded bilateral JCM agreements with ten developing countries’
governments (Mongolia, Bangladesh, Ethiopia, Kenya, the Maldives, Viet Nam, Lao PDR, Indonesia, Costa
Rica, and Palau).

2.3.2 Bilateral and multilateral initiatives
Bilateral initiatives

2

The expectation is that NAMA support will rely on bilateral funding, at least over the short term, due
to several reasons (Tilburg et al., 2012). First, the political nature of NAMAs is somewhat incompatible
with the non-political stance that Multilateral Development Banks (MDBs) typically maintain. Second,
agreements being reached on acceptable criteria for NAMA support is more difficult with multilateralthan bilateral sources of support. Third, some developed countries are demonstrating a very strong will
to prove the NAMA concept and are pushing forward with their climate negotiations.
Figure 2.9. Joint Crediting Mechanism proposed by the Japanese government

34Source: Ministry of the Environment, Japan

5

22

Table 2.2. A selection of bilateral support for NAMA readiness involving Asian countries
Type ofinstrument

Lead institute(s)DeutscheGesellschaft fürInternationale
Zusammenarbeit(GIZ)

Financeinstitute

Bilateral
initiative/program

TRANSfer

Description

Supportedcountries

Develop climate change
strategies within thetransport sector forregistration as NAMAs

Indonesia,
Colombia, andSouth Africa

Malaysia,
Vietnam, South
Africa, andTurkey1

Japan international
cooperation agency(JICA)

Master plan forenergyconservation

Support government
agencies to acquire thedata collection skills andframework formulation
regarding reducing energy
intensity

The Nordic
environment financecorporation (NEFCO)
and the Nordic
working group for
global climate
negotiations (NOAK)

Nordic Partnership
Initiative

Increase the capacity of
host countries to evaluate,
structure, and implement
NAMAs

Vietnam andPeru

2

MAIN dialogue

Increase the capacityof developing countries
to design and develop
ambitious NAMAs that canleverage contributingcountry funds in achieving
both greenhouse gas andsustainable development
goals

China,
Indonesia,
Malaysia,
Philippines,
Thailand,
Vietnam, andLatin Americancountries

3

Mitigation
MomentumSupport the developmentof NAMAs by contributing
to the development of
concrete NAMA proposals
and foster cooperationand knowledge exchanges
within the NAMA
community

Indonesia
and 4 othercountries

EcofysNAMA database

Track ongoing NAMA
activities ranging fromfeasibility studies toimplemented actions using
publicly available sourcesn/aOverseas
Environmental
Cooperation Center(OECC)

Human capability
creation for
NAMAs
development andMRV
implementation

Create human andinstitutional capabilities
with regard to NAMA
development and MRV
implementation

World Resources
Institute (WRI)

Measurement andperformancetracking (MAPT)

Support the development of
MRV systems for NAMA

Centre for Clean Air
Policy (CCAP)

ECN and Ecofys
Research
institute4

Cambodia, Lao
PDR, Mongolia
and Vietnam

5

India, Thailand, and4 other countries

Source: Hansel et al., 2012; UNEP, 2012
Note: This is not a complete list as many bilateral efforts are received very little publicity. Bilateral initiatives wereorganized alphabetically according to their head institute.

23

NAMA Preparation
Germany, the United Kingdom, Norway, and Japan are the major countries that have provided
NAMA support to date. The majority of bilateral support has focused on preparatory and readinessactivities. These activities incorporate a broad range of elements and focus on different phases of
NAMA development, from awareness rising and institutional creation, and then right through to NAMA
proposal development (Tilburg et al., 2012). In some cases, NAMA readiness support is combined with1

support for related concepts such as low-emission development strategies or MRV systems. Most of this
support to date has come from fast-start finance (Cameron, 2012). Fast-start finance ended in 2012,
and it is therefore unclear what mechanisms will be utilized to support NAMA preparation in the future.
It can also be observed that support for NAMA readiness has been separated from support for NAMA
implementation; that is, those who have supported NAMA preparation re yet to have also committed
to financing any resulting NAMAs (Cameron, 2012). This dichotomy of NAMA financing therefore
leads to the question of coherence and coordination being involved in international support. Table 2.2
summarizes a selection of bilateral NAMA preparation initiatives involving Asian countries.

2

NAMA Implementation
Within Asia two NAMAs are seeking external support for their implementation. Indonesia’s sustainableurban transport initiative revolves around the goal of achieving urban transport emissions of 15%
below BAU by 2020 in specific pilot cities. This NAMA is being supported by the International Climate
Initiative of the German Federal Ministry for the Environment, Nature Conservation, and Nuclear Safety(BMU) with regard to its preparation and it is envisaged that this cooperation will continue to be in place
for its implementation (Indonesia, 2012). In addition, the Cook Islands’NAMA involving support for the
implementation of 100% renewable electricity sources by 2020 has received funding from Japan under3

the Pacific Environment Community Fund for the purchase and installation of solar photo voltaic systems
for several islands and with funding from New Zealand for the remaining islands. The Cook Islands
is seeking even more assistance to implement their NAMA and to achieve their overall goal of 100%
renewable electricity sources by 2020 and the phased-in goal of achieving 50% by 2015 (Cook Islands,
2012).
Norway’s funding for Indonesia’s REDD+ activities is one of the few examples of support for full-scale
implementation having being committed to. In addition to meeting the costs of readiness and capability
building Norway continues to provide payments to Indonesia, being based on verified emissions

4

reductions. This bilateral support has very clearly contributed to Indonesia’s 41% GHG emissions
reduction target, although it has yet to be recognized as a NAMA.
South-South initiatives
South-south flows have emerged as a new channel for NAMA support. For example, a project entitled“Analysis issues and options for implementing NAMAs”, led by India’s Energy and Resources Institute(TERI) and in partnership with China’s Tsinghua University, Brazil’s Vitae Civilis, and South Africa’s
University of Cape Town, aims to develop a framework for use in assessing the appropriateness of agiven mitigation action within the context of a particular developing country (Hansel et al., 2012). South-5

south initiatives have already gained more and more attention from the international community than
before, and do present opportunities for additional climate financing.
Multilateral initiatives
NAMA Preparation
Several UN agencies are taking the lead in supporting the preparation of NAMAs. UNDP’s Low Emission
Capacity Building Programme (LECB) aims at strengthening technical and institutional capabilities at thenational level for identifying and formulating NAMAs. The LECB is supported through contributions from24the European Commissions, the German BMU, the Australian Department of Climate Change and Energy
Efficiency, and AusAID, while is implemented by the UNDP. This program runs through to 2016 and isactive in 25 countries throughout the world. Other multilateral initiatives include UNEP’s NAMA pipeline
and the program for facilitating implementation and readiness for mitigation. Table 2.3 summarizes
multilateral initiatives for NAMA preparation involving Asian countries.

1

Table 2.3. A selection of multilateral initiatives for NAMA readiness involving Asian countries
Multilateral initiative

Description

Lead institute(s)Supported countries

Low emission capacity
building programme

Identify and formulate NAMAs, lowemission development strategies,
and mitigation action

UNDP

Bhutan, China,
Indonesia, Malaysia,
Philippines, Thailand,
Vietnam, and other 17
countries

Facilitating Implementation
and Readiness for
Mitigation

Strengthen national mitigationplans and identify and elaborate
NAMAs

UNEP

Indonesia, Vietnam,
and 5 other countries

NAMA pipeline

Used for all submissions to
the UNFCCC from developing
countries and countries intransition towards creating
NAMAs.

UNEP Risoe Centre

n/a2

Source: Hansel et al., 2012

NAMA Implementation
There are presently no multilateral climate funds dedicated for use with NAMA implementation, although3

many initiatives of MDBs do bear a strong resemblance to NAMAs. In Asia, the Climate Investment
Funds’Clean Technology Fund has provided the largest amount of mitigation finance and is supporting
mitigation actions in six countries4 (Table 2.4). The Asian Development Bank’s Clean Energy Financing
Partnership Facility and Climate Change Fund are the key mechanisms used to mobilize resources in the
Asian region for use in addressing climate mitigation through technical assistance and grant components
of investment projects. Although multilateral initiatives in Asia have shown little indication on whether or
not NAMAs are explicitly included in their approach, the experience gained and knowledge learned fromusing MDBs to support mitigation actions will enable them to become a potentially important channel for

4

NAMA financing.
Table 2.4. Multilateral funds and initiatives supporting
Asian mitigation activities (USD millions)
Fund

Amountapproved/disbursed

Projects

Clean Technology Fund (CTF) of Climate Investment Funds (CIF)

520

19

GEF 4th replenishment

377

74

GEF 5th replenishment

207

32

ADB Clean Energy Financing Partnership Facility (CEFPF)

90

97

ADB Climate Change Fund (CCF)

29

0.24

Global Energy Efficiency and Renewable Energy Fund

29

4

WB Scaling Up Renewable Energy Program

24

11

5

Sources: Climate Funds Update, CEFPF, and CCF websites

4

CTF Asian countries are Indonesia, Vietnam, India, Kazakhstan, Philippines, and Thailand.

25

Multilateral mitigation funds, including GEF and CTF, use an international access model, in which fundmanagement and implementation are undertaken at the international level by a multilateral institution
and with fund execution either taking place at the national level or remaining within the multilateral
institution (Figure 2.10). Direct access and enhanced access modalities5 have not been observed in
mitigation and NAMA financing by multilateral funds at the implementation stage.

1

Figure 2.10. International Access modality

2

Function

Fund management:
Make funding decisions

Fund implementation:
Propose and appraise
programs and projects

AccessThe multilateral institution

The multilateral institution

Fund execution:
Undertake programs
and projects

Designatednational
entityThe
multilateral
institution

References
Cameron, L. (2012) Recent trends in support for NAMAs.
http://ccap.org/assets/Annual-Status-Report-on-NAMAs_Germany-ICI-2012.pdf
Climate Technology Centre and Network (2013) About CTCN. http://www.unep.org/climatechange/ctcn/

3

Cook Islands (2012) Islands Renewable Energy Chart Final. April 2012.
http://cook-islands.gov.ck/docs/renewableenergy/Cook%20Islands%20Renewable%20Energy%20
Chart%20Final%20April%202012.pdf
Green Climate Fund (2011) Governing instrument for the Green Climate Fund.
http://unfccc.int/resource/docs/2011/cop17/eng/09a01.pdf
Hansel, G., F. Roser, N. Hohne, X. van, Tilburg, and L. Cameron (2012) Annual status report on Nationally
Appropriate Mitigation Actions.
http://ccap.org/assets/Annual-Status-Report-on-NAMAs_Germany-ICI-2012.pdf

4

Republic of Indonesia (2012) NAMA implementation Indonesia sustainable urban transport.
http://unfccc.int/files/cooperation_support/nama/application/pdf/nama_implementation_indonesia_
sustainable_urban_transport_initiative.pdf
Tilburg, X. van, F. Roser, G. Hansel, L. Cameron, and D. Escalante (2012) Status report on nationallyappropriate mitigation actions—mid-year update. May 2012. ECN and Ecofys.
UNEP (2012) NAMA finance study: Examples from the UNEP bilateral finance institutions climate change
working group.
http://www.unep-fin.org/article/publications/3-unep-bfi-ccwg/35-nama-finance-study-examples-5

from-the-unep-bilateral-finance-institutions-climate-change-working-group.html
UNFCCC (2011). Durban outcomes. http://unfccc.int/essential_background/items/6825.php

5	Direct access modality keeps fund management at the international level, while enables fund implementation and execution to takeplace at the national level. Enhanced access modality delegates all three functions—management, implementation, and execution—
to national designated entities.

26

Chapter

3

APPROACH OF NAMA DECISIONSInstitutions such as the ministries in charge of climate change or environmental issues are responsiblefor developing short and long term strategies in order to mitigate the effects of climate change. Mostof them take into consideration not only local circumstances but also the goal of achieving low carbon
paths, and ultimately sustainable development, but putting them into practice at the ground level has
revealed that setting emission reduction targets is not as simple as it may first seem.
This chapter introduces two different approaches to use when calculating mitigation reductions that can1

be of use in both the planning and implementation of NAMAs. The top-down approach involves NAMAs
being selected based on national GHG emission reduction target decisions and then a breakdown ofeach sector’s targets, action plans, and projects. In contrast to that the bottom-up approach focuseson emissions and emission reduction potential at the activity level (entity, project, or the individual partsof a program) and then considers them overall, which is the equivalent of the total emissions from thesector concerned.
Measurement, Reporting, and Verification (MRV) is an important additional component to the planningstage that is required with NAMAs. This chapter therefore provides some information regarding MRVs

2

with respect to policy based NAMAs and uses the Kyoto Protocol Target Achievement Plan (KPTAP),
which was developed in Japan, as a concrete example.

3.1
By

Top-down approach
Kazuya Fujiwara (Mizuho Information and Research Institute)3
3.1.1 Basics of Top-down Approach
The“Top-Down approach”involves NAMAs being based on national GHG emissions reduction target
decisions and then a breakdown of the individual sector, action plan, and project targets. The point thathas to be taken into consideration is that NAMA development using this approach must be consistent
with the overall national and local strategies, current policies, and future projections regarding economic
and technological developments, etc.

4

In countries where national GHG emissions reduction targets and national strategies regarding lowcarbon development have already been determined, NAMAs get developed as more elaborate actionplans using the aforementioned national targets and strategies. In this case it is likely that GHG
reduction potential and GHG abatement costs, etc. will be taken into consideration in the preparatory
stage of national targets and strategies being set.
Ensuring the greater feasibility and effectiveness of NAMAs requires GHG emissions trend projections,5calculating the cost of installing new technologies and systems, and researching the economic impact.
NAMA development is therefore sometimes accompanied by analysis that utilizes models.

27

3.1.2 Roles of models
3.1.2.1 Roles of models
As mentioned above models can provide quantitative data with respect to the cost or impact of GHG
mitigation actions. Models therefore have a significant role in developing NAMAs because any suchdata is often an essential component used in determining national targets and the roadmap development

1

process. A number of researchers have designed a large variety of models for use in the field of low
carbon society research. Policy makers and stakeholders can also gain very useful information about
mitigation actions via analysis of those models and in thereby ensuring more appropriate decision
making takes place.
3.1.2.2 Features of each model
Models used in low carbon society research can be divided into two groups; top-down and bottom-up.
Top-down models apply economic theories in socio-economic situations and macro-economic analysis,2

while bottom-up models amass data from individual technology or economic activity to use in analysis.
Some major models categorised as top-down models include ENV-Linkages (by OECD) and AIM/CGE (by
NIES, Japan) etc. and bottom-up models: MARKAL (by IEA et al.), MESSAGE (by IIASA), and AIM/Enduse(by NIES, Japan), along with many others. The table below shows the features and output that are used
as input by policy makers for each model.
Table 3.1. Features and output of models

3

Model

Top down

Focus on theoveralleconomic
processes

ENV-Linkages

AIM/CGEMARKAL

4

Bottom up

Focus on theindividualenergytechnologies

MESSAGE

AIM/Enduse

5

Explanation
A recursive dynamic neo-classical equilibrium model created using a
database on national economies, which can be used to deal with multisectoral and multi-regional assumptions and to connect economic activities toenvironmental pressure such as GHGs. (*1)
A multi-sectoral and multi-regional computable general equilibrium model forassessing future economic activities, including mitigation activities, and basedon analysis of energy efficiency improvements made in all the sectors using
technology developments. (*2)
A generic model tailored for data input that represents the evolution over the
typical period of 40 to 50 years of a specific energy system at the national,
regional, state or province, or community level. In addition, the basic
components are specific types of energy or emission control technology, andthus the model is used to select the combination of technologies that minimize
the overall cost. (*3)
A system engineering optimization model used for mid- to long-term energy
system planning, energy policy analysis, and scenario development. The
model provides a framework for representing an energy system and with all its
interdependencies form resource extraction, imports and exports, conversion,transport, and distribution through to the provision of end-user energy
systems. (*4)
A dynamic recursive model in one year steps and a linear optimization
framework through which system costs can be minimized and which takes
constraints such as service demands and the availability of energy technology
into account. The model can be used to estimate energy consumption and
GHG emissions driven by technological change. (*5)

*1: OECD(2008). ‘An Overview of the OECD ENV-Linkage Model.’*2: NIES(2011). ‘Structure of Energy Supply in AIM/CGE model’.
*3: IEA Website. http://www.iea-etsap.org/web/Markal.asp*4: IIASA Website. http://webarchive.iiasa.ac.at/Research/ENE/model/message.html*5: O.Akashi and T.Hanaoka(2012). “Technological feasibility and costs of achieving a 50 % reduction of global GHG emissions by 2050:
mid- and long-term perspectives” Sustainability Science 7:139–156

28

The AIM model research team has a lot of experience in researching low carbon society projects andhas participated in policy consultations in the Asia-Pacific region using AIM/CGE and AIM/Enduse
models. In addition, an additional analysis tool called ExSS (Extended Snapshot tool) has also beendeveloped by the team. ExSS is a comprehensive estimation tool for socio-economic indicators andenvironmental load emissions such as GHG emissions and was designed based on the concept of“back-casting”. The structure of ExSS is designed to be flexible so that a wide range of socio-economic

1

structures of future societies can be taken into account.

3.1.3 Process of NAMAs development
Top-down NAMA composition can be broken down into 3 processes. Succinctly speaking, the entire
process involves the following: (1) creating future vision plans, (2) feasibility analysis of the future visionplans, and (3) in depth deliberations regarding the possible ways of pursuing the future vision plans.

2

3.1.3.1 Creating future vision plans
NAMAs development starts with envisaging‘visions’, or ideal future images. The development of thosevisions requires that a variety of determinants of the future society be stipulated qualitatively.
The first step is to amass data on the shape the future industrial structure and people’s lifestyles
will take. The next step is to then develop future projections in the various sectors concerned using
examples from literature that has been amassed and aggregated, and then used to describe qualitatively
the concepts involved in the future visions. The final step is fitting all the information from each step

3

together, and which then allows the future vision to be depicted in a quantitative manner. Precluding
any infeasible visions requires that a range of information be added in thereby making the future visions
more accurate in the middle of the process and in the final step. The quantitative future visions should
then be verified using existing research to ensure there is no huge gap between them.
ExSS, which was developed by the AIM model research team, is a tool used to depict future visions.
ExSS provides information on changes in future energy demands and GHG emission trends. ExSS canprovide rough sketches of the visions and illustrate a wide range of future visions, and which means

4

it can be easily used to estimate future GHG emissions with changing parameters that could affectdeveloping pathways. Analysis with the ExSS model along with good communication between policy
makers and researchers can therefore facilitate target setting that is tailored to a country’s needs andreduction potential targets.
3.1.3.2 Feasibility analysis of the future vision plans
The next step to conduct feasibility analysis of the future vision plans. How the AIM model can be used
to assess the feasibility of future vision plans will therefore be described in the following section.

529

3.1.3.2.1 Collection of socio-economic indicators
Assessing the feasibility of future vision plans using analytical models requires[BOX 1] L ow carbon society research experience in Japan:“Japan Low Carbon Society
2050 project”

1

The“Japan Low Carbon Society 2050 project”involves a research project that aims at providing
possible low carbon society scenarios around 2050, and in which about 60 researchers are
participating under the coordination of NIES. How society will have evolved in 50 years’time
and the development of a roadmap that will enable that vision was technically and specificallyconceived by the abovementioned researchers, and resulting in the output of scenarios A and B.
Scenario A is an aggressive, rapidly cycling, and rotating, and technology-oriented society; while
Scenario B depicts a slow and nature-oriented society. The scenarios and indices used in the2project do not deviate from scenarios resulting from previous studies, and thus the outcomes ofthe project are considered fairly reliable. (For more details please visit: http://2050.nies.go.jp/s3/
index_j.html)

34

Source: Japan Low-Carbon Society Scenario towards 2050 Project(http://2050.nies.go.jp/s3/index_j.html)

5socio-economic indicators to be amassed, which are often called 'driving forces', and which include GDP,
industrial production, and transport volume, etc. The data is used in the models to analyse the feasibilityof the future vision plans provided by the previous step in a quantitative manner. The future socioeconomic indicators can be obtained from each country's development plans, and national projections
based on the various forecasting models available, etc.

30

3.1.3.2.2 Estimation of mitigation potential of technologies
A variety of energy conservation technologies will need to be introduced to avoid any negative
deviations from the future low-carbon vision plan.. Use of the AIM/Enduse model enables how eachtype of low-carbon technology will contribute to be anticipated in estimating abatement costs and theeffect of low-carbon political instruments (e.g. carbon tax policy), etc. AIM/Enduse has a huge databaseon technology, and the model can also be used to depict detailed technology transitions over time. For

1example, estimating how many conventional vehicles can be replaced by hybrid vehicles is possible andconsequently the emission reductions and the additional cost of replacements in the target country.
AIM/Enduse can provide information regarding the potential GHG emission reductions and abatement
cost of each type of technology. Model users can prioritize policy actions based on the results, andmoreover, it can be possible to achieve the expected emissions reduction via use of policy actions
through information on how the government has conducted mitigation policies to date and the selected
technologies that will be introduced.

2

3.1.3.2.3 Estimation of economic impact from introduction of countermeasures
Active use of low-carbon vision plans requires the impact analysis of a variety of mitigation policies. The
AIM/CGE model was designed for exactly this kind of analysis. AIM/CGE deals with economic activities
in a country using an advanced general equilibrium model and can map out the relationship between
macro-economic activities, environmental policies, and other environmental burdens. For example, it canbe used to evaluate the economic impact of a specific policy in a target country.

3

3.1.3.3 Actions to follow low-carbon visions
The aforementioned procedure can be used by the reader to design low-carbon visions and determine
specific emission reduction targets. The next step, however, is to plan a strategy to carry out mitigation
actions using the low-carbon vision plan that was selected. A low-carbon vision plan cannot be realized
without adopting specific countermeasures, and thus mitigation policies are required. In other words,
Figure 3.1. An example of AIM/End use analysis in Japan

4

5

Source: Nishioka S., 2011 International Symposium "Learning the way to building Low Carbon Society";(http://www.challenge25.go.jp/roadmap/symposium_report_en.html#keynote)31before action takes place there will be a gap between on-going society and the low-carbon vision plan,but countermeasures will contribute to closing that gap and removing any impediments.
Once a strategic pathway towards a low-carbon vision plan has been considered a possible procedure
to be used is provided in the figure below. The first step is to acknowledge any gap between current
society and the low-carbon vision plan (ideal society) in thereby identifying any factors (constraints) that1

will result in a deviation from the ideal vision. Secondly, all possible countermeasures to overcome theconstraints should be listed. In this step, other constraints that will limit policy being used can emerge
and they should be eliminated as well by identifying possible countermeasures and then using them.
Repeating these steps can then identify which policies should be launched in what particular sequence
and reveal the necessary time span needed to for the expected outcome. In addition, the timing of wheneach policy should be used must be taken into consideration because most policies will take a certain
amount of time to come into effect.

2

Figure 3.2. Roadmap development flow

3

4

Source: 1st General Meeting of Investigative Committee of "Mid- and Long-Term Roadmap for Global
Warming Countermeasures", 2009(http://www.env.go.jp/earth/ondanka/mlt_roadmap/comm/com01-01.html)

5Planning and designing NAMAs can be conducted by researchers or policy makers only but it can also
be helpful to enrol experts from various fields or citizens to thereby help make the design process
more efficient via interviewing them and gaining the opportunity to brain-storm with experts and policy
makers.

32

References
2050 Japan Low-Carbon Society scenario team (2008) Japan Scenarios and Actions Towards LowCarbon Societies (LCSs).
Akashi and Hanaoka (2012)“Technological feasibility and costs of achieving a 50 % reduction of global
GHG emissions by 2050: mid- and long-term perspectives”. Sustainability Science. 7:139-156.
Fujimori et. al. (2012) AIM/CGE [basic] Manual. National Institute for Environmental Studies. Discussion

1

Paper Series No. 2012-01.
International Energy Agency (IEA)
http://www.iea-etsap.org/web/Markal.asp
International Institute for Applied Systems Analysis (IIASA)
http://webarchive.iiasa.ac.at/Research/ENE/model/message.html
Investigative Committee of Mid- and Long-Term Roadmap for Global Warming Countermeasures
http://www.env.go.jp/earth/ondanka/mlt_roadmap/comm/com01-01.html
Ministry of the Environment, Japan (MoEJ)

2

http://www.challenge25.go.jp/roadmap/symposium_report_en.html
National Institute for Environmental Studies (NIES)
http://2050.nies.go.jp/sympo/101119/
OECD (2010) Background Report: An Overview of the OECD ENV-Linkages model

3.2
By

Bottom-up approach
3

Makoto Kato (Overseas Environmental Cooperation Center, Japan)

3.2.1 Basics of bottom-up approach
The bottom up approach to planning mitigation actions has been put into practice in several national andlocal efforts, together with the top-down approach.1 The top-down approach attempts to deal with overallnational or sectoral emissions targets with use of macro data from statistical information and models,4

but the bottom-up approach basically focuses on emissions and emission reduction potentials at theactivity level (entities, projects, or constitutes of programmes) and then aggregates them, which is thenclose to the equivalent of the total emissions from the sector. Also it can be said, the national or sectoral
emission with breakdown of activities.

3.2.2 Steps for NAMA design using the bottom-up approach5

The following section provides the simple steps to be taken when designing NAMAs (including ex antequantification).

1	For example, Japan’s Kyoto Protocol Target Achievement Plan (KPTAP) and Japan’s Guidance on Local Governments Action Planon Climate Change Mitigation

33

Figure 3.3 Steps for the design of NAMAs(1) Collect info on
relevant policies andstrategies
Collect and analyserelevant policy
documents regarding
development, climatechange and related
sectors (e.g. national
power development plan)1(2) Collect data on BAUof the sector
Collect data for
calculating BAU
emissions using thebottom–up approach(e.g. List all power plansin operation and planned,
based on national power
development plan)

2

a)

3

(3) Quantify GHG
emissions of BAU(5) Quantify GHG emission
reduction by NAMAs

Quantify GHG emissions
based on (2) data, anda) Identify the calculation
formulasb) Calculate respective
emission BAUc) Aggregate respective
emissions

Quantify GHG emissions with
(4) NAMAs assumptionsa) Set the calculation formulasb) Calculationc) Aggregate potential
reduction by NAMAs

Low-carbon
technology
survey(4) Examination andselection of NAMAs
options

Examination of
MRV methods

Select possible NAMAs
options and technologies
based on (1) policies andmitigation strategies andany additional otherconsiderations.

Capacity-building
for NAMAs

Step 1: Building on existing sectoral policies/plans

In practice the bottom-up approach calculations using a model can be skipped in some cases. This
does not mean, however, that the bottom-up approach ignores macro considerations and instead thatit has already taken existing sectoral policies or planning documents and their respective projections
into consideration as a result of the macro level analysis. And based on that consideration, the overallnational or sectoral emissions and their future growth can be interpreted using information from therelevant documents, such as, sectoral development policies and plans.
For example, a national power development plan usually contains a country’s historical electricity
demand and supply data, along with future projections (typically using a specific model). This information

4

is used as a key reference a priori, which means before starting to list all the individual emission sources
for aggregation.
Typically some of the information is available not in
GHG terms and instead in kWh (for energy demandand supply) or amount of fuel. However, this type of
information has in many cases resulted from carefulanalysis conducted in light of the relevant sector’sdevelopmental perspective, and hence can provide a5good foundation to use in identifying business-as-usual(BAU) scenarios and determining emission reduction
targets.
If constraints with respect to the time, budget, andtechnical expertise exist with the use of models
then the recommendation is that existing sectoral
policies and plans be used, which contain quantitative
information as mentioned above.

34

Figure 3.4. Historical Data and Energy Demand
Projection in Cambodia

b)Step 2: Listing emission sources at the activity level (to identify BAU)

The main characteristic of the bottom-up approach suggests listing all the emission sources at theactivity level of the sector. For example, Cambodia’s power development plan contains not only thecountry’s entire past power demand and supply but also historical data on the power supplied by therespective power plants. Similar information may also be available from other sources, such as reports
from power companies to the relevant national authority, thus making it relatively easy to identify

1

activity data (electricity supplied and amounts of fuel consumed) from each individual power plant. All
this data should be listed to the fullest extent possible and the overall sectoral data consolidated.
Compared with the sectoral data resulting from the top-down approach aggregated data from thebottom-up approach typically certain constraints with respect to the accuracy of the coverage, but it’sstrength lies in depicting a clearer picture of the distribution of major emission sources and more specificbackground information, which can thenbe very helpful when considering what
specific mitigation actions can be planned.

Figure 3.5. List of existing and planned power plants in

2

Cambodia with generation capacity information

In addition, this type of information canbe helpful in NAMA financing preparation,
which typically requires more specificinformation than just macro level data.
However, as stated in a later section,clarifying these breakdowns can be very
useful when taking mitigation actions for3

implementation (including finance), as well
as monitoring the progress of mitigation
actions in a quantitative manner, namely
measurement, report, and verification (seeChapter 3.3 MRV).
c)

Step 3: Converting listed activity data into GHG emissions (for identifying BAU)

Activity data (such as the electricity generated and the amount of fuel consumed, and future projections)4that has been amassed and listed can be converted into GHG terms via emission factor multiplication.
That information is typically available from national GHG inventories or data sets used in the CDM.
This approach makes quantifying GHG emissions using past historical records rather easy, but in termsof future projections, and only in some cases, emission projections from individual emission sources areavailable, whereas in other cases they are not. In any such case, however, the overall trends provided
by the sectoral policy overall can be tentatively reflected.
d)Step 4: Examination of interventions and technologies, and selection of NAMA options

5

Existing sectoral development policies and plans should provide a general idea of what actions, which
are relevant to sustainable development or mitigation actions, should be used. For example,“increasewind power generation by 2030”, or“upgrade the technological level of coal fired power plants by2015”being mentioned in policy documents can be useful reference material. These types of general
directions can be built upon and their usefulness increased by adding more concrete ideas from GHG
mitigation perspectives. In particular, NAMAs can allow for higher levels of technology or specifications
to be used through domestic efforts and/or international support, thus making the identification of
exactly what type of mitigation technology a country would like to introduce very important. Technology
surveys have therefore been regarded as an essential component of many capacity-building support
35

programmes2. Technology Needs Assessments (TNAs) can also be good reference material.
At this stage a clearer picture will have emerged in terms of specific GHG mitigation against BAU, andits associated cost, together with other background information (such as the decisions made by the
stakeholders or any other special circumstances), and which ca be very helpful for a country when
implementing mitigation actions.

1

Figure 3.6 List of existing and planned power plants in Cambodia with generation capacity information, andpossible intervention of mitigation measures

2

3

e)

Step 5: Quantification of potential mitigation amount by NAMAs

Similar to step 3 the NAMA options identified in step 4 should be converted into GHG terms. The
quantification of GHG will take place at the activity level (entity, project, or contents of a programme),and hence the emission reduction can also be quantified at the same level, and then aggregated into the4macro level. Depending on the sector, or the nature of the mitigation actions, some individual activities
can utilize a default value when quantifying the aggregate mitigation effects. For example, the mitigation
effect of 1 unit of wind power generator can be based on a default value, and the number of any such
units introduced will then represent the aggregate mitigation effects, if it then effectively avoids any
over estimation and with conservativeness taken into consideration.
Utilizing default values can also be helpful at the MRV stage. The introduction of default values in someareas (typically when energy efficient products or vehicles, etc. will be introduced) of existing mitigationplans and their verification can contribute to a more streamline and less complicated MRV and with5

respect to anyone that is not necessarily very familiar with the detailed technical matters of GHG
quantification. (See Chapter 3.3 MRV.).

2	MOEJ/OECC’s capacity-building programme for Mongolia has had a strong focus on a survey of appropriate technologies, including
the possible introduction of new low carbon technologies, and with diagnoses provided by technology specialists etc.

36

3.3
By

MRV of policy based NAMAs
Masayoshi Futami (Overseas Environmental Cooperation Center, Japan)

3.3.1 Introduction
NAMAs get implemented by developing country parties in the context of sustainable development, and1

are supported and enabled by technology, financing, and capacity-building, in a Measurable, Reportable,
and Verifiable (MRV) manner (UNFCCC 1/CP.13, Bali Action Plan). In 2009, the Copenhagen Accord(UNFCCC 2/CP.15) requested developing countries to submit NAMA plans to the secretariat in a format
provided by UNFCCC.
The Cancun Agreements (UNFCC 1/CP.16) confirmed that developing country parties would need to
implement NAMAs with the aim of achieving a deviation in emissions relative to Business As Usual (BAU)
emissions by 2020. Decision 2/CP.17 (2012) indicated that NAMA progress would be aggregated into a
Biennial Update Report (BUR) that needed to be submitted by 2014; moreover, International Consultation

2and Analysis (ICA) of BUR would take place under a Subsidiary Body and with the aim of increasing
the transparency of NAMAs and their effect. In summation, developing country parties would need toprovide information, in a tabular format, on actions taken to mitigate climate change, and addressing
anthropogenic emissions from sources and removals using sinks of all GHGs not controlled by theMontreal Protocol.
• Developing country parties shall provide the following information of NAMA in a BUR (UNFCCC 2/
CP.17 Annex III): Name and description of the mitigation action, including information on the nature3of the action, coverage (i.e. sectors and gases), quantitative goals, and progress indexes;• Information on methodologies and assumptions;• Objectives of the action and steps taken or envisaged to achieve that action;• Information on the progress of implementation of mitigation actions and the underlying steps taken
or envisaged, and the results achieved, such as estimated outcomes (metrics, although dependingon the type of action) and estimated emission reductions, and to the fullest extent possible; and• Information on international market mechanisms

4Japan formulated the“Kyoto Protocol Target Achievement Plan (KPTAP)”in order to stipulate themeasures needed to reliably achieve the target of the 6% reduction promised by Japan in the Kyoto
Protocol. Similar to components of NAMA in BURs KPTAP also takes into consideration exactly what
sectors to measure, how measurements are made, when to measure them, and by whom, and with
reports made and verification of the ex-post effects of each adopted measure.
As discussed in the previous section, the Top-down approach and the Bottom-up approach were createdfor use in predicting these scenarios. The Bottom-up approach can be used when assumptions about
investment and saving policy decisions are the main driver in short-term scenarios (IPCC 2007). The

5

KPTAP developed mitigation actions that integrate each sectoral plan and trial calculations made by theministries responsible in a bottom-up approach . The KPTAP used concrete assumptions, designated the1institutions to be in charge, determined the duration of mitigation actions, and the cost in each sector inorder to clarify the magnitude of the responsibilities and implementation steps, and for the purpose of
simplifying the ex-post verification.
Taking into account that lessons from the MRV of policies of developed countries can serve as
reference material for the MRV of NAMAs (GIZ version 8.6), this chapter will introduce the KPTAP’smechanism as an example of policy level MRV.
1	In order to development the plan from each sector, top-down model is utilized in micro-frame discussion.

37

3.3.2 Components of the KPTAP
Each ministry clearly specifies the department responsible for formulation, evaluation, and examination,and introduces the PDCA (Plan-Do-Check-Action) cycle. Furthermore, the departments responsible withineach ministry are required to share their experiences with CO2-saving, know-how, and technology withall the other departments. In order to ensure transparency the government then publishes the results of1

examinations, evaluating not only total emissions but also effort made with respect to the target values
and past recorded figures, while also placing attention on the progress of each individual item andorganization.
The KPTAP provides mitigation measures information in a tabular format and via anthropogenic
emissions from sources and removal by sinks of all GHGs are addressed as NAMA elements. The
KPTAP specifies targets for greenhouse gases (GHGs), individual countermeasures, their evaluationindexes, expected extent of GHG emissions reduction, roles to be fulfilled by each stakeholder with thecountermeasures, and the policies of both central and local governments. The mitigation action table2

shown below was created by the ministries responsible in each sector and the examples (Promotion of
intelligent transport system) are explained in Tables 3.2 and 3.3.
Countermeasures evaluation indexes are stipulated as the targets of individual countermeasures thatwere designed to achieve the targets of each GHG and approximate targets for each sector of energyoriginating carbon dioxide. The expected reduction in GHG emissions (carbon dioxide equivalent)
resulting from countermeasures is calculated by then combining the individual factors. Clarifying thepremise of cumulating at the time of formulation of the KPTAP then enables ex-post verifications to takeplace.

3

Table 3.2. List of measures and policies in the Transport sector (Promotion of intelligent transport system)

4

5

38

Table 3.3.Example of Evidence of Reduced Emissions Resulting from Countermeasures of the KPTAP(Promotion of intelligent transport system)
Practical countermeasures:
Promotion of Intelligent Transport System (ITS)
Projected emissions reduction:
Approx. 2.6 million tons of CO2

1

Premise of forecast at the time of cumulating:Electronic Toll Collection System [ETC]
ETC utilization ratio
Amount of traffic congestion resulting from toll gates
Number of vehicles that passed through toll gates
Improved speed due to the nonstop effectCO2 emission factors from speed and model

Vehicle Information Communication System [VICS]
VICS penetration rate
Improved speed due to VICS penetration
CO2 emission factors from speed

Description of evidence and details (e.g. itemization) of how the “projected emissions reduction” were calculated:

2

ETC
Promotion of the ETC system assumes that traffic congestion will be reduced since automobiles will not have tostop at toll gates. The projected CO2 emissions reduction was calculated as follows:[CO2 reduction through promoting use of the ETC system]= [Reduction from nonstop effort] + [Reduction resulting from eased traffic congestion at toll gates](1) [Reduction by nonstop effort]: Approx. 165,000 tons of CO2 [1]
The CO2 reductions achieved from the nonstop effect at toll gates are calculated for each individual toll gate, andthen the values aggregated.
[Reduction from nonstop effort]= {(Amount of CO2 emissions when automobiles with no ETC system pass through toll gates) – (Amount of CO2
emissions when automobiles with the ETC system pass through toll gates)} × Area length of toll gate × Number ofvehicles passing through toll gates (ETC vehicles/day) × 365 days

3(2) [Reduction resulting from eased traffic congestion at toll gates]: Approx. 30,000 tons of CO2 [2]The CO2 reductions achieved by improving traffic congestion through the improved processing capacity at tollgates are calculated, and the values aggregated.
[Reduction resulting from eased traffic congestion at toll gates]= {(Amount of CO2 emissions during traffic congestion) – (Amount of CO2 emissions when traffic congestion iseased)} × Length of traffic congestion × No. of vehicles passing through toll gates (ETC vehicles/hour) × Annual
hours of traffic congestion/year4[Projected emissions reduction] = [1] + [2]= Approx. 165,000 tons of CO2 + Approx. 30,000 tons of CO2= Approx. 200,000 tons of CO2
VICS
Assuming that the speed of automobiles will be improved through the introduction of VICS, the projected CO2
emissions reduction is calculated as follows:
The number of km an automobile traveled in 2010 with their speed having been improved by use of VICS isestimated to be approx. 550 billion traveler kilometers. [3]The amount of CO2 reduction is calculated from the average speed difference before and after the introduction of
VICS. (Approx. 4.4 g of CO2/km) [4]5The projected CO2 emissions reduction is calculated as “Number of km an automobile traveled in 2010” (intraveler kilometers/year)[Projected CO2 emissions reduction]= [3] + [4]= Approx. 550 billion traveler kilometers/year × Approx. 4.4 g of CO2/km= Approx. 2.4 million tons of CO2

39

3.3.3 Tracking of KPTAP
Japan’s Government comprehensively evaluates the progress of countermeasures and policies
stipulated in the KPTAP and the level of emissions. Furthermore, and in order to constantly assess theeffectiveness of the KPTAP and make it more reliable, the Government reinforces policies as necessary
by verifying every year after the formulation of the plan the measure’s evaluation indexes for each1

countermeasure.
The Japanese experience and the KPTAP will be used here as an example of NAMA planning and MRV
as the evaluation of the countermeasures at policy level.
(1)

Basic Concept

Ensuring the effectiveness of the KPTAP makes developing and amassing comprehensive data
concerning the status of target achievements for each GHG as well as data concerning the progressof individual measures and policies essential. Every year the Global Warming Prevention Headquarters

2(GWPH) under the cabinet of Japan strengthens policies as necessary after examining the progressof policies formulated by the government. In other words, the government revises countermeasures
evaluation indexes established for each countermeasure. The tracking information is amassed andreviewed by the ministries responsible and the results reported to the GWPH (Figure 3.7).
Evaluation indexes are then broken down into factors that include the volume of activities, number ofhouseholds, floor area,
and GHG emissions perunit of activities. Emissions

3

Figure 3.7. Institutional Arrangement for Monitoring the Progress of KPTAP

and removal projections
get evaluated by thevolume of activities and
GHG emissions per unitof activity. The results ofthese evaluations are thenused by the Government ofJapan to comprehensively

4

review the achievementof the individual GHG andcountermeasure targets, aswell as the countermeasureevaluation indexes forthe countermeasuresconcerned.

5(2)

Current review

The GWPH recently revised the measures and policies adopted in order to realize progress being madeby the KPTAPs and then summarized the results. Japan’s 2011 total GHGs emissions of nearly 1.37
billion tons (the preliminary figures have been converted into carbon dioxide, with the same applying
throughout) had increased by 3.6% when compared to the reference year (Table 3.4).

40

Table3.4. GHG emissions(in millions of ton)

Energy-derived carbon
dioxide

Reference year
(Percentage of total)

2011 figures(Quick estimation)(Comparison withreference year)

2010 target(Comparison with reference year)

1,059 (84%)

1,173 (+10.7%)

1,076 through 1,089(+1.6% through +2.8%)

Industrial sector

482 (38%)420 (-12.8%)424 through 428(-12.1% through -11.3%)

Business and other sectors

164 (13%)247 (+50.6%)

208 through 210(+26.5% through +27.9%)

Household sector

127 (10%)189 (+48.1%)

138 through 141(+8.5through +10.9%)

Transportation sector

217 (17%)230 (+5.8%)240 through 243(+10.3% through +11.9%)

Energy conversion sector

67.9 (5%)

86.1 (+26.8%)

66 (-2.3%)

Non energy-derived carbon
dioxide85.1 (7%)

69.1 (-18.8%)

85 (-0.6%)

Methane33.4 (3%)

20.1 (-39.9%)23 (-32.3%)

Chlorine monoxide

32.6 (3%)

22.0 (-32.6%)

25 (-24.2% through -24.0%)

Three CFC alternatives

51.2 (4%)

23.5 (-54.0%)

31 (-39.5%)

1,261 (100%)

1,307 (+3.6%)

1,239 through 1,252(-1.8% through -0.8%)

Total

1

2

3

Notes:
Reference year figures are the carbon dioxide emitted during the reference year in Japan, determined in 2007.

Table 3.5 summarizes the emission reductions identified through the current revision of measures and4policies, and evaluation indexes for measures prescribed in the KPTAP. In thereby providing a summaryof the data the government revised the performance of measures of from 2005 through to 2011 andin thereby also identifying the latest situation (e.g. additional/advanced measures and policies). At thesame time the trends with their performance were evaluated and compared to projections made at thetime the KPTAP was formulated (Table 3.5). Moreover, the ministries responsible discussed the additionand enforcement of more measures and policies in accordance with the PDCA cycle described above(Table 3.5).

541

Evaluationindexes

5

42

2005

18

194

16

Emission
reduction(10,000 tof carbon
dioxide)10,000persons

Promotionof ITS(buildingUnitcentralcontroltraffic lights)

Emission
reduction(10,000 tof carbon
dioxide)

80

90

19

225

76

19

2008

100

19.5

231

79

19

110

19.8

235

85

21

2009

Actual figures

2007

110

20

240

88

22

2010

120

20.4

246

88

22

2011

100

19

225

77

19

2008

2010

2011

110

19.5

230

79

19

110

20

240

81

20

120

20.5

245

83

20

Projected figures

2009

130

21

250

85

21

2012

Performancetrendsbasically as
expected.

Achieved
goals orperformancetrendswere higher
than theprojection.

Evaluation of
performancetrends etc.
compared toprojections*1

674

―

―

1,000

1,000

1,080

1,290

970

1,140

1,300

1,460

1,630

Performancetrends
28,000 32,000 36,000 38,000 40,000 43,000 45,000 38,000 40,000 42,000 44,000 47,000
basically as
expected.

70

214

60

ETC userate (%)

68

14

16

2006

Emission
reduction(10,000 tof carbon
dioxide)Promotionof ITS,such asintroduction
VICSof VICS
prevalent
rate (%)

4

Promotionof Intelligent
Transport
Systems(ITS),
such asintroductionof ETC

3

Efforts made in transportation sector

Specificmeasure2

Table 3.5. Review table of promotion of intelligent transport system with KPTAP evaluation index (example)

1
During 2012
centralized control
of traffic signals
took place. A plan
to systematically
implement
centralized traffic
signal controls
in the future wasmade.

During 2012
the number ofrest stops wasincreased and roadtraffic information
provision systems
upgraded.

During 2012, a
mileage discountcampaign took
place.

Addition andenforcement of
measures andpolicies

References
Asian Development Bank (2011) Ulaanbaatar low carbon energy supply project using a Public Private
Partnership Model. (Appendix 3)
Asian Development Bank and Ministry of Mineral resources and Energy (2012) Interim report, electricity
load forecasts.
IGES (2012) Market Mechanism Country fact sheet: Mongolia

1

Global Warming Prevention Headquarters, Japan (2005) Kyoto Protocol Target Achievement Plan.
Ministry of Environment and Green Development, Mongolia (2013a) GHG Mitigation Scenarios in Energy
Sector. (preliminary version)
Ministry of Environment and Green Development, Mongolia (2013b) Technology Needs Assessment.
(Volume-2 Climate Change Mitigation in Mongolia)
Ministry of Nature, Environment and Tourism (2010) Mongolia Second National Communication Under
the UNFCCC.
Ministry of Nature, Environment and Tourism (2010) Nationally Appropriate Mitigation Actions.

2

Appendix2 of UNFCCC.
Mongolia Government (2011) National Action Program on Climate Change.
UNEP (2012) Primer on MRV for Nationally Appropriate Mitigation Actions.
UNFCCC (2007) Report of the Conference of the Parties on its thirteenth session, held in Bali from 3 to
15 December 2007. FCCC/CP/2007/6/Add.1
UNFCCC (2009) Report of the Conference of the Parties on its fifteenth session, held in Copenhagenfrom 7 to 19 December 2009. FCCC/CP/2009/11/Add.1,
UNFCCC (2010) Report of the Conference of the Parties on its sixteenth session, held in Cancun from3

29 November to 10 December 2010. FCCC/CP/2010/7/Add.1
UNFCCC (2010) Report of the Conference of the Parties on its seventeenth session, held in Durban from28 November to 11 December 2011. FCCC/CP/2011/9/Add.1

4

5

43

Chapter

4

EXPERIENCES OF NAMA DEVELOPMENT
IN ASIA AND THE WORLD

Chapter 4 introduces some case studies of the planning, development, and implementation of NAMAs in
Asia and an additional case study of the development of a NAMA in the Latin American region carriedout by the World Resources Institute (WRI).
The four Asian case studies utilized the bottom-up approach. Namely, capacity-building programs
that took place in Cambodia (agriculture/energy), Lao PDR (transport), Mongolia (energy supply) and1

Viet Nam (waste), all of which the Overseas Environmental Cooperation Center, Japan (OECC), wasinvolved in and which were funded by the Ministry of Environment, Japan (MOEJ). Alongside the OECC
the Ministry of Environment, Cambodia (MOEC), the Ministry of Natural Resources and Environment(MONRE), Lao PDR, the Ministry of Environment and Green Development (MEDG), Mongolia, and the Viet
Nam Institute for Hydrology, Meteorology and Environment (IMHEN) introduce their own experience
with the processes and elements involved in developing NAMAs, and which include the compilation andanalysis of policy document and activity data, identification of BAU and specifications of NAMAs throughquantification of GHG, co-benefits, and institutional arrangements, etc.

2

The above are still on-going projects but the practical experience gained in the application of genericapproaches to specific country cases is very useful in that it typically reflects the differing national
circumstances and nature of the sectors concerned.

4.1
3
By

Experience gained developing NAMAs in the
agriculture sector in Cambodia
Sum Thy (Ministry of Environment, Cambodia)
Yushin Nakao (Overseas Environmental Cooperation Center, Japan)

Host Country Information:

Host Country
Kingdom of Cambodia
Implementing Organization Ministry of Environment

4

Sector
General:Specific:

Agriculture/Energy
Biogas

1. Background (Introduction)
Cambodia is the least developed country that is a Party of the UNFCCC but fully supports global efforts
to reduce GHG emissions, as based on UNFCCC principles. Cambodia has been active in implementing

5

GHG mitigation projects via various schemes including the CDM and a voluntary market. However,Cambodia is yet to have submitted a list of NAMAs to the UNFCCC Secretariat in response to invitations
that were included in COP decisions. In seizing this opportunity, therefore, Cambodia is taking part in an
initiative made possible by the Ministry of the Environment of Japan (MOEJ) entitled“Capacity-building
cooperation project for development of NAMAs in a MRV manner between Cambodia and Japan.”44

2. Development context
Cambodia recognizes the importance of GHG mitigation in the realization of low carbon development andsustainable economic growth. The Green Growth Roadmap and Cambodian Climate Change Strategic
Plan that have been developed would suggest win-win-win situations for their economy, environment,
and society. NAMAs should also be accordingly elaborated upon.

1

3. Preparatory process1)

Compilation and analysis of policy documents

First, the sectors and mitigation actions to focus on were selected through compilation and analysisof the relevant policy documents and expert opinions. The key documents of pertinent ministries andnational agencies included the following: National Strategic Development Plan Update 2009-2013,
Statistical Yearbook of Cambodia 2008, Green Growth Roadmap, Initial National Communication and2

National Biodigester Programme (NBP) 2012 Baseline Study, and Report on Power Sector of theKingdom of Cambodia.
According to those documents roughly 24% of the population is connected to the electricity grid in
Cambodia, with direct fuel combustion of biomass from wood sources, such as fuel wood and charcoal,
being the dominant fuel source, and actually accounting for almost 90% of the total energy sources
available. This situation has been depleting the forests and has led to a widespread scarcity of biomass.
Direct fuel use in the industrial and commercial sectors is, however, relatively low.

3

In this context, and while the Cambodian NAMA Working Group provided four potential mitigation actions,which include the introduction of biodigesters, dissemination of solar home systems, improving theenergy efficiency of buildings, and the installation of biomass power generation plants, the introductionof biodigesters in the biogas sub-sector was identified as a priority action after having taken into
account the availability of data as well as potential co-benefits, including reducing the need for fuelwood and charcoal.
2)

Compilation of activity data(a)

BAU emissions

4

The Cambodian NAMA Working Group set two BAU emission scenarios for use in the biogas sub-sector,
including CH4 emissions from animal manure and CO2, CH4 and N2O emissions from the combustionof fossil fuel and biomass. The Cambodian GHG inventories suggested that emission sources in the
biogas sub-sector could be associated with the following three categories: agriculture, energy, and
LULUCF (Land Use, Land-Use Change and Forestry). Biogas, or CH4 emissions from animal manure
was categorized as belonging to the agriculture sector, while CO2, CH4, and N2O emissions from the
combustion of fossil fuel and CH4 and N2O emissions from the combustion of biomass, all of which could5

be reduced by biogas use, were categorized as emissions from the energy sector (Table 1). In the GHG
Inventories CO2 emissions from the combustion of non-renewable biomass was classified as belonging
to the LULUFC sector; however, for the sake of simplification the Cambodian NAMA Working Group
regarded it as emissions from the energy sector.

45

Table 1. Emission sources in the biogas sub-sector, categories, and baseline emissions
Emission sources in biogas subsector

1

Categories in GHG
inventories

BAU emissions

Agriculture

CH4 emissions from animal manure[BAU emissions in the agriculture sector]

1.

CH4 emissions from animal
manure2.

CO2, CH4, and N2O emissions
from combustion of fossil fuel

Energy3.

CH4 and N2O emissions fromcombustion of biomass

Energy4.

CO2 emissions from combustionof non-renewable biomass

LULUCF(b)

CO2, CH4 and N2O emission fromcombustion of fossil fuel and biomass[BAU emissions in the energy sector]

Compilation of activity data

CH4 emissions from animal manure [BAU emissions in the agriculture sector]a) Collected data
	The following data was provided by the Department of Animal Health and Production, Ministry of

2Agriculture, Forestry and Fisheries (MAFF):
	　- Actual number of cows, pigs, poultry, and buffalos in 2000 through to 2011,
	　- Projected number of pigs and poultry in 2012 through to 2020.
b) Alternative values for missing data	Cambodia has no country specific values with regard to emission factors for the defined livestock
population, and hence default values from the“2006 IPCC Guidelines for National Greenhouse Gas
Inventories”(IPCC, 2006) were used. The projected number of cows and buffalos in 2012 through to32020 were estimated using the Compound Annual Growth Rate from 2001 through to 2011.
3)

Identification of BAU

CH4 emissions from animal manure [BAU emissions in the agriculture sector](a)Methodologies

BAU emissions in the agriculture sector were estimated using the Tier 1 methodology of“2006 IPCC
Guidelines for National Greenhouse Gas Inventories, Volume 4: Agriculture, Forestry and Other Land
Use, Chapter 10 EMISSIONS FROM LIVESTOCK AND MANURE MANAGEMENT”(IPCC, 2006).

4

CH 4 Manure =∑ (EF 10∗ N )
(T)

(T)

6

(T )

Where:

5

CH4ManureCH4 emissions from manure management, for a defined population, GgCH4yr-1

EF(T)Emission factor for the defined livestock population, kgCH4head-1yr-1

N(T)Number of heads of livestock species/category T in the country

T

Species/category of livestock4)

Specification of NAMAs(a)

Summary of mitigation action

The selected mitigation action was to promote the introduction of biodigesters, which is a relatively
cheap and environmentally friendly technology. The activities include a program that supports use of
biodigesters, including increasing awareness of the advantage of biogas technology, increasing accessto subsidies and soft loans, increasing the number of biodigester masons and program supervisors, andpromoting effective use of bio-slurry for crops, rice, and fish food, and as a botanical pesticide.
46

(b)

Technological specifications

The sustainability of biodigester use very much depends on the technology used, adaptability to climate,availability of materials, and the cost and skill requirements of their construction. The NBP therefore
conducted technological assessments of the following nine models: Flooding drum models, Janatha
Fixed Domes, KT 1 Fixed Domes, Chinese Fixed Domes, Plastic Bag digesters, GGC Model Fixed
Domes, Deenbandhu Fixed Domes, Vacvina Digesters, and KT 2 Fixed Domes. The NBP then identified

1

the Deenbandhu Fixed Dome as being the most appropriate model with respect to the situation in
Cambodian; and by improving the Deenbandhu Fixed Dome, or the Farmer’s Friend Biodigester Model for
Cambodia, a more durable and credible version, was developed and disseminated for use.
5)

Quantification of GHG emission reduction by NAMAs(a)

NAMA emissionsa) Gases included in the selected mitigation action
	The Cambodian NAMA Working Group identified the gases concerned in the selected mitigation2

action. N2O emissions from animal manure and CO2, CH4, and N2O emissions from the combustion of
kerosene and diesel were excluded for the sake of simplification and as they are only a minor sourceof emissions. (Table 2)
Table 2. Gases included in the selected mitigation action
Emission source

Animal manure

Combustion of fossil fuelCombustion of
non-renewable biomass

GHG

Include/Exclude

CO2

Excluded

CO2 neutral

Justification

CH4

IncludedMain emission source

N2O

Excluded

CO2

Partially included

3-Minor emission source-Too difficult to measure, report, and verify
Emissions from combustion of LPG are only

CH4

Partially included

included as demand for it is steadily

N2O

Partially included

increasing every year.

CO2

IncludedMain emission source

CH4

Included- Minor emission source

N2O

Included- Easy to measure, report, and verify4b) Calculation method	The amount of emission reduction resulting from use of biodigesters was calculated using thefollowing formula:	　Emission reduction achieved through installation of biodigesters (tCO2e) =	　Emission reduction per biodigester (tCO2e/unit) ×	　Number of biodigesters in use by 2020 (units) × Ratio of operating digesters (%)
	The emission reduction per biodigester was estimated using a combination of two methodologies:

5

small-scale CDM methodology“AMS-III.D: Methane recovery in animal manure management systems”
and Gold Standard methodology“Technologies and Practices to Displace Decentralized Thermal
Energy Consumption”.
c) Base year and target year
The Cambodian NAMA Working Group set the base year to be 2000 and the target year 2020.

47d) NAMA Target value	The Cambodian NAMA Working Group decided the number of biodigesters that would be in use by2020 via the following three scenarios: (i) 6,000 units per year with financial support, (ii) 3,000
units per year without financial support, and (iii) 70,000 units per year, or the equivalent of 25 % of
all rural households, as technically being possible. In these scenarios the target ratio of operating
digesters was set to be 96%, which was the actual NBP number in 2012.

1(b)Calculation of emission reduction achieved through use of biodigesters

CH4 emissions from animal manurea) Methodologies
	Emission reduction from animal manure was estimated using the small-scale CDM methodology“AMS-III.D: Methane recovery in animal manure management systems”. NAMAs do not need to be
as comprehensive as CDMs and hence the baseline emissions did not include UFb: Model correction
factor to account for uncertainties (0.94).

2[Emission reduction per biodigester]ER
ER[Baseline Emissions]BE
BE
Where:

3

BEy

Baseline emissions in year y

GWPCH4Global Warming Potential (GWP) of CH4 (25)

DCH4

Density of methane (0.67kg/m3 at 20oC and 1 atm)

J

Manure treatment type index

LT

Animal type

B0,LT	Maximum CH4 production capacity from manure per animal for defined livestock
population (m3CH4/kg-dm)
NT,hh

4

Livestock of defined population per household

VSLT,y	Adjusted volatile solid excretion per day on dry-matter basis for defined livestock
population at project site, in kg-dm/animal
VSLT,y =(Average site weight/Default weight) * (op. days) * VSdefault
MCFj

Methane conversion factor for manure treatment j

MS%BI,jPortion of applicable treatment system j[Projected Emissions]

5PE
Where:
PEPL,yEmissions due to physical leakage of biogas in year y

MS%i,yFraction of manure handled using system i in year y

PE

48

)

Where:Projected emissions from flaring of the residual gas stream in year y

PEflare,yηflareFlare efficiency in hour h and based on measurement or default value (0.90)a) Collected data
	The following data was calculated using the number of rural households and livestock provided by

1the“Statistical Yearbook of Cambodia 2008”:- NT,hh: Livestock of defined population per household.
b) Alternative to missing data	Cambodia has no country specific values for the parameters, including B0,LT: Maximum CH4 production
capacity from manure per animal for defined livestock population (m3CH4/kg-dm), VSLT,y: Adjusted
volatile solid excretion per day on dry-matter basis for defined livestock population at project site,
in kg-dm/animal, and MCFj: Methane conversion factor for manure treatment j, and hence default

2values from the“2006 IPCC Guidelines for National Greenhouse Gas Inventories”(IPCC, 2006) wereused. The default value from“Decision 15/CP.17, Revision of the UNFCCC reporting guidelines onannual inventories for Parties included in Annex I to the Convention”(UNFCCC, 2011) was utilized
for GWPCH4: Global Warming Potential (GWP) of CH4 and also the result of“NBP 2012 Baseline Study”(NBP, 2012) substituted for MS%i,y: Fraction of manure handled in system i in year y.

4. Institutional arrangements
3

In order to facilitate the availability of information and experts’consultation a Cambodian NAMA
Working Group, which consists of the Ministry of Environment (MOE), the Ministry of Industry, Mines andEnergy (MIME), the Ministry of Agriculture, Forestry and Fisheries (MAFF), the Ministry of Public Works
and Transport (MPWT) and the National Biodigester Programme (NBP), was temporarily established.

5. Summary of concrete mitigation actions
The actions described above can be utilized as a potential NAMA for use in the agriculture/energy

4sector. The mitigation potential of the actions is as outlined below:
A. Specific measures: Installation of biodigesters
B. Projected emissions reduction:
Scenario 1: Approx. 220,153 tCO2/year (with ODA)
Scenario 2: Approx. 140,097 tCO2/year (without ODA)
Scenario 3: Approx. 1,929,671 tCO2/year (technical potential)(a) Total number of biodigesters in use (units)
2012

2013

2014

2015

2016

2017

2018

2019

2020

Scenario 1

18,00024,00030,00036,00042,00048,00054,00060,00066,000

Scenario 2

18,00021,00024,00027,00030,00033,00036,00039,00042,000

Scenario 3

18,00088,000

158,000

228,000

298,000

368,000

438,000

508,000

578,500

5(b) GHG emissions reduction achieved through use of biodigesters (tCO2e)
2012

2013

2014

2015

2016

2017

2018

2019

2020

Scenario 1

60,04280,056

100,069

120,083

140,097

160,111

180,125

200,139

220,153

Scenario 2

60,04270,04980,05690,062100,069

110,076

120,083

130,090140,097

Scenario 3

60,042

293,537

527,032

760,527

994,023 1,227,518 1,461,013 1,694,508 1,929,671

49

C. Assumptions made:	Emission reduction per biodigester (tCO2e/unit), Total number of biodigesters in use (units), and Ratio of
operating biodigesters (%)
D. Description and details of NAMA(a)	Installation of biodigesters
Biodigester plants produce biogas that can be used to replace fuel used by households, primary examples
being wood and fossil fuels, and mainly used in cooking. Biogas emitted from manure is captured by thebiodigester and then burnt prevent GHG emissions being then released into the atmosphere, thereby
contributing to a reduction in GHG emissions.
(b)	Calculation of GHG emissions reduction
GHG emissions reduction (tCO2e)= GHG emissions reduction per biodigester (tCO2e/unit) ×
Total number of biodigesters in use (units) × Operation ratio of biodigesters (%)
	　a) GHG emissions reduction per biodigester
The total GHG emissions can be calculated using a combination of animal waste management systems andwood fuel emissions. The average household in Cambodia emits approx. 3.93 tCO2eq per year. Households
in the project emit on average approx. 0.46 tCO2eq per household per year, and hence the total GHG
mitigation would therefore be approx. 3.47 tCO2eq per household per year.
	　b) Number of biodigesters in use and operation ratio of biodigesters

1

2

3

NAMAs
Scenario

Annual number of
biodigesters in use(units/year)

Operation ratio of
biodigesters (%)

Scenario 1

6,000

96

With ODA

Scenario 2

3,000

96

Without ODA

Scenario 3

70,00096

RemarkTechnical potential of
25% of rural households1

6. Policy-level MRV
There are currently no MRV policies/tools in place for NAMA implementation in Cambodia. The
preparation of Biennial Update Reports (BUR) and the national GHG inventory within national
communication is part of the report and monitoring system. However, as a Least Developed Country (LDC)
Party Cambodia can submit its BURs at its own discretion.

4

7. Co-benefits
Biodigesters confer social, environmental, and economic co-benefits on its users, and which include:-

Reducing the drudgery of stockpiling wood, and for women in particular;-	Avoiding health hazards associated with indoor air pollution and the open fires of wood fired
stoves;-	Enabling educational activities and household work in the evening via the brighter light producedby biogas lamps;

5-	Reducing local environmental pollution through a better waste management system, and improving
the soil via use of bio-slurry;-

Reducing deforestation; and-Reducing expenditure on cooking and lighting fuel.

In the present phase the Cambodia NAMA Working Group has not decided to do an MRV of these cobenefits.

150

SNV estimated that at least 25% of rural households have the technical potential to install a biodigester in Cambodia (SNV, 2005).

8. Lessons learnt/Next steps
The Cambodian NAMA Working Group selected the NBP as a pilot exercise for the period of August2012 through to 2013. The Cambodian expert team still did not have the necessary capabilities
to understand the process of NAMA development, including the methodology and technologicalassessments used. The Cambodian NAMA Working Group is therefore considering the following activities

1

as the next steps to take:-	Establishment of an official National NAMA Working Group. This would involve focusing on
reviewing the current role of existing agencies, such as the National Climate Change Committee,
and its technical Climate Change Technical Team, Climate Change Department, and other to-be
established institutions such as the Joint Committee on the Joint Crediting Mechanism,-

Seeking to register the NBP as a UNFCCC registered NAMA,-	Increasing capability creation activities into other sectors according to the priority areas ofCambodia, which include transportation, biomass power generation, and solar energy, as well as

2other key sectors with GHG mitigation potential in Cambodia. Flexibility would need to be ensured
for Cambodia with respect to methodological assessments of the development of NAMAs,-

Developing tools and guidelines for NAMA implementation and MRV,-

Sharing information with other countries in the region on their NAMA development.

References
Kingdom of Cambodia (2009) National Strategic Development Plan Update 2009-2013. Phnom Penh:
Kingdom of Cambodia.

3

Ministry of Planning (2008). Statistical Yearbook of Cambodia 2008. Phnom Penh: Ministry of Planning.
Ministry of Environment (2009). Green Growth Roadmap. Phnom Penh: Ministry of Environment.
Ministry of Environment (2002) Cambodia’s Initial National Communication Phnom Penh: Ministry ofEnvironment.
Buysman, E. and Pino, M. (2012) National Biodigester Programme (NBP) 2012 Baseline Study. Phnom
Penh. National Biodigester Programme.
Electricity Authority of Cambodia (2011) Report on Power Sector of the Kingdom of Cambodia 2012
Edition. Phnom Penh: Electricity Authority of Cambodia.

4

IPCC, 2006 (2006) IPCC Guidelines for National Greenhouse Gas Inventories: Hayama, Japan. Institutefor Global Environmental Strategies.

4.2
By

Experience gained developing NAMAs in thetransport sector in Lao PDR
Immala Inthaboualy (Ministry of Natural Resources and Environment, Lao PDR)Emi Kaneko (Overseas Environmental Cooperation Center, Japan)

5

Host Country Information:
Host Country

Implementing Organization

Lao People’s Democratic Republic (PDR)
The Ministry of Natural Resources and Environment(MONRE), Department of Disaster Management andClimate Change (DDMCC)/Ministry of Public Works
and Transport (MPWT)

51

Sector
General:Specific:

Energy/Transport Sector
Introduction of Electric Vehicles

1. Background (Introduction)
1

The Lao PDR has been mainly implementing GHG mitigation projects including a CDM in the energy
sector in thereby addressing global climate change, and in order to accelerate the mitigation initiative,
as well as to prepare a NAMAs submission to the UNFCCC Secretariat, a‘Capacity-building cooperation
project for NAMAs development in a MRV manner’between the Ministry of the Environment, Japan(MOEJ) and the Ministry of Natural Resources and Environment, Lao PDR (MONRE)’took place from
September 2012 through to March 2013. This case study is based on the experience gained in thatproject.

2

2. Development context
Over the past few years Lao PDR has made considerable progress in strengthening and reforming thepolicies and instruments used to enhance environmental sustainability, and the government is aiming
to reinforce its actions by promoting low-carbon growth. This vision was clearly indicated in both thecurrent 7th National Socioeconomic Development Plan and the Climate Change Strategy, which wereapproved in 2010.

3

3. Preparatory process1)

Compilation and analysis of policy documents

The initial part of the project involved compiling and analyzing the relevant policy documents before
selecting which sector to focus upon, and then identifying possible mitigation actions in the selected
sector. The relevant documents included:“The Seventh National Socio-Economic Development Plan
(2011-2015)”,“Strategy on Climate Change of the Lao PDR”,“The National Strategy and Action Plan
on Environmentally Sustainable Transport, Lao PDR”and“Renewable Energy Development Strategy in

4

Lao PDR”.
In the Lao PDR GHG emissions increased the most in the LULUCF sector between 1990 and 2000.
However, GHG emissions in other sectors, namely energy, industry, agriculture, and waste, havealso shown relatively small but steady increases1. A focus on the transport sector was proposed in a
discussion by the Technical Working Group on Climate Change. This was primarily due to a recent rapid
increase in the number of vehicle registrations, which is resulting in an increase in GHG emissions in the
Lao PDR, and secondly due to potential co-benefits that would address other socio-environmental issues

5such as air-pollution, traffic congestion, and traffic accidents.
A detailed mitigation action plan of the transport sector was yet to have been developed by the Lao
PDR, and hence potential NAMA options within the transport sector were pinpointed after taking into
careful consideration the relevant policies in the Technical Working Group on Climate Change.

1

52

The Fist National Communication (2000), The Second National Communication (Draft ver. as of Oct. 2012)Table 1. NAMAs options within the transport sector in the Lao PDR
No.

Category

NAMAs Options

1

Fuel switching/
Improved fuelefficiency ofvehiclesIntroduction of electric vehicles (government cars, buses, and shuttle buses
for tourism)

2
3

Promotion of utilization of electric vehicles
Promotion of utilization of four stroke engine tricycles

4

Use of alternative fuels (bio-ethanol and biodiesel)

5Regulation of fuel quality

6

Regulation of fuel economy

7

Regulation of exhaust gases

8

Promotion of eco-driving

9

Improved traffic
efficiency

10

Development and promotion of public buses
Development and promotion of BRT

11

Bicycle lanes

12

Car park project

13

Banning of trucks

14

Signalization of major intersections

15

Ring road project16

Introduction of ITS

17

Traffic Control Management Center

18

1

2

Establishment of a truck terminal and physical distribution centers

19

Other

Installation of LED Signals

Of the above listed NAMA options the Technical Working Group on Climate Change decided to focus

3

upon the“Introduction of electric vehicles”as a model case due to the following reasons: an energy
policy priority in the Lao PDR in thereby utilizing electricity generated from an increasing number ofhydropower plants as an alternative to imported fossil fuel; and the availability of data from on-goingproject regarding a Low Emission Public Transport System by the Japan International Cooperation
Agency (JICA).
2)

Compilation of activity data(a)

BAU emissions

4a) Data used in BAU emission calculation
The following data was used to calculate BAU emissions by 2020 in the transport sector.
-	Number of vehicles registered: 2012, Vehicles Registration Statistics in Lao PDR by year, Ministryof Public Works and Transport (MPWT), Lao PDR-	Fuel efficiency by vehicle type (km/l): JICA. 2012. JICA Basic Data Collection Study on Low
Emission Public Transport System in Lao PDR / Data provided by MPWT (for motorbikes andpassenger cars only)-	Distance traveled by vehicle type (km/day): JICA. 2012. JICA Basic Data Collection Study on Low

5

Emission Public Transport System in Lao PDR-	Projected number of vehicles registered by 2020: JICA. 2012. JICA Basic Data Collection Studyon Low Emission Public Transport System in Lao PDR-

2Calorific value of gasoline and diesel: Ministry of Environment, Thailand2

	Most gasoline and diesel in Laos is imported from Thailand, and hence the country specific values for the calorific values of Thailand
were used.

53b) Alternatives to missing data-	There are no country specific values regarding the emission factors for gasoline and diesel in Lao
PDR and hence default values provided in the 2006 IPCC Guidelines for National Greenhouse Gas
Inventories were used in the calculation.
-

1

Fuel efficiency by vehicle type (km/l) in 2020 was estimated to have increased 1% every year.

3)

Identification of BAU(a)

Methodologies

The following equation was used in the BAU emission calculation3.

Where:
BEy2

Total BAU emissions in year y (tCO2)

SFCi

Specific fuel consumption of vehicle category i in year y (l/km)

NCVBL,iNet calorific value of fossil fuel consumed by vehicle with BAU (MJ/l)

EFBL,iEmission factor of fossil fuel consumed by vehicle with BAU (tCO2/MJ)

DDi,y	Estimated annual average distance travelled by registered vehicle category i in year y
(km)
Ni,y

3

Estimated number of registered vehicles in category i in year y

4)Specification of NAMAs(a)

Summary of mitigation actions

The selected NAMA option involved promoting the use of electric vehicles as an alternative toconventional gasoline or diesel vehicles, and with related infrastructure developments such as battery
stands. The amount of energy supplied by hydropower plants is expected to significantly surpass
energy demand from 2015 on, and the grid CO2 emission factor estimated to be as low4 in the Lao PDR,
and hence this option would be beneficial in enabling the utilization of domestic low emission electricalenergy, and reducing the consumption of fossil fuels that are all imported from neighboring countries, aswell as in mitigating air-pollution in urban areas.

4(b)Technology specifications and cost analysis

The applicability and sustainability of the use of electric vehicles very much depends on theirtechnological specifications, infrastructure development, and cost, and hence a further study is taking
place as part of the Study on Low Emission Public Transport System in Lao PDR made by the JICA.
5)

Quantification of GHG emission reduction by NAMAs(a)

NAMA emissionsa) Target year

5

The target year was set to be 2020 with regard to NAMA emissions.
b) Calculation Method	The emission reduction from the NAMA is the difference between the baseline emissions andprojected emissions for by 2020. The baseline emissions were calculated using the following
equation5.
3
4

Small-scale CDM methodologies: AMS- III.C“Emission reductions by electric and hybrid vehicles”
	Current CO2 emission factor is estimated to be 0.135 tCO2/MWh, as provided by data from Eletricite du Laos (EDL) and the Thai
Greenhouse Gas Management Organization.

5

54

Small-scale CDM methodologies: AMS- III.C“Emission reductions by electric and hybrid vehicles”

Where:BEy

Total baseline emissions in year y (tCO2)

SFCi

Specific fuel consumption of baseline vehicle category i (l/km)

NCVBL,iNet calorific value of fossil fuel consumed by baseline vehicle (MJ/l)

EFBL,iEmission factor of fossil fuel consumed by baseline vehicle (tCO2/MJ)

DDi,yAnnual average distance travelled by projected vehicle category i in the year y (km)Ni,yNumber of projected operational vehicles in category i in year y

1

The projected emissions were calculated using the following equation6:

Where:
PEy

2

Total projected emissions in year y (tCO2)

SECPJ,i,y	Specific electricity consumption by projected vehicle category i per km in year y inurban conditions (kWh/km)
EFelect,yCO2 emission factor of electricity in year y (tCO2/kWh)

TDLy	Average technical transmission and distribution losses with providing electricity in
year
DDi,y

Annual average distance travelled by projected vehicle category i in the year y (km)Ni,yNumber of projected operational vehicles in category i in year y3c) NAMAs Target Value	The percentage of electric vehicles to be introduced in relation to the estimated number of vehicles
owned by their type in 2020 was taken from the JICA Basic Data Collection Study on Low Emission
Public Transport System in Lao PDR, 2012.
(b)

Calculation of emissions reduction achieved through introducing electric vehiclesa) Data used in emission reduction calculation-

4

Distance traveled by vehicle type (km/day): JICA. 2012. JICA Basic Data Collection Study on Low

Emission Public Transport System in Lao PDR-Electrical Economy by vehicle type (kWh/km): JICA. 2012. JICA Basic Data Collection Study on

Low Emission Public Transport System in Lao PDR-

Grid Electricity emission factor (tCO2/MWh) was estimated using data from Eletricite du Laos (EDL)

and the Thai Greenhouse Gas Management Organization.
b) Alternative to missing data-

6

Fuel efficiency by vehicle type (km/l) in 2020 was estimated to increase 1% every year.

5

Small-scale CDM methodologies: AMS- III.C“Emission reductions by electric and hybrid vehicles”

55

4. Institutional Arrangements
The Technical Working Group on Climate Change was organized in order to facilitate related discussions
between the ministries concerned and consultations with experts. The Working Group is chaired by
MONRE, and incorporates the MPWT, the Ministry of Industry and Commerce (MIC), the Ministry ofEnergy and Mines (MEM), the Ministry of Science and Technology (MOST), the Ministry of Agriculture

1and Forestry (MAF), the Ministry of Health (MoH), and the Ministry of Education and Sport (MoES). The
Technical Working Group was established as a subsidiary body of the National Environmental Committee
to deal with the technical side of climate change related issues, and in particular specific topics that
include NAMAs, REDD+, and CDM.

5. Summary of concrete mitigation actions
The selected NAMA option can be summarized using the following format:

2

A. Specific measures: Introduction of electric vehicles
B. Projected emissions reduction:
Approx. 318,973 tCO2 by 2020 (Target Year)(a) Target number of electric vehicles to be introduced by 2020
Number of EVs

Percentage to total
vehicle ownership (%)

Motorcycles

698,000

50

Passenger cars

45,00010Category

Trucks3--

Tuk tuks/Minibuses

4,000

100

Song thews/Medium
size buses

12,00010Large buses

1,000

10

-

40

TOTAL
C. Description of NAMA(a) Introduction of electric vehicles

		CO2 emissions from the fuel combustion of road vehicles can be reduced by replacing conventional gasoline
or diesel vehicles with electric vehicles.

4(b) Calculation of GHG emissions reduction		GHG emissions reduction (tCO2) = Baseline emissions – Projected emissions

		Baseline emissions

Where:BEy
SFCi
NCVBL,i
EFBL,i
DDi,y
Ni,y

5

Projected emissions

56

Total baseline emissions in year y (tCO2)
Specific fuel consumption of baseline vehicle category i (l/km)
Net calorific value of fossil fuel consumed by baseline vehicle (MJ/l)Emission factor of fossil fuel consumed by baseline vehicle (tCO2/MJ)
Annual average distance travelled by projected vehicle category i in the year y (km)Number of projected operational vehicles in category i in year yWhere:PEy
Total projected emissions in year y (tCO2)
SECPJ,i,y	Specific electricity consumed by projected vehicle category i per km in year y in urban
conditions (kWh/km)
EFelect,yCO2 emission factor of electricity in year y (tCO2/kWh)
TDLy
Average technical transmission and distribution losses in the provision of electricity in year
DDi,yAnnual average distance travelled by projected vehicle category i in the year y (km)Ni,yNumber of projected operational vehicles in category i in year y

1(c) GHG emissions reduction by vehicle type
Category

Total Emission
Reduction(tCO2/year)

Emission Reduction
per vehicle(tCO2/year/vehicle)

Motorcycles

161,204

0.2

Passenger cars

56,2801.3--

Tuk tuks/Minibuses

42,537

10.6

Song thews/Medium
size buses

21,0651.8

Large buses

37,887

37.9

Trucks2

6. Policy-level MRV
The number of electric vehicles introduced in Lao PDR will need to be reported in thereby monitoring
the progress of the NAMA option selected. The vehicle registration system in the Lao PDR currently

3

records eight different types of vehicles and their year of registration, and which the MPWT is
responsible for. The impact could therefore be reviewed by subdividing its vehicle categories into powersources (gasoline, diesel, hybrid, LPG, and electricity etc.) at their initial registration or annual vehicle
inspections. Fuel efficiency and data on their distance travelled used in the calculations every few years
may also need to be reviewed by the Technical Working Group on Climate Change in thereby ensuring
the utmost accuracy.

7. Co-benefits

4

Introducing electric vehicles could result in the following social, environmental, and economical cobenefits:-

Reduced air pollutants from exhaust gases-

Reduced noise/vibration-

Reduced cost of purchasing gasoline or diesel at the individual level-

Reduced odor from exhaust gases

5

One hundred percent of the petroleum used in the Lao PDR is imported from abroad, which is ofsignificant cost to the national economy and negatively affects their energy security. Replacing
petroleum with domestically generated hydro-electricity can thus contribute to addressing these issues,in addition to the above mentioned benefits.

57

8. Lessons learnt/Next steps
The NAMA development experience provided useful findings that can be used in the next steps to take,which are as follows:-	Establishment of a country specific default value for fuel efficiency by vehicle type will be usefulin the GHG emission quantification of NAMAs options in the transport sector, but capacity building1

on transport data collection may be required.
-	Development of the rest of the listed NAMAs options will be necessary, and with, in particular,“Alternative fuel introduction (bio-ethanol and biodiesel)”,“Regulation of fuel quality”,“Development and promotion of public buses”, and“Car Parks (park and ride)”being considered
priorities by the Technical Working Group.
-

Consideration of financial schemes to be utilized in NAMA implementation will be essential.

References

2-

The Seventh National Socio-Economic Development Plan (2011-2015) (2011)-

Strategy on Climate Change of the Lao PDR (2010)-	The National Strategy and Action Plan on Environment Sustainable Transport, Lao PDR, March(2011)-

Renewable Energy Development Strategy in Lao PDR, October (2011)-	JICA Basic Data Collection Study on Low Emission Public Transport System in Lao PDR, Final
Report, October (2012)3

4.3

Experience gained developing NAMAs in theenergy supply sector of Mongolia
ITsendsuren Batsuuri (Ministry of Environment and Green Development)

By

Masayoshi Futami (Overseas Environmental Cooperation Center, Japan)
Kunihiro Ueno (Climate Experts Ltd.)
Fumihiko Kuwahara (SUURI-KEIKAKU CO., LTD.)

4
Host Country Information:
Host Country

Implementing Organization

Sector
General:Specific:5

Mongolia
Ministry of Environment and Green Development ofMongolia (MEGD)

Energy supply
Combined heat and power plant

1. Background (Introduction)
Mongolia is located in a severe continental climate area, with temperature of about -10 ºC to -40 ºC
during winter, thus Ulaanbaatar, where almost half of the population lives, is the coldest capital in theworld.

58

The electricity and heating demand have increased rapidly due to the influx of people from rural areas
to Ulaanbaatar who look for income-generation opportunities. Coal-fired power plants (Combined Heatand Power plant: CHP) provide the majority of power generated in Ulaanbaatar. In particular, CHP3 and
CHP4 are the biggest coal fired CHP plants in the capital. Since CHPs contribute a major part in the
total GHG emissions of Mongolia, improving the efficiency of CHPs and reducing internal use are listed

1

up as GHG emission reduction measures in the Mongolian NAMAs list which was submitted to UNFCCC
in accordance with Copenhagen Accord. Therefore, as a prioritized action, improving efficiency of CHP3
and CHP4 in view of tackling their dominant GHG emissions is analyzed.
This paper is structured as follows; Section2 briefly describes a preparatory process. Section3 explain
an example of an institutional level arrangement. Section4 proposes NAMA options and Section5
suggests Policy level MRV. Section6 analyses co-benefits effect of NAMAs, finally lessons learnt andkey challenges are summarized in Section5.

2

2. Preparatory process1)

Compilation of policy documents and data collection

Historical trends and future GHG emission projections with respect to heat and electricity generation
were then calculated using the data and national plan shown below.
Historical trends-

Energy Statistical Indicators 2006-2011（Energy Regulatory Commission）-

Mongolia statistical yearbook 1999-2011（National statistical office of Mongolia）

3

Projections-　Mongolia: Updating Energy Sector Development plan: Interim report-PN TA.NO 7619-MON (AsianDevelopment Bank)
Energy supply data was amassed using statistical documents and policy papers for use in thencalculating the Business As Usual (BAU). The main energy supply facilities of Mongolia include CHPs,
Heat Only Boilers (HOB), and individual ger stoves. All that activity data was amassed and aggregatedin thereby covering the entire energy supply sector (the data covers more than 95% of energy supply

4

BAU emissions). The data is shown below:【Electricity】
・Electric power generation（generating-end）： unit（GWh/year）
・Electric power supply（sending-end）： unit（GWh/year）
・Electric demand： unit（GWh/year）【Heat】
・Heat supply： unit（Gcal/year）

5

・Heat demand： unit（Gcal/year）【Coal consumption】
・Coal consumed in power generation： unit（ton×10³/year）
・Coal consumed in heat production： unit（ton×10³/year）

59

2） Calculation of BAU
Energy generation emissions were calculated using the activity data amassed from the main facilities(CHPs, HOBs, and individual ger stoves), and which came from the above mentioned documents. We
adopted the bottom-up approach to use to estimate overall energy supply sector emissions and inintegrated the individual activity data from each facility. Emissions from the energy supply sector were
estimated to be 9,137 tCO₂ × 10³ in 2006, but which is expected to have increased to up to 13,363

1

tCO₂ × 10³ by 2020. National inventory data from the energy sector indicates emissions of 10,220 tCO₂
× 10³, thus making the aggregated emissions from the energy supply data consistent with the inventory.
The calculations used are shown below.
【Electricity】

EGm,y : Energy supply from each CHP (m) per year y.（kWh/year）

2

SFC(E)m,y :	Specific amount of fuel consumed when generating electricity at each CHP (m) per year y.
（g/kWh）
EFcoal :	Emission factor of lignite from 2006 IPCC Guidelines for National Greenhouse Gas
Inventories (2.96 tCO₂e/t-coal). CO2 emission factor for lignite was utilized to represent
the value of coal as it is the main type of coal used in Mongolia.
y : year 2005-2020
they3【Heat】Heat production from CHP,

HGm,y : Energy supplied by each CHP, (Gcal/year）
SFC(H)m,y :	Specific amount of fuel consumed in producing heat at each CHP (m) per year y.（g/Gcal）
EFcoal :	Emission factor of lignite from 2006 IPCC Guidelines for National Greenhouse Gas

4

Inventories (2.96 tCO₂e/t-coal).
y : year 2005-2020
Heat production from HOB and Individual Ger Stoves;

HGm,y : Energy supplied by HOBs and individual Ger Stoves (ton/year)
EFcoal :	Emission factor of lignite from 2006 IPCC Guidelines for National Greenhouse Gas

5

Inventories (2.96 tCO₂e/t-coal).
y : year 2005-2020
3)

Specification of NAMA

Comprehensive introduction of low carbon technologies in the coal-fired combined heat and power
plants (CHPs) used in the central energy system of Mongolia would reduce coal-derived CO₂ emissions
as well as air pollutants.

60

In a Feasibility Study (FS) made by Suuri-Keikaku Co., Ltd., questionnaires and on-site interviews wereused at CHP3 and CHP4. In addition, quantification of GHG emission reductions and MRV methods werealso fully examined.
The project at CHP3 assumes the introduction of low O₂ boiler system, a speed control for the boiler
water pump, a resin coating over the surface of the blades of the condenser pump, better insulation,1

replacement by the top runner transformer, and light emitting diodes, all with respect to the operational
aspect. The project at CHP4 assumes the introduction of more energy efficient technology – forexample highly efficient turbines and combustion systems at the facility level, and adoption of equipment
management technology at the operational level. These activities will increase the energy efficiencyof CHPs while reducing how much coal they consume, and thus contributing to a reduction in CO₂emissions.
As proposed in its submission to the UNFCCC the above mentioned NAMAs are expected to take place2with international support, including finance and technology transfers, as well as capability creation.
At this point Mongolia is seeking a variety of ways to finance these actions, for example from bilateraland multilateral financial sources, including ODA and soft loans. In addition, and in order to increase
the scale of the mitigation actions and utilize all possible funding sources in facilitating the transfer oftechnologies, financing through mechanisms such as the Joint Offset Crediting Mechanism (JCM) andother innovative means of finance are also expected to occur.
4)

Quantification of Emission Reduction by NAMAs

3

FC(H)BAU, y : Fuel consumed for heat supply in BAU (without NAMA measure) per year y (t-coal/year)
FC(H)y : Fuel consumed for heat supply with NAMA measure per year y (t-coal/year)
EFcoal : CO₂ emission factor of fuel (t CO₂/t-coal)
QHy : Total amount of net distributed heat per year y (Gcal/year)
SFC(H)BAU, y :	Specific amount of fuel consumed per unit of net distributed heat in BAU without NAMA
(t-coal/Gcal)

4

SFC(H)y :	Specific amount of fuel consumed per unit of net distributed heat in BAU with NAMA (t-coal/
Gcal)

3. Institutional arrangements
Institutional level arrangements have been organized between the Ministry of Environment and Green
Development of Mongolia (MEGD) and the Overseas Environmental Cooperation Center (OECC) withrespect to the following activities.

5(1) The establishment of a NAMA advisory committee.
(2) The advisory committee is composed of selected experts from relevant organizations.
(3) The MEGD functions as the secretariat for the advisory committee.
(4) The advisory committee discusses output from the project and provides recommendations.
(5) The advisory committee is chaired by the MEGD but with support from OECC.

61

Figure1. Institutional arrangement for the NAMA project1

2

4. Proposed NAMAs options
A. Specific measures:Multiple application of energy efficiency improvement measures at CHP3
B. Projected emissions reduction:
Approx. 77,360 tCO2/year
C. Premise for forecast once taken:
Potential Measures at CHP3

3
BoilerAuxiliary andElectricity

4

2008-2010 Average

5
2015

3.87

6.87

- Adoption of speed control
for Boiler Feed water
Pump
Replacement by Top
runner Transformer- Adoption of Light Emitting
Diodes and Resin coatingof Blades surface ofCondenser Pump
- Better insulation
Coal consumption
intensity with heatproduction

Improvement of energy
efficiency of heatproduction

369.8*10-3 t-coal/MWh

3.87%

Improvement of energy
efficiency of power
production

Emission reduction frompower generation*10-3 t-coal/Gcal

179.6

Coal consumption
intensity with power
generation

Total emission reduction

62

Improvement of energy
efficiency of power
generation [%]- Improved Combustion(Low O₂ operation)

Emission reduction fromheat generation
2015

Improvement of energy
efficiency of heatproduction [%]6.87
36,82440,53677,360tCO2/year

A. Specific measures:Multiple application of energy efficiency improvement measures at CHP4
B. Projected emissions reduction:
Approx. 208,888tCO2/year
C. Premise for forecast once taken:
Potential Measures at CHP4
Boiler

Installation of Soot Blowers

TurbineReplacement by highefficiency turbine (rotors,
blades, inner casings, andgovernor)

Electricity

Improvement of energy
efficiency of heatproduction [%]Improvement of energy
efficiency of power
generation[%]

0.32

6.57

-	Replacement by top
runner LEDs
- Adoption of LEDs

1

2

-	Resin coating over bladesurface of CWP
Auxiliary and piping-	Resin coating over bladesurface of CP- Better insulation

2008-2010 Average

2015

Coal consumption
intensity with heatproduction
Coal consumption
intensity with power
generation
Improvement of energy
efficiency of heatproduction

366

Emission reduction frompower generation
Total emission reduction

3-3*10 t-coal/MWh

0.32%

Improvement of energy
efficiency of power
generation
Emission reduction fromheat generation

2015

-3
*10 t-coal/Gcal

183.1

6.57
5,267
203,6214

tCO2/year

208,888

5. Policy level MRV
After the NAMA has been implemented ex-post evaluations of the status of efforts will need to be madeby the government in association with evaluation indicators established for the countermeasures. The

5existing report and review system in Mongolia with respect to activity data from each sector would
presumably be applicable in evaluating the impact of implemented NAMAs, however, the availability ofa NAMA MRV system has yet to have been confirmed. Starting in 2013 we are therefore planning toconduct studies on the existing MRV system that can then be used in ex-post evaluations of NAMAs.

63

6. Co-benefits
Acceding to the FS made by Suuri-Keikaku Co., LTD, the emission of air pollutants (PM10) were
estimated for a scenario in which the amount of coal consumed would be reduced by 1% at CHP3 and
CHP4 as a result of energy conservation measures. Reducing the amount of coal consumed at CHP3
and CHP4 by 1% would reduce the amount of PM10 from 4,318 (ton/year) to 4,293 (ton/year). The

1

health benefits resulting from that measure can be calculated by subtracting the monetary value of theimplemented measure scenario respective to without the measure scenario, which then reveals thehealth benefit to be equal 679,000 USD when the amount of coal consumed is reduced by 1%.

7. Lessons Learnt/Key challenges（1）	We calculated BAU emissions using activity data from the main energy supply facilities (CHPs,
HOBs, and ger stoves) and based on Energy Statistical Indicators 2006-2011 and the Mongolia

2Updating Energy Sector Development Plan. However, BAU emissions typically include uncertainties,
for example any time lag with the expected introduction of the new planned CHP, and also theamount of electricity imported from China and Russia in meeting increasing demand in the future.
BAU emissions are non-linear, thus making it difficult to calculate BAU emissions for the energy
sector using the bottom-up approach. The uncertainty included in the BAU scenario is quite high,thus making it better to focus on the aggregation of mitigation projects as an integration of NAMA
options an initial step. The effect of a NAMA effect can be better revealed by summing up the
potential projects rather than using the quantity of actual emissions.

3（2）	It is important to recognize that potential NAMAs should be embedded within a Low Emission
Development Strategy or comparable national strategy. Looking for planned projects with large
amounts of business potential and GHG emission reductions is an indispensable component, andwith the possibility of making a profit generation and growth in demand for the host country being
particularly crucial in selecting realistic NAMA projects.
（3）	Institutional arrangements are crucial in the creation of BAU and NAMA options because the dataand strategies need to be considered together through inter-ministerial cooperation in a particularsector. At the same time, it is also important that the appropriate commitment of the ministries

4

responsible is reached with potential NAMA projects.
（4）	It is important to take into account the co-benefits of reducing pollution and contamination througha NAMA project. There are many cases where priority on measuring pollution is overly high whencompared to the mitigation actions of the host country. In that case, however, the expectation isthat the setting of standards for use with eligibility criteria be considered with NAMAs that will haveco-benefits.
References

5

Asian Development Bank (2011) Ulaanbaatar low carbon energy supply project using a Public Private
Partnership Model (Appendix 3)
CCAP (2012) MRV of NAMAs: Guidance for Selecting Sustainable Development Indicators
Ecofys (2012) Financing Supported NAMAs
GIZ (2013) Steps for Moving a NAMA from Idea towards Implementation (ver. 8.6.)
IISD (2013) Developing Financeable NAMAs A Practitioner’s Guide
Global Warming Prevention Headquarters (2005) Kyoto Protocol Target Achievement Plan.

64

Ministry of Environment and Green Development, Mongolia (2013a) GHG Mitigation Scenarios in Energy
sector (preliminary version)
Ministry of Environment and Green Development, Mongolia (2013b) Technology Needs Assessment(Volume-2 Climate Change Mitigation in Mongolia)
UNEP (2012) Primer on MRV for Nationally Appropriate Mitigation Actions
UNFCCC (2007) FCCC/CP/2007/6/Add.1. Report of the Conference of the Parties on its thirteenth1session. Held in Bali from 3 to 15 December 2007.
UNFCCC (2009) FCCC/CP/2009/11/Add.1. Report of the Conference of the Parties on its fifteenthsession. Held in Copenhagen from 7 to 19 December 2009
UNFCCC (2010) FCCC/CP/2010/7/Add.1. Report of the Conference of the Parties on its sixteenthsession. Held in Cancun from 29 November to 10 December 2010.
UNFCCC (2010) FCCC/CP/2011/9/Add.1. Report of the Conference of the Parties on its seventeenthsession. Held in Durban from 28 November to 11 December 2011.

4.4
By

2

Experience gained developing NAMAs in thewaste sector in Vietnam
Anh Do (Institute of Meteorology Hydrology and Environment, Viet Nam) Yuko Komiya (Overseas Environmental Cooperation Center, Japan)

Host Country Information:
Host Country

Implementing Organization

Sector
General:Specific:

Socialist Republic of Viet Nam
The Vietnam Institute of Meteorology, Hydrology

3and Environment (IMHEN)

Waste sector
Municipal Solid Waste (MSW)/Waste water

1. Background (Introduction)

4

Preparation for implementing NAMAs in Vietnam is underway , as demonstrated by the“National Target
1

Program to Respond to Climate Change (NTP)”and the“National Climate Change Strategy”. Waste
management in Vietnam is one of the most important sectors for reducing GHGs due to poorly managed
landfill that can be a serious threat to the environment, including the generation of landfill gas (methane),
which is a major greenhouse gas (GHG).
In order to contribute to improving the waste treatment system and introducing measures that will5

help realize a low carbon society, a joint working group was developed between OECC and IMHEN towork on NAMAs in the waste sector under the“NAMA Capacity Building Project”, as supported by the
Ministry of the Environment, Japan (MOEJ), in 2012. This section will introduce OECC’s and IMHEN’s
approaches to developing NAMAs in the waste sector in Vietnam during 2012.

1

As of 6 June2014 the Government of Vietnam was yet to have submitted its plan on NAMAs to the UNFCCC.

65

2. Developmental context
Vietnam’s National Target Program to Respond to Climate Change (NTP) requests that any responses toclimate change follow the principle of sustainable development. The NTP specifically identified activities
in thus responding to both the immediate and potential long-term impact of climate change, calling foractions that abate GHG emissions, promote international cooperation in scientific and technological1

activities, and apply and transfer climate friendly technologies. This is also in line with the Viet Nam
National Green Growth Strategy, as adopted as Prime Minister Decision No. 1393/QĐ-TTg in September
2012, which also highlights the need for developing sustainable waste management practices. Additional
waste-related policies are stated below.

3. Preparatory process1)2

Compilation and analysis of policy documents

Several documents were first reviewed in thereby identifying policy arrangements (targets, visions,and development plans, etc.), the technological issues, and organizational arrangement in the waste
sector in Vietnam. Some of the documents examined included:“the Second National Communication ofVietnam (SNC)”,“National Target Program to Respond to Climate Change (NTP)”,“National Strategy on
Climate Change”(Decision No.2139),“National Strategies for Integrated Management of Solid Waste up
to 2050 and Vision towards 2050”,“Approval of project of greenhouse gas emission management andmanagement of carbon credit business activities to the world market”(Decision No.1775), and“2011National Environment Report”, along with other relevant research papers.

3

Review of the literatures revealed the majority of GHG emissions in the waste sector to be generated
by anaerobic decomposition of municipal solid waste disposed of via landfill. Analysis of the politicaland institutional arrangements in the waste sector then helped identify the key organizations needed toengage in the development of a national level NAMAs plan in the waste sector of Vietnam.
2)Compilation of activity data

For the purpose of this project a list of landfill sites was developed with the purpose of amassing data4

from each and for use in identifying business-as-usual (BAU) in terms of GHG emissions and technology
gaps for each landfill site in Vietnam.
The data on landfill sites collected included:
・Current names and locations (e.g. provinces and cities) of all landfill sites
・Capacity and depth of the layers of each landfill site・Annual waste volume in each landfill site
・Current technologies used at each landfill sire with regard to waste management

5・Expected closing year of each landfill site
Landfill site data was initially collected from the“2005 Report on Environment Impact Assessment ofLandfills”provided by the Ministry of Natural Resources and Environment (MONRE) and other sources
such as online reports that had been released by the relevant government organizations, NGOs, andJapanese research institutes. However, due to outdated data collection systems and an inadequate data
management system of the waste sector in Vietnam the available landfill site data was very limited andnot sufficient enough to use to estimate a BAU scenario. Complementary data collection activities were66

therefore undertaken with the assistance of URENCO (Urban Environment Company), a public entity thatis in charge of collecting and managing urban MSWs in Vietnam. A BAU for each landfill site was thenestimated after organizing all the data amassed from above.
3)

Identification of BAU

This project involved two BAU scenarios being developed as the basis for then developing NAMA

1

scenarios. Scenario 1 was based on the hypothesis that the current annual growth rate of solid waste
generation in Vietnam would be approximately 10%, given the recent trends with increases in waste
generation outlined in the“2011 National Environmental Report”published by MONRE of Vietnam(MONRE, 2011: 16). Scenario 2 assumed that the annual growth rate of solid waste would be 3.27%, asbased on a research paper by the National Institute for Environmental Studies (NIES), Japan (Osako et
al. 2011).
Table 1. Comparison of two BAU scenarios
Annual waste growthrate
Theoretical basis for
BAU prediction

4)

Scenario 1

Scenario 2

10%2

3.27%3

Based on the growth rate of urban solid
waste during the period of 2007-20102

Prediction based on estimated future growthin population and GDP during the period of
2010-2020.

Specification of NAMAs

The project takes into consideration two methods of either avoiding or reducing methane emissions

3

from landfill sites. The first concerns reducing the amount of organic waste itself generated, while thesecond concerns the treatment and disposal of organic waste under aerobic conditions in thereby
minimizing methane being emitted during the process of its biological decomposition. Utilizing waste
to produce energy through waste-to-energy technology (e.g. incineration that generates power, andmethane capture, collection and utilization) can reduce GHG emissions in two ways: by avoiding
methane that would have been produced by decomposing organic waste and as a substitute for fossil
fuel being used to produce energy.

4

The following technologies were proposed for use in this project and for the purpose of reducing GHG
emissions in the waste sector:
・Semi-aerobic landfill technology
・Aerobic landfill technology
・Bioreactor landfill
・Land-fill gas capture and flaring (or to produce energy)
・Incineration (and to produce energy, mainly for power generation)
・Refuse Derived Fuel (RDF)/Refuse Plastics Fuel (RPF) (and to produce energy, mainly for power

5

generation)
・Biogas digester and energy use
・Composting

2

Source: MONRE (2011)“National Environmental Report 2011: Solid Waste”
Source: Osako et al. (2011)“Establishment of waste database and assessment of municipal solid waste management system in3	South Asian countries”

67The Vietnamese working group analyzed each technology and selected the semi-aerobic landfill
technology as their first NAMA option, given that all the collected waste currently gets treated at landfill
sites and the technology represents a low-cost option to improve the situation with landfill sites in a
relatively simple manner and using locally available materials.

15)

Quantification of GHG Emission Reduction by NAMAs(a)

Composition of BAU scenarios

Future increases in the amount of municipal solid waste as well as the amount of GHG emissions were
calculated using the two BAU scenarios (Table 1).
(b)

Estimated future increase in solid waste generation in Vietnam until 2030

Future changes in the amount of municipal solid waste generated in Vietnam until the year 2030 were
calculated by multiplying the amount of solid waste disposed of in each municipality in 2009 by thepredicted waste growth rates (10% or 3.27% respectively) from Scenarios 1 and 24.

2(c)

Estimated future increase in GHG emissions from the waste sector in Vietnam until 2030

We used the First Order Decay (FOD)5 model to calculate future GHG emissions from the landfill sites
in Vietnam, which is recommended by the IPCC in its 2006 Guidelines for National Greenhouse Gas
Inventories (2006). The formula used in the FOD model is as follows:

3
Φ
1
F
0
GWPCH4
25
Ox
0
16/12
1.33333
Frac
0.5
DOCf
0.5
MCF		
Aj,t		
DOCj		
J		kj		
(1–e–kj)		
y0		
Y		

4

Model correction factor
Methane capture factor (IPCC default)
Global Warming Potential of methane (IPCC AR4)
Oxidization factor of methane (IPCC default)
CH4/C molecular ratio
Fraction of methane in SWDS gas (IPCC default)
Fraction of decomposable DOC (IPCC default)
MCF for "unmanaged depth >5m" SWDS (IPCC default)
Annual amount of organic waste of type j in year t. Aj,t = At * %Aj
DOC content of waste type j (table)
Waste type
Methane generation rate of waste type j (table)
Constant used in calculating geometric series using t
Initial year of the targeted waste disposal
Target year considered[Source: IPCC2006: 2006 IPCC Guidelines for National Greenhouse Gas Inventories, Volume5]5

4
5

Information on the amount of urban solid waste disposed of in each municipality in 2009 was obtained from Osako et al. (2011: 9-10)
	The FOD method takes the time factors involved in the degradation process into account, and produces annual emission estimatesthat reflect this process, which can take years, and even decades. The estimated annual emissions produced by the two methods
are therefore not comparable. The FOD method produces better estimates regarding annual emissions whereas the IPCC default
method has its own merits e.g. in studies comparing potential reductions in CH4 emissions via use of alternative waste treatment
methods. (2006 IPCC Guideline)

68The following assumptions needed to be made with use of this formula:
・Decay rate of the different types of waste in landfill sites (Default IPCC values were used.)・Composition of waste (Average of 6 cities’data was used.)・Increasing rate of waste amount (Assumption made in the scenarios of 10% and 3.27% growth per
year)
・Methane Correction Factor (MCF)61

The composition of the urban solid waste was calculated using data from the six main cities of Vietnam,
namely, Ha Noi, Hai Phong, Hue, Da Nang, Ho Chi Minh, and Bac Ninh. Data, which was derived from
Vietnam’s“National Environmental Report 2011: Solid Waste”, regarding the composition of urban solid
waste outside these six cities is, however, currently unavailable. (Table 2)
Table 2. Average composition of domestic waste (wet base)Type of waste

Composition ratio (%)
Paper waste

5.2

Textile waste

3.2

Wood/straw waste

3.3

Moderately degrading waste

Other non-food organic putrescible/
garden and park waste

0.0

Rapidly degrading waste

Food waste/sewage sludge

63.9

Slowly degrading waste

Other non-degradable waste

2

24.4

[Source: MONRE (2011) National Environmental Report 2011: Solid Waste, p. 21]

3

The default value of 0.5 in Table 3 below, which was obtained from the IPCC 2006 Guidelines, was used
for the Methane Correction Factor (MCF).
Table 3. Default MCF
Type of Site

MCF

Site in Vietnam

Anaerobic

1.0Open dumping (unknown depth) sanitary landfill

Semi-aerobic

0.5

Semi-aerobic managed solid waste disposal sites

Unmanaged (waste depth >5m)

0.8Open dumping (deep waste >5m)

Unmanaged (waste depth <5m)

0.4

Open dumping (shallow waste <5m)

Uncategorized SWDS

0.6

Uncategorized solid waste disposal sites

4[Source: IPCC2006: 2006 IPCC Guidelines for National Greenhouse Gas Inventories, Volume5]

4. Institutional arrangements
A Vietnamese NAMA working group was established by OECC and IMHEN at the beginning of the
project in order to facilitate the collection of information and to provide experts’consultations. The
working group specializes in the waste sector and was composed of several relevant organizations and5

institutions set under MONRE, along with other relevant ministries.

6

	The MCF takes into account the methane generation potential of the site. The amount of methane produced partly depends upon theavailable oxygen and level of compaction of the waste.

69

5. Summary of concrete mitigation actions
Example: Use of semi-aerobic landfill technology
Projected emissions reduction:
Scenario 1: Approx. 48,788,238 tCO2e (2013-2020) (waste growth rate: 10%)
Scenario 2: Approx. 31,434,874 tCO2e (2013-2020) (waste growth rate: 3.27%)

1

Information used in calculating GHG emissions
The following data was collected for use in assessing the emissions and mitigation potential from a set of landfill
sites.
- Annual amounts of organic waste	Data on annual amounts of organic waste at each landfill site was collected from URENCO. The two emission
scenarios were developed with estimates up to 2020 by using the volume of waste in 2009 as the base year
and multiplying it by the estimated annual growth rates of 10% and 3.27%, respectively.
- The average composition of solid waste (Fraction of DOC decomposable)
	The composition of urban solid waste was calculated using data from the six main cities of Vietnam. And in thiscase the data came from the Vietnam Environmental Report 2011.

2- Value of MCF
	The First Order Decay (FOD) model was used to calculate the methane emissions from landfill sites. Based on
Table 3 above, the default MCF value of 1.0 for the BAU was used as not enough information was available on
all the landfill sites to identify their respective conditions and depths, while 0.5 was used as the default MCF
for the project scenario that utilized semi-aerobic technology to manage the disposal sites.
Description and details of NAMAs(a) Use of semi-aerobic landfill technology
	With this method the waste is segregated into organic and inorganic waste via use of mechanical separationequipment. The inorganic waste then gets further separated into recyclable and non-recyclable while theorganic waste is biologically treated to produce compost.
(b) Calculation of GHG emissions reductions
1) Model	The FOD model is the most widely used approach and recommended by the IPCC (2006) with respect tocalculating methane emissions from landfill sites.
2) Parameters
Actual data and IPCC default value were used in the FOD model as parameters.
3) GHG emissions reduction
	The GHG emissions reduction is the differences between the BAU and NAMA scenarios (1 and 2), andwhich can be calculated as follows.

34[1]BAU GHG emissions-Scenario 1: Approx. 97,576,475 tCO2e (2013-2020) (waste growth rate: 10%)
-Scenario 2: Approx. 62,869,748 tCO2e (2013-2020) (waste growth rate: 3.27%)[2]GHG emissions with NAMA scenarios (1 and 2)-Scenario 1: Approx. 48,788,238 tCO2e (2013-2020) (waste growth rate: 10%)
-Scenario 2: Approx. 31,434,874 tCO2e (2013-2020) (waste growth rate: 3.27%)[3]GHG emissions reduction-Scenario 1: Approx. 48,788,238 tCO2e (2013-2020) (waste growth rate: 10%)
-Scenario 2: Approx. 31,434,874 tCO2e (2013-2020) (waste growth rate: 3.27%)*In this case the GHG emissions reduction is the same as with the NAMA scenarios (1 and 2).

570

6. Policy-level MRVIn Vietnam regulations for waste management operators are determined by MONRE and other ministries
and agencies, but do not get very strictly enforced due to limited human resources, unclear mandates,
fragmented and overlapping roles of various government agencies, and limited interagency coordination.
This has resulted in the incentive to properly operate landfill sites or for industries to invest in waste

1treatment being rather limited at the moment, and which has resulted in the proliferation of inexpensive,
unsafe methods of disposal—such as open dumping.

7. Co-benefits
The developed NAMA can be expected to reduce the risk of fire, effluvium, leachate, and landslides, allof which are major problems that can occur in anaerobic conditions, while also realizing a reduction in2

methane gas emissions at landfill sites. The technology to be used in this NAMA proposal would also
contribute to the early stabilization of landfill sites, with the cost of operation and maintenance being
relatively low.

8. Lessons learnt/Next steps
1. Refining BAU scenarios

3

The data currently available on solid waste generation in Vietnam is rather incomplete, which therefore
makes it challenging to accurately estimate the growth rate of solid waste in the future. In addition, themethod used with the calculations in the development of the NAMA scenarios has room for improvement.
In more concrete terms, the following should be considered in thereby refining the quantification of
future GHG emissions from the landfill sites: 1) collection of other relevant data, including the waste
collection rates of each pertinent municipality; 2) potential changes in the waste growth rate in Vietnam
in the future (as opposed to the current NAMA scenarios in which the growth rate is presumed to remain
constant).

4

2. Further elaboration of NAMA options
Researching the current situation of all the landfill sites, possibly through onsite surveys, is considerednecessary in thereby analyzing whether it would be appropriate to utilize semi-aerobic landfill
technology at them. At the same time, other GHG emission reduction technologies for use in the waste
sector, including segregation, recycling, methane recovery and incineration, should also be closely
scrutinized in evaluating their potential within the context of Vietnam.

5

3. Capacity buiding with regard to a better data collection system
The implementation of NAMAs in an MRV manner requires clarification of the roles of the implementing
organizations and the modality of the MRV at both the project and policy levels, respectively. The
working group will need to aim at developing a modality for the domestic institutional arrangements
for NAMA implementation in the waste sector. In developing that modality the WG will have to take
into consideration the necessary domestic coordination through analyzing any gaps, and improve theexisting national mechanism and framework in the light of the cross-cutting themes of NAMAs in an MRV
manner, and endeavor to ensure harmony with the existing national system and framework.

71References
Do, Tien Anh (2013)“Overview of Climate Change Policies: focus on waste policies.”Climate Change
Research Center, Institute of Meteorology, Hydrology and Environment (IMHEN), Ministry of National
Resources and Environment (MONRE), Vietnam.
Intergovernmental Panel on Climate Change (IPCC) (2006) IPCC Guidelines for National Greenhouse Gas
Inventories, Volume 5: Waste.

1

Kawai, K., et al. (2010)“Scenario analysis of the municipal solid management system in Vietnam in thenear future.”[Tentative translation; document only available in Japanese], National Institute forEnvironmental Studies (NIES)
Ministry of Natural Resources and Environment of Vietnam (2011) BÁO CÁO MÔI TRƯỜNG QUỐC GIA

2011: CHẤT THẢI RẮN.

MONRE (2010) Viet Nam’s Second National Communication to the United Nations Framework
Convention on Climate Change. Socialist Republic of Viet Nam. Hanoi.
Osako, M., et al. (2011) Establishment of waste database and assessment of municipal solid waste

2

management system in South Asian countries. [document only available in Japanese]
Osako, M., et al. (2012) Establishment of waste database and assessment of municipal solid waste
management system in South Asian countries. [document only available in Japanese]
TOKYU CONSTRUCTION CO., LTD. (2010)“Feasibility Study on Semi-Aerobic Disposal CDM Project at
Laemchabang Landfill Site in Chonburi Province, Thailand.”World Bank (2011) Program Document on a Proposed Credit in the Amount of SDR 45.2 Million to
the Socialist Republic of Vietnam for the First Climate Change Development Policy Operation.
Washington D.C. December.

3

Japan International Cooperation Agency (2010-2013) Project for Capacity Building for National
Greenhouse Gas Inventory in Vietnam

4.5
By

4

Experience gained developing NAMAs in thetransport sector of Mexico
Benoit Lefevre (World Resources Institute / EMBARQ and CEP)
Anne Binsted (World Resources Institute / EMBARQ and CEP)

Case Studies:<a> Energy Efficiency Program for Freight Trucks<b> Optimization of Public Transport Routes and Vehicle Fleet Renewal<c> Integrated Urban Mobility Systems

Host Country Information:

5

Host Country

MexicoIt is anticipated that Mexico’s Ministry of Transportand Communications (SCT) and Ministry of theEnvironment (SEMARNAT) would implement thefreight NAMA and that either BANOBRAS (theImplementing Organization Mexican Development Bank) or PROTRAM (thePublic Transport Federal Support Programme) would
implement the integrated urban mobility NAMA. It isnot, at this stage, possible to speculate who would
progress the public transport optimization NAMA.
72

Sector
General:Specific:

Transport<a> freight sector, <b> public transport sector, and<c> integrated urban mobility.

1. Background (Introduction)

1

This section summarises the experience of developing two NAMA proposals (one a national level freight
NAMA and the other for integrated urban mobility systems), and one feasibility study (for the optimizationof urban public transport) in Mexico (these are three of several NAMAs proposed for the transport
sector in Mexico).
Transport is responsible for approximately 20% of total GHG emissions in Mexico and it is the second
fastest growing sector in terms of energy consumption. Climate change mitigation in the sector is2

therefore a high priority (CTS EMBARQ México, 2012).
The main challenge is faced in cities, which are rapidly urbanizing. In the early 1950s most of Mexico’s
population lived in rural areas, but approximately 80% of its population is now concentrated in urban
areas (INEGI, 2010). This rapid urbanization has been accompanied by high rates of motorization(supported in part by fuel subsidies), poor quality public transport services, and poor pedestrian andcycling infrastructure. This has contributed to urban degradation, atmospheric pollution, congestion,
traffic accidents, sedentary lifestyles and social exclusion, which have led to a significant deterioration3

in the population´s quality of life.
Car ownership is high and increasing (if current trends continue then there will be 70 million vehicles in
Mexico by 2030 (World Bank, 2009)) and the vast majority of Mexico’s Federal Budget is focused on
urban road construction (DOF, 2011). Public transport patronage is, however, also high. Seventy-five
percent of commuters use public transport (a sector characterised by highly polluting vehicles) or NonMotorised Transport (NMT) (CTS EMBARQ México, 2007).

4

The challenge of climate change mitigation in the transport sector is not limited to passenger transport.
Freight transport is responsible for approximately 30% of GHG emissions from Mexico’s transport sector(INE, 2009).
It is in this context that CTS EMBARQ México responded to Mexico’s Ministry of Economy’s (Secretaríade Economía) call for NAMA proposals in 2009. It developed a NAMA entitled‘Programa de Eficiencia
Energética para Camiones de Carga’(Energy Efficiency Program for Freight Trucks, hereafter referred
to as‘freight NAMA’) and a NAMA‘Optimización de Rutas de Transporte Público y Renovación’5(Optimization of Public Transport Routes and Vehicle Fleet Renewal, referred to here as‘route
optimization NAMA’). In 2011 the Mexican Ministry of the Environment (SEMARNAT) approached CTS
EMBARQ México to help prepare a NAMA to be included in Mexico’s Market Readiness Proposal to thePartnership for Market Readiness (PMR). In response it developed a proposal for a credited NAMA to
support the integration of urban mobility measures in the transport sector (Integrated Urban Mobility
Systems).
The aim of all three transport NAMAs is to reduce GHG emissions while realising associated co-benefits.
The NAMAs, and related experiences, are summarised in the rest of this section.
73

2. Development context
These three NAMAs have been developed based on both climate change mitigation and sustainable
development considerations. This is reflected in the anticipated co-benefits outlined in the respective
proposals (see Section 7) and their wider policy frameworks. It is also underpinned by the inherent link
between measures that support sustainable development and that reduce GHG emissions by reducing

1

the need to travel, shifting travel demand to less energy intensive modes, and improving the energy
efficiency of modes of transport.
Mexico’s National Development Plan (Plan Nacional de Desarrollo 2013 to 2018) (PND) outlines
Mexico’s development strategy for a six year period, the most recent version of which covers the period
2013 to 2018 (Gobierno de la República, 2013). It outlines national goals, development priorities andrelated strategies that can support the realisation of‘Vision 2030,’a document that sets out Mexico’s
long-term commitment to sustainable development and national economic, social and environmental

2

aspirations for 2030. The PND is referred to as a starting point for national development and dictates
related policy that is then incorporated into sectoral plans. Mexico’s climate change strategy (seeSection 3 below) is a component of the PND’s‘environmental sustainability’pillar. One of their related
objectives is to improve air quality and reduce GHG emissions through the use of more efficient fuels,
sustainable mobility programmes, and the elimination of policies and infrastructure that support the useof fossil fuels. Its objectives also include developing transport infrastructure, such as urban mass rapidtransport systems, to generate economic activity while promoting environmental sustainability.

3

Mexico’s wider policy and legislative framework also reflects the integration of development and climatechange mitigation considerations. The Federal Government’s General Law on Climate Change (DOF,
2012) for example (another initiative that is outlined in Section 3 below) was developed to support
Mexico’s transition towards a competitive, sustainable and low carbon economy.
This high-level strategy is reflected in individual policies and initiatives. The Integrated Urban Mobility
Systems NAMA, for example, seeks to better integrate two existing urban transport programmes, whichhave aims that include supporting low carbon growth in the transport sector. These two programmes

4

are the Federal Mass Transit Program (PROTRAM), which is part of the National Infrastructure Fund
(FONADIN) and the Urban Transport Transformation Program (UTTP). They are both managed by
the National Works and Public Services Bank (BANOBRAS) and were launched to promote moresustainable, efficient and cost-effective transport systems. These existing programmes have benefited
from both climate finance (the Clean Technology Fund) and development finance (from the Bank for
Reconstruction and Development).

3. Preparatory process5

1. Compilation and analysis of Policy Documents
Mexico has, and is continuing to, develop an institutional, policy and regulatory framework to support
climate change mitigation activities. In 2005 it created the Inter-ministerial Commission on Climate
Change (CICC), which coordinates the activities of the Federal Ministries in charge of formulating andimplementing national policies for climate change mitigation and adaptation. The CICC developed thefirst National Climate Change Strategy (NCCS) (CICC, 2007), which was developed to complement
Mexico’s National Development Plan (PEJ, 2007), one of five strategic themes of which is environmental

74

sustainability. The CICC established the first Special Programme on Climate Change (PECC) to cover
the period 2008 to 2012 (PEJ, 2009) to implement the provisions of both the National Climate Change
Strategy and National Development Plan. The PECC outlined public policies for eight sectors, which
include‘transportation and communication infrastructure,’with the objective of reducing domestic GHG
emissions by 50% by 2050 (from a 2000 baseline). This initial climate policy was recently followed bya second National Strategy for Climate Change, which was published in June 2013. It outlines a 10, 20

1

and 40 year vision that consolidates state policies around climate change and also specifies activities
by sector, such as developing a comprehensive public transportation system and sustainable mobility
program in order to reduce emissions from the transport sector.
These domestic policies are complemented by a General Law on Climate Change (DOF, 2012), which
was published in June 2012 and entered into force in October 2012. It applies to Federal, State andMunicipal Governments in Mexico. It proposes activities including:•	Developing strategies, programs and projects that mitigate GHG and promote Integrated Mass

2

Transport Systems;•	Promoting the increase of Sustainable Mass Transport Systems, with high efficiency standards, thatfavour the substitution of fossil fuels;• Promoting the development of NMT infrastructure; and• Developing efficiency standards for new light and heavy duty vehicles.
A low-carbon scenario analysis for Mexico (known as MEDEC) was conducted in 2008 as part of theWorld Bank’s Investment Framework for Clean Energy (Johnson et al, 2010). This incorporated a3transport sector component that involved testing 13 different strategies for CO2 emission reduction in
the sector. It is in the context of both the measures proposed by the MEDEC study and other existingtransport programmes that the three transport NAMAs introduced here were selected and developed.
The freight NAMA was developed to realise potential synergies with the Ministry of Environment’s(SEMARNAT) Programa de Transporte Limpio (Clean Transportation Program) (SEMARNAT, 2012), whichaims to reduce fuel consumption, GHG emissions, and operating costs of domestic freight and passenger
transport. The Integrated Urban Mobility NAMA proposal directly builds upon two existing initiatives –PROTRAM (FONADIN, 2008) and the UTTP, proposing better integration between the two.

4

2. Compilation of activity data
The baselines for the three NAMAs were informed by the following activity data:• Number of vehicles in the fleet (disaggregated by type)1• Intensity of use (km per year)• Gross Efficiency (km per litre)• Fuel efficiency.

51	In the case of the freight NAMA they were disaggregated according to whether they were light (sub-divided into: sub-compact,
compact, luxury goods, passenger and light, cargo and light) or heavy (sub-divided into buses, heavy load vehicles and masstransit).1 For the integrated mobility NAMA emission were calculated based on the following vehicle types: sub-compact, compact,
luxury and sport, Sport Utility Vehicles, Mass Transit Systems, buses, heavy and light duty.

75

3. Identification of BAU
The input parameters (activity data) were used to calculate the following variables:• Fuel consumption: in litres per year, calculated by dividing efficiency by mileage•	Mileage by vehicle type: the number of vehicles was multiplied by the use intensity (km/year/vehicle)
to obtain mileage (km/year), which was then disaggregated by vehicle type
• Net emissions: emission factor (kgCO2/litre) divided by net efficiency (kgCO2/km)

1• Total emissions: net emissions multiplied by mileage to give MtCO2/year.
These were used to estimate the GHG emissions to inform the baseline for the three NAMAs. The
GHG emissions were forecasted from 2010 to 2025, assuming an average annual economic growth of
3.2%. In the route optimisation and integrated mobility NAMAs, the number of vehicles for the selected
Metropolitan areas was estimated proportionally to the population living in those areas. The BAU has
also been based on a number of assumptions, which include no routes being optimized, no hybrid buses,
parking systems or NMT infrastructure being introduced.

2

4. Specification of NAMAs
The three NAMA proposals were grounded in climate change and transport policy (as outlined above),
and the individual concepts were developed and refined based on expert knowledge of low carbon
transport planning and an extensive review of international research and local policies. This wascomplemented by stakeholder consultation. In the context of the freight NAMA, for example, the review
of research and policy ascertained that it is only feasible to target medium- and large-sized freight
operations. The evaluation and appraisal of the climate change mitigation options that were identified

3

through the review of research and policy were also tested against a number of criteria, which resulted
in the proposed measures being further refined.
5. Quantification of GHG Emission Reduction by NAMAs
The quantification of emission reductions for the Integrated Urban Mobility NAMA will be based on
the number of cities (with at least 500,000 inhabitants) applying to the two initiatives that the NAMA
seeks to build on – PROTRAM and UTTP and estimated using the activity data listed above. The NAMA
proposal has a number of different components, and in order to calculate the maximum potential GHG

4emission reduction the impacts were considered sequentially.2
The boundary for the integrated urban mobility NAMA has not yet been defined, although the proposal
for the freight NAMA was for the unit of measurement to be set at the individual vehicle level, and forthe route optimization either on the route operated or number of passenger trips.

52	The estimated impact of the BRT system was modelled first, then the implementation of parking meters and then the route
optimization component. It was then determined if the optimized routes could cover the demand created by the implementationof the parking measures. This found that no extra supply of public transport would be needed and so the calculations for hybrid
buses were done based on the fleet obtained after the implementation of component 3 (optimization). Component 5 (NMT) wasmodelled independently because there is no direct linkage with the other components. Finally, the maximum mitigation potential was
calculated as the sum of the mitigation potential of each strategy (CTS EMBARQ México).

76

4. Institutional arrangements
The CICC co-ordinates domestic bodies that have been established to respond to climate change. The
CICC is led by SEMARNAT, which is the focal point and the institution in charge of implementation. The
CICC is comprised of senior representatives from other Ministries including: Energy (SENER), Agriculture(SAGARPA), Transport (SCT), Economics (SE), Social Development (SEDESOL), Health (SSA), the Interior

1(SEGOB), Foreign Affairs (SRE), Navy (SEMAR), Education (SEP) and Tourism (SECTUR), with a proposal
also to include a new Ministry for Territorial Planning (SEDATU). It is responsible for formulating related
policy and incorporating it into sectoral programmes. The composition of the CICC is outlined in Figure
13 below.
Figure 1: The Inter-Ministerial Climate Change Commission (CICC).

2

3

4

The experience with these NAMAs has been that inter-Ministerial communication and co-ordinationis challenging when it comes to developing concrete activities. It is further complicated by the factthat the SCT only has jurisdiction over inter-State and Federal level interventions with States andMunicipalities having responsibility over other measures. This has had an impact on the nature of
the three transport NAMAs outlined here, and related challenges have contributed to the decision not
to further develop the route optimization NAMA at this stage. SEMARNAT is currently taking a coordinating role of NAMAs, and is in the process of developing a domestic‘NAMA registry,’to document,
consolidate and communicate their related activities.

3

5

DGPCC stands for‘General Directorate of Climate Change Policy.’ This function is encompassed within the SPPA (which stands
for the‘Vice-Ministry of Environmental Planning and Policy.’ The DGPCC is the technical secretary for the CICC and monitors theimplementation of the PECC. In turn, SPPA is responsible for formulating and co-ordinating national climate change policy.

77

5. Concrete mitigation actions in summary<a> The freight NAMA was developed in the knowledge that emissions from the sector can besignificantly reduced through the implementation of relatively simple measures that have already beentested in numerous countries. It proposed the introduction of three different types of technological andoperational measures to improve vehicle fuel efficiency in domestic medium- and large-sized enterprises.

1

These are as follows:•	Enhancing the aerodynamics of freight vehicles. Improving aerodynamics has been shown toenhance vehicle fuel economy through reducing resistance. Aerodynamics can be improved via theintroduction of integrated roof units, extensions to the vehicle cabs, side shields and air deflectors.
Minimising the gap between the cab and trailer, adding side skirts, and storing the cargo in low, tighttarpaulins or similar can also improve aerodynamics (which has the potential to reduce emissions by
more than 85 MtCO2 equivalent over the period 2010 to 2035).
•	Automatic Inflation Systems (AIS). AIS is a system that can be installed in vehicles to monitor tyre2pressure. It is an alternative to monitoring tyre pressure manually, the optimal inflation of which
enhances vehicle fuel economy (estimated 20 MtCO2 equivalent over the period 2010 to 2035).
•	Eco-driving training. These training programmes have been shown to result in significant energy
efficiency improvements (with an estimated mitigation potential of 55 MtCO2 equivalent over theperiod 2010 to 2035) (Martinez et al, 2012b).
<b> The route optimization NAMA proposes to increase the efficiency of public transport operations in
the 56 Metropolitan areas of Mexico by:3•	Restructuring public transport routes. This would be based on an optimization study conductedon the public transport routes of all 56 Metropolitan areas in Mexico. There is currently anoversupply of vehicles, and this NAMA would analyse demand to identify redundant routes and other
inefficiencies.
•	Vehicle fleet renewal. Public transport vehicles that are more than 12 years old would be replacedwith more efficient models that incorporate the most advanced technologies to reduce fuelconsumption and reduce GHG emissions (Martinez et al, 2012a).
The mitigation potential has been estimated as 117.55MtCO2 equivalent from 2010 to 2035.

4<c> The third NAMA would support the integration of urban transport measures. It would build upon
two existing urban transport programmes – PROTRAM and UTTP. A key element of PROTRAM is thatcity level‘Integrated Sustainable Mobility Master Plans’(PRIMUS) are needed before related funding
is applied for. This NAMA would develop the components of an Integrated Urban Mobility System tosatisfy the PROTRAM funding requirements for cities. The exact climate change mitigation measuresthat would comprise these local level plans would depend upon the context, but it is anticipated that a
combination of five components would be the introduced, namely: Mass Transit Systems (such as Bus

5

Rapid Transit, trams, light rail, trains and metros), optimization of existing public transport routes, vehicle
technologies (such as hybrids), NMT infrastructure (such as cycling paths and footways), Transport
Demand Management (TDM) measures (such as car-sharing) and Intelligent Transit Systems (ITS) (CTS
EMBARQ México, 2012). It is estimated that if all five strategies are implemented simultaneously, 22.34
MtCO2 could be mitigated over the period 2010 to 2025.

78

6. Policy-level MRV
1. Current situation
The three NAMAs described in this Section of this Chapter have not yet reached the stage ofdevelopment where a detailed MRV methodology has been defined. A number of different options have,
however, been proposed in relation to each and methodologies outlined. Mexico already has a process1

for estimating GHG emission reductions from transport sector interventions, and this is underpinned byexisting data collection. There are, however, significant modifications that need to be made to make thisacceptable for the MRV of transport NAMAs, and SEMARNAT is currently working with GIZ to develop
and adopt new methodologies, systems and processes as necessary.
2. Potential
In terms of‘Measurement,’indicator sets have been proposed for each of the three NAMAs. The
indicators for the freight NAMA are outlined in Table 1, in Table 2 for the route optimization NAMA, and2

Table 3 for the Integrated Mobility NAMA [in Appendix 1]. These indicators are based on climate change
mitigation considerations rather than co-benefits, and they will also be the basis for Validation, which
would be conducted by a third party. It is not, however, proposed that all of the indicators are applied to
the MRV process – they should be refined alongside the methodology and proposal.
The NAMAs propose annual reporting, and this is something that is being discussed at the national
level with a streamlined reporting approach being developed. A national level platform for MRV, withinvolvement from the different entities and institutions working on climate change mitigation, is being

3

discussed and designed, ultimately for management by SEMARNAT, to improve efficiency. In the context
of the transport sector SEMARNAT is currently working with GIZ to review the data that is already being
collected in Mexico and which can inform MRV methodologies adopted by domestic transport NAMAs.
SCT, the National Institute of Statistics and Geography (INEGI), the Mexican Petroleum Institute and the
Mexican Transport Institute (IMP) all have existing (and official) databases that can be used to support
the measurement of GHG emission reductions from the sector. There is, however, still a considerable
amount of work that needs to be done to support a transition from Mexico’s current process for
estimating emission reductions from transport sector interventions to one that will be adopted for

4

NAMAs. The monitoring and verification requirements will also vary between NAMAs.
3. Challenges
MRV of climate change mitigation activities in the transport sector is always complex and requires
extensive data collection and robust calculation methodologies for it to be accurate. The indicators
proposed by these three NAMAs (see Appendix 1) have been selected for their utility but also to support
relatively simple measurement and evaluation on a large-scale.

5797. Co-benefits
The three NAMAs each aim to enhance the energy efficiency of a component of the transport sector(respectively freight, public transport and urban transport systems), the direct positive impacts ofwhich are social, economic and environmental. The three NAMA proposals each explicitly detail the
anticipated co-benefits of proposed activities, which owing to the nature of the proposed activities (which1

aim to reduce GHG emissions from the transport sector by reducing reliance on, and increasing theenergy efficiency of, privately owned vehicles) are very similar. The main transport co-benefit of theIntegrated Urban Mobility NAMA, for example, is to improve the quality of life of citizens and to increase
the accessibility and mobility of the urban poor. The measures that it seeks to encourage are expected
to reduce travel times, air pollution, traffic congestion and traffic fatalities and injuries. The reductions
in air pollution that it will create will in turn lead to positive health impacts and an associated reductionin the public cost associated with managing ill health, co-benefits which have also been referred to inthese NAMA proposals.

2

Improved air quality (specifically in terms of emissions of carbon monoxide, nitrogen oxides andparticulates) is the co-benefit that is focused on the most in the three proposals. This is also the only
co-benefit that it is suggested will be subject to MRV.

8. Lessons learnt/Next steps
A lot of lessons have been learnt from the process of developing these NAMAs. These include the3following:
Relevance of the NAMA approach for the transport sector: The adoption of measures that avoid, shift
and improve demand for, and energy efficiency of, freight and passenger transport can support asignificant reduction of domestic GHG emissions. The preliminary estimation was that measures in thefreight NAMA proposal could result in an estimated cumulative reduction of 290 megatonnes of CO2 by2035). The financial analysis conducted in the NAMA development process also indicates that GHG
emission reduction in the freight sector can enhance the competitiveness of operators and be highly

4

profitable.
Supporting role of institutions: Inter-Ministerial Committees can support the development of transport
NAMAs, although these three NAMAs were developed in a very‘bottom-up’manner with the initial
impetus for the freight and route optimization NAMAs being a call for NAMA development by the Ministryof Economy (SE), which offered financial aid (aided by international support) to project developers to
prepare concepts. At the same time SEMARNAT led an effort to promote more in-depth project designin sectors where there was a high interest in developing a NAMA, such as in the transport sector. The

5

Integrated Urban Mobility NAMA was developed following an approach to a NAMA developer (CTS
EMBARQ México) by SEMARNAT to help prepare a NAMA to be included in Mexico’s Market Readiness
Proposal to the PMR.
The risk of NAMA selection criteria supporting the realization of short-term‘low hanging fruit’over larger
long-term impacts: The time period over which emission reductions will be measured has an impact on themeasures selected. In the context of the freight NAMA, for example, a technological measure that would
have had the largest impact (both economic and environmental) over the long-term but that was the mostexpensive option and have relatively limited benefits in the short-term, was not selected.
80

The cost of mitigation actions not only has an impact on the components of a NAMA, but also on the subsector that it aims to reduce emissions from. In Mexico the‘hombre camion’sub-sector (small-scale
freight operators) is responsible for a high volume of GHG emissions, but the complexity of this sectormeans that any related activities would have considerably higher financial costs. The freight NAMA
outlined here therefore proposes to reduce emissions from medium- and large-scale freight operations.

1

Positive impact of stakeholder consultation on NAMA development: The value of extensive stakeholder
consultation cannot be overstated. The three NAMAs were developed based upon extensive
consultation within SEMARNAT and with other key stakeholders including Ministries, Chambers,
academics and other experts. This resulted in the identification of new ideas and evolution of concepts.
SEMARNAT continue to be very engaged in the activities and are pursuing opportunities for them tobe taken further. It is also important to talk to stakeholders to either rule ideas out or to obtain buyin. The experience of CTS EMBARQ México has been that the best ideas on paper may not be the mosteffective or most attractive to stakeholders in practice.

2

Domestic ownership and buy-in can support NAMA development and increase likelihood of
implementation: Two of the three NAMAs introduced in this section (the freight and integrated urban
mobility NAMAs) have moved forward owing to extensive support of Federal entities, notably
SEMARNAT. The SE commissioned the development of NAMA concepts (as mentioned previously), but of
the 23 different projects that were developed in different sectors under this call it was only those withtrue ownership that were supported for further development.

3

The value of continuity across political administrations: There has been a continuity of commitment toclimate change, as reflected in related government policies, across the last three administrations, andthis has supported the development and promotion of NAMAs. This has been particularly notable acrossthe last two, which is partly attributable to the General Law on Climate Change (DOF, 2012) and also
to the high and sustained related political will of senior Government officials and increasingpressure from civil society.
MRV challenges: Estimating impacts on behaviour change can be particularly challenging. The impact of4

the eco-driving component of the freight NAMA, for example, is dependent upon the behavior of multiple
users and the estimated emission reductions had to be quantified on the basis of what drivers would
be taught to do, as opposed to the likelihood of actual behavioural change. A key component of this
NAMA was therefore the incorporation of‘audits’that would evaluate the general performance of afreight operator using GPS (Global Positioning System) technology. GPS can track vehicle performance
including fuel consumption, average speed and idling time, and the NAMA proposes to give freight
operators a grant to cover half of the cost of this technology. Once they install this device, the‘normal’performance of a vehicle would be registered for 3 months (to form the“BAU baseline scenario”).

5Then, the training, the aerodynamic, and the tire system will be provided (half grant for each) and theperformance will be compared with the baseline data previously obtained. This will be also used for the
MRV.
International support: International donors can allocate financial support based on political considerations
rather than on merit of activities seeking support. Sensitivities prevent further elaboration here, but
related experiences demonstrate that the effective distribution of international funding could therefore
be enhanced by the presence of an independent intermediary to support the project selection process.

81

References
Interviews with:• Hilda Martinez (Air Quality and Climate Change Manager, WRI/EMBARQ México)• Ana Maria Contreras (Director General of Air Quality Management, SEMARNAT)• Luis Munozcano (Project Director for Climate Change, SEMARNAT)• Cynthia Menéndez (Air Quality and Climate Change Specialist, WRI/EMBARQ México)

1• Lia Ferreira (Climate Change Analyst, WRI/EMBARQ México).
CTS EMBARQ México (2007) Urban Transportation View in Mexico/ Panorama Actual del Transporte
Urbano en México. Unpublished.
CTS EMBARQ México (2012) Integrated Urban Mobility Systems as a Crediting Mechanism. Partnershipfor Market Readiness (PMR).
Diario Oficial de la Federación (DOF) (2011) Presupuesto de Egresos de la Federación para el Ejercicio
Fiscal 2012. Decreto, México.

2

DOF (2012) Ley General de Cambio Climático. México.
Fondo Nacional de Infraestructura (FONADIN) (2008) Programa Federal de Apoyo al Transporte Urbano
Masivo. Available from http://www.fonadin.gob.mx/wb/fni/programa_de_transporte_urbano.
Gobierno de la República (2013) Plan Nacional De Desarrollo 2013 – 2018. Available from http://pnd.
gob.mx/wp-content/uploads/2013/05/PND.pdf.
Instituto Nacional de Ecología y Cambio Climatico (INE) (2009) Contaminantes criterio. Available fromhttp://www.inecc.gob.mx/calaire-indicadores/523-calaire-cont-criterio.
Instituto Nacional de Estadística y Geografía (INEGI) (2010) Population and Housing Census. México.

3

Intersecretarial Commission on Climate Change (CICC) (2007) Estrategia Nacional de Cambio Climático.
Available from http://www.cambioclimatico.gob.mx/index.php/politica-nacional-sobre-cambioclimatico.html#enacc.
Johnson, T. M., Alatorre, C., Romo, Z. and Liu, F. (2010) Low-Carbon Development for Mexico. Available
from http://www.embarq.org/sites/default/files/LowCarbonDevelopmentMexico.pdf.
Martinez, H., Menéndez, C., Ferreira, L. and Guzmán, I. (2012a) Optimizació de Rutas de Transporte
Público y Renovación de Flota Vehicular. Unpublished.
Martinez, H., Menéndez,C., Ferreira, L. and Guzmán, I. (2012b) Programa de Eficiencia Energética para

4

Camiones de Carga. Unpublished.
Poder Ejecutivo Federal (PEJ) (2007) Plan Nacional de Desarrollo 2007-2012. Available from http://
pnd.calderon.presidencia.gob.mx/pdf/PND_2007-2012.pdf
PEJ (2009) Programa Especial de Cambio Climático 2009-2012. Available from http://www.
cambioclimatico.gob.mx/images/stories/PDF/pecc_capitulos.pdf.
SEMARNAT (2012) Transporte Limpio. Available from http://www.transportelimpio.gob.mx/.
USAID (2010) Low Emission Development Strategy: Pre-scoping Mission Assessment Mexico. Final
Report. Available from http://pdf.usaid.gov/pdf_docs/PNADW067.pdf.

5World Bank (2009) Estudio para la Disminución de Emisiones de Carbono (MEDEC). Available fromhttp://siteresources.worldbank.org/INTLACINSPANISH/Resources/WB_MX_MEDEC_Spanish_Final_
Nov_09.pdf.

82

1

Through energy
diagnoses carriedout by CONUEE,
and through which
the companies(including thoseparticipatingin the driving
training program)register their fuelconsumption.

Quantitative
indicatorthat provides
information
on anydecreasesin fuelconsumption
arising fromincreased
on-roadefficiency
resulting from
improved
technology
and/or driver
training.

Fuelconsumption.
Unit: Liters per
year

When is it
measured?

AnnuallyWhatsources areused?

Registry of
the National
Information
Subsystem
for Energy
Management(SNIAE)	 Transport NAMAs in Mexico: Preliminary translation of Appendix 1 from Spanish (not revised).

How is itmeasured?

Description
andObjective of
Indicator

This indicatorgets
registeredthrough
CONUEE.
SEMARNAT
has accessto thisinformation,and hence INE
can calculate
the resulting
emissions.

-The fuel-Reduced fuelconsumption
consumption
registry should
consist of
three types ofentries:
1. Consumptionof vehicles
participating in
the technicaldriving
program.
2. Consumptionof vehicles
that have beentechnologically
improved.
3. Consumptionof vehicles
with notechnologicalor operational
improvements.

Who
Necessary
What getsmeasures it? actions and/or verified?
assumptions
withmeasurement

Verification

Table 1: Indicators that support the Monitoring and Verification of freight NAMAs.

ImpactIndicators

Measurement

APPENDIX 11

When is it
verified?

Annually

How is it
verified?

-Cross-verificationof CONUEE’s
databases, which
list all the vehicles
and can be used
to verify theirconsumption
from invoices
and perception
surveys.

1

2

3

4

5

83

84

Supportindicator used
to control the
program.

Numberof trained
drivers.
Unit: Numberof drivers per
training period
and per year.

Through theregistries oftraining courses
taught andcertified by SCT.
Training gets
repeated every
2 years withthe objective ofpreventing therepeat of any
bad driving habits
and registeredannually.

Registriesof training
workshops.

With new vehicles SCT’s
through their saleregistries.
registries.
With used
vehicles SCT
issues certificatesand maintains aregistry of vehicles
that have been
modified.

Supportindicator used
to control the
program.

5

Number ofvehicles withtechnologicalimprovements.
Unit: Numberof vehicles per
year.

4
Emissionfactors per
country or
as reported
by IPCC,and fuel
consumption.

SCT
coordinateswith stateand municipal
governments,
and privatetransportationcompanies.
The measured
results are
submitted to
SEMARNAT.

SEMARNAT
through INE.

At the end of SCT
each course. coordinateswith stateand municipal
governments,
and privatetransportationcompanies.
The measured
results are
submitted to
SEMARNAT.

An annualcompilation
using theregistriesof all thevehicles is
made.

Annually3

Quantitative
By multiplying fuelindicator used consumption by its
in calculating emission factor.
resultingemissionsafter utilizing
the suggested
strategies.

-Preparation ofa frameworkagreement(SCTSEMARNATChambers andassociationsof freightvehicles)related tobest driving
practices.
-Include training
methodologies.
-Develop
instructors.

-Preparation ofa frameworkagreement(SCTSEMARNATChambers andassociationsof freightvehicles)related totechnologicaland operational
improvements.

-Ensure an
updateddatabaseof emission
factors by
vehicletechnology
type isavailable.

2

Emissions per
year.
Unit: Megatonsof CO2 per year

-The goal of
the training
compared to
the number oftrained drivers.
-If the goal is
not met then thereasons must be
listed.

-The goal ofvehicles thathave beentechnologically
improved
compared to theactual number
reported.
-If the goal is
not met then thereasons must be
listed.

-Calculation
methodology
and variables
taken into
account.
-Update of thebase line and its
considerations.
-Comparisonof the emission
reduction goalwith actual
reduction.
Annually

Validated
beforeimplementing
the measure
andthereafter
verifiedannually.

-Cross-verification Annuallyof SCT’s
registries with
the information
reported.
-Surveyscompleted byworkshop users in
thereby evaluating
the perceptionof the benefits
obtained.
-Verificationof follow-up
workshops held
every three years.

-Cross-verificationof SCT’s
registries with
the information
reported.
-Surveyscompleted by theusers of improved
units in thereby
evaluating theperception of thebenefits obtained.

By reviewing andvalidating theresults, as well
as reviewing theapplicability of thecalculations.
In the samemanner, possible
errors andomissions get
calculated andconfidence levels
defined.

1

Companies
that haveparticipated in
the technicaldriving training
program.
Unit: Number ofcompanies per
year.

Supportindicator used
to supervise
the technicaldriving
program andevaluate theperformanceof thismitigation
measurement.

Carried out
SNIAE’sthrough SNIAE’sregistry.
registry and which
is managed by
CONUEE. The
companies report
whether they haveparticipated in thetechnical driving
program and if so
how many drivers
were trained.

Annually.

This indicatorgets
registeredthrough
CONUEE.
SEMARNAT
then uses it
to calculate
the proportionof companies
that haveincreased
theirenrolmentin technicaldriving
programs.

-A section
should be
included in
SNIAE tothereby enable
companies toregister that
information.

-Number ofcompaniesthat haveparticipatedin the driving
training
program, as
well as the
program’s
follow-up
activities.

Annually

Source: Martinez et al, 2012b.

- Crossverification ofdata reported by
CONUEE with theregistry bases.
-Surveyscompleted bycompanies thathave applied got
the technicaldriving program in
thereby verifying
the perceived
benefits against
the reported
benefits.

1

2

3

4

5

85

2

3

4

86

Used to evaluate
the total emissions
ex ante and ex postof the project’s
implementation in
thereby identifying the
mitigation potential,
which is the main
NAMA indicator.

This indicator is a
traceability parameterthat enables emissions
ex ante and ex post
to be measured in an
effective manner andwith reference to thesame base.

This indicator is a key
factor in not only inemission calculations
but also optimization.

Total Emissions(MTCO2e/year)

Net Emissions(KgCO2e/ km)

Distance traveledby the system (Km/
year)

-

-Efficiency (Km/L offuel used)-Emission factor(KgCO2e/L of fuelused)-Net Emissions(KgCO2e/ km).
-Distance travelled(Km/year)

Main Measurement Indicators. Impact indicator.
-

Specialconsiderations

The ex ante
information is obtainedusing geographic
information on theroutes and turns
made each day. At thesame time, oversupply
analysis takes placein thereby calculating
the optimal size fleet
and thus the optimal
kilometers.

For this item thedata of eachroute has to betrustworthy, therefore
necessitating reliabledatabases and control
of existing routes.

Measured by dividing
the fuel emission
factor by the average
efficiency of the fleet
that is being optimized.

Net emissions get
multiplied by the total
kilometers traveled
ex ante and ex postof the project. The
reduction in emissions
is the difference
between them.

How it is measured-Average distances
traveled by route.
-Number of units thatcomprise the route.

-Calculation
methodology andvariables taken into
account.
-Updates of thebase line and its
considerations.
-Comparison of theemission reduction
goal to the actual
reduction.

What gets verified

Variables

Indicator

Description andobjective s

Verification

5

Measurement

Table 2: Indicators that support the Monitoring and Verification of the route optimisation NAMA

1
-Selection of a random
sample of optimized
routes, positions,and measurementof distances using
tracking software. In
the same manner units
belonging to the route
get enumerated andchecked against the
number of units thatshould exist according
to the optimization
studies.

By reviewing andvalidating results, aswell as reviewing theapplicability of thecalculations.
In the same manner,possible errors
and omissions get
calculated andconfidence levels
defined.

How it is verified

Vehicle efficiency-Distance travelled
is a very important(Km)parameter because-Fuel used (L)to a large extent
it determines the
progress of this NAMA.
It is not an easy
parameter to measure,and therefore quite
a few tests have to
be made in thereby
ensuring the reliabilityof the data.

This indicator isimportant in measuresapplicable to thetransportation sector
because more efficienttransfer times area constantly sought
benefit.

Percentage of
decrease in travel
time (% of decrease/year)-Average speed ofvehicles (km/hour) andtheir distance traveled(km/year) ex ante andex postThis indicator enables follow-up activities
in the program andensures no oversupply
is occurring.

Number of Scrapped
Vehicles (Number of
Scrapped Vehicles/year)

Support Measurement Indicators. Impact indicator.

Vehicle Efficiency(Km/L of fuel used)

Travel time iscalculated by dividing
the kilometers traveledby the vehicles’
average speed. Thisis carried out bothex ante and ex postin thereby obtaining
the percentage of
decrease.

One scrapping
certificate per unit
is issued, which arethen registered in a
database.

Fuel consumption
tests take placeat specific fixed
distances and under
different conditions,for example in heavy
traffic and at higher
ambient temperatures,
etc.
Efficiency decreases
as a result of vehicles
aging and due to avariety of human error
factors; therefore,
optimization requires
calibrating an average
efficiency model andspecific to the route orcity where the study
took place.

Efficiency has-Efficiency of vehicles
to be constantly-Age of vehicles.
recalculated inthereby revealing themost important factors,
and the base line
constantly modified
according to new dataobtained and after
a period of specificbehavior.

1

2

3

4

5

87

-

The scrapping
registration must be
carried out by theagency responsible forpublic transportationin every state
coordinated by the
Ministry of Transportand Communications(SCT).

- Selection of arandom sample andmeasurement of fuelconsumption and the
distances traveled
at different times.
The results then getcompared to previous
measurements.

88This parameter isuseful in identifying
whether the newservice is achieving
any results in terms of
the users concerned.

These are related
to modal distributionchanges, occupational
factors and the speedof all the vehicles
that are not part ofthe project per se,
but are part of its
implementation.

This support indicator
is useful in calculating
the fugitive emissions
that the projectmight include andeither positively or
negatively.

Fugitive Emissions(MTCO2e/year)

Decrease inemissions perpassenger.
(MTCO2e/passenger*year)

5

Increase in numberof trips. (Number oftrips/year)

4-Number ofpassengers per year.
-Mitigation potential.

-Reduced of emissions
per passenger.

-Number ofpassengers per year.

-Number of renewed
vehicles.
-Fleet broken down
into age groups.

The project’s
mitigation potential is
divided by the numberof passengers.

Calculated bymultiplying theemission savings perpassenger by the
number of additional
passengers to thebase line in thereby
identifying the
reduction in extra
emissions.

-Through payments
made using prepaid
electronic cards.
The number of trips
then enables it to becompared with thebase line.

The number ofrenewed vehicles isdivided by the total
fleet of vehicles morethan 12 years old.

3

This indicator enables
identification of how
many vehicles havebeen renewed andthen comparison withthe established goals.

-

Fugitive emissions area parameter that is
generally considered
complex to measure
because they depend
on a number offactors: demographic
and political, etc. A
methodology basedon the characteristics
of each route
therefore needs to be
developed.

--Cross-verificationof the number ofrenewed vehicles
per route using thedatabases of renewal
registries.

Source: Martinez et al, 2012a.

-Necessitates having-Number of reneweda standardized andvehicles.
up-to-date database of
the vehicle fleet andtheir ages.
-The percentage of
renewal should be
registered by theentity in charge of
public transportationin each state andcoordinated by SCT.

2

Percentage of
Vehicle Renewal (%of Renewal/year)

1

2

C1

C2

C2

C1,C3

Kilometers traveled by BRT(km/year)

Number of vehicles using parking
meters per year(#vehicles/year)

Frequency of use of the parking
meters per year

Average Occupancy of public
transport vehicles(#passengers/vehicle /year)

New public transport systems must have register andcontrol systems from which specific databases can beobtained. This includes the number of passengers per
vehicle per year

Concessionaire registers the number of times a single
vehicle uses parking meters per year and calculates
the statistical frequency of all the vehicles using
parking meters. The recommendation is that a modal
shift survey is utilized to complement this parameterand determine if users are really decreasing use of
their cars.

Concessionaire creates a data base of the number ofvehicles using parking meters per year

Appropriate State Transport Agencies register andmonitor the kilometers traveled by BRT per year

Appropriate State Transport Agencies register andmonitor the kilometers of bus-lanes built for BRT per
year

Kilometer savings

Fuel consumption multiplied by the corresponding
emission factor.

How it is measured/monitored

MONITORING

Verify using a representative sample of routes theregisters of average occupancy over a specific periodof time.

Verify all the data matches the reports and check theresults and methodology of the survey.

Verify the information has come directly from theautomatic report systems of the parking meters.
Verify that all the parking meters reported by theconcessionaire exist and are fully operational

Verify that the traveling registers match the reports.

Verify that all the lanes reported are fully operational
and if the goal of kilometers built wasn’t reached thenlist the reasons why in an attempt to improve theprocess in the next steps.

Verify if the calculated emissions meet the previously
established mitigation goals.

Verification sources

VERIFICATION	 C1: Mass Transit Systems; C2: Transport Demand Management; C3: Optimization of existing public transport routes; C4: Vehicle technology; C5: Non-motorized transport.

C1

C5

C2, C3,C4 &combined

C1

Strategy2

Kilometers of bus-lanes built for BRT
per year(km/year)

GEI Emissions per year
(MtCO2/year)

Indicator

INDICATOR

Table 3: Indicators that support the Monitoring and Verification of the urban mobility system NAMA.

1

2

3

4

5

89

90
C3

C5

C4

C4

C5

C5

Percentage of progress in route
optimization(%/year)

Fuel consumption(liter/year)

Number of new hybrid buses per year(#hybrids/year)

Kilometers traveled by bicycles(km/year)

Percentage of progress in coverageof the public bicycle system(%/year)5

Number of optimization studies
carried out ex ante(#studies)

4
Verify if the percentage of coverage meets theestablished goals. If not, identify the reasons why,
propose possible solutions, and redefine the goals.

The concessionaire of the public bicycle system
calculates the area covered and the number ofbicycle stations built per year. This information isthen compared with the established goals and thepercentage of progress made determined

Source: CTS EMBARQ México, 2012.

Verify using a representative sample that the bicycles
are in fact traveling the kilometers reported. Verify
that the automatic report systems work properly andthat the information in the data base is correct.

The concessionaire of the public bicycle systemcreates a database that includes the kilometers
traveled by bicycle per year

Verify if the consumption of fuel of hybrid buses has
in fact been reduced as originally assumed (30%
approx.). If not identify the reasons why. Determine ifthat reduction can possibly be achieved and what isneeded to do so.

Bus owners register the fuel consumption of hybrids
per year

Verify sales statistics and reports

Verify if the percentage of coverage meets theestablished goals. If not, identify the reasons why,
propose possible solutions, and redefine the goals

Appropriate State Transport Agencies calculate thenumber of routes that have been optimized. Compare
this information with the established goals anddetermine the percentage of progress madeBus assemblers create a database of the total numberof hybrid buses sold per year-

Verify that the scrapped vehicles match their plates
and the number of oversupplied vehicles from theoptimization study.

Appropriate State Transport Agencies register thenumber of routes that were analyzed.

Appropriate State Transport Agencies register thenumber of public transport vehicles scrapped per year
as part of the optimization program

3

C3

2

Number of scrapped vehicles per
year(#vehicles/year)

1Chapter

5

FACTS OBTAINED FROM ANALYSIS OF NAMA
INTRODUCTIONS AND FUTURE PROSPECTS
Miguel Jiro Ogahara, Makoto Kato (Overseas Environmental Cooperation Center, Japan)

By

Koji Fukuda (Institute for Global Environmental Strategies)

This section aims to share lessons learned from prospective NAMA implementation countries and thenbased on their actual experience gained in the process, extract some ideas regarding future activities
that will support increased knowledge sharing and capabilities. Most of the experiences summarized
here were drawn from existing capacity development support programmes for NAMAs implemented
in various developing Asian countries by OECC Japan, including Cambodia, Lao PDR, Mongolia andVietnam, but with an additional contribution made by the World Resources Institute (WRI/EMBARQ) in1

Mexico.

5.1

Essence of NAMA formulation support experience	NAMAs provide the opportunity to gain recognition and support for activities: No internationally2agreed upon definition for NAMAs exists, but“nationally appropriate”mitigation actions are
significant in the sense that NAMAs can act as a catalyst for the design of policies, strategies, andinstitutional frameworks in a manner distinctive to the individual country and attract recognition andsupport for these activities.
	Depending on the individual situation of the nation concerned, NAMAs can be identified and designedby prioritizing sectors, responding to the country’s needs through a consensus being reached by
the stakeholders involved, and by creating their own relevant policy mix. This process not only
provides a sense of ownership, thus ensuring that domestic experts take the lead in designing and3

implementing
NAMAscountry
ratherside:than external stakeholders, but also paves the Donorway toattracting different
Implementingside:
Consensus amongCapacity building
stakeholdersstakeholders
and investors, for example from the private sector and support
organizations
such as
Support throughConducive
political have the potential NAMAs
ﬁnance and technology
donors. Above
all, NAMAs
to unite national/local developmental
perspectives andprocess



Implementation

Capacity building
Support throughﬁnance and technology
Implementation
supportProjects potential
supportthrough the supportof donors attract interest at the international level withrespect to the productionof global public goods.

Implementing country side:Consensus among
stakeholders
Conducive politicalprocess
Projects potential

NAMAs



Donor side:4	NAMA capacity building activities can result in synergetic results in development: Experience in
NAMA formulation support programs have been of aid to progress in countries in areas that include:1)	Prioritization of sectors and sub-sectors via NAMA developments that are in accordance withnational policies and strategies,

52) Increasing the capabilities and enhancing the understanding of key officials of recipient
countries with respect to quantification of GHG emissions,3) Determination of business-as-usual (BAU) and NAMA scenarios,4) Quantification of emission reductions via prospective NAMAs,
5) Identification of mitigation technology needs, among others.
These interventions have proved to be effective in constructing a foundation for NAMA readiness.

91	Any such support, however, only positions recipient countries at the entry point of the NAMA
agenda. Ensuring continuity in capacity building activities will necessitate sustainment of the NAMA
introduction process in thereby ensuring the anticipated GHG emission reductions resulting from
NAMAs.
	NAMAs are the common thread for sustainable development and low carbon development strategies

1(LCDS): Implementing countries have expressed the importance of NAMAs as a tool to use inachieving sustainable development. At the same time several similarities with forward-looking national
economic development plans or strategies that encompass low-emission and/or climate-resilient
economic growth, referred as to low carbon (or low emission) development plans (OECD, IEA 2010),
can be identified. Examples of which include:1)	Increased economic benefits from the introduction of new mitigation technologies, together withinvestments and business opportunities that may result from them and;2)	Social benefits (such as increased opportunities for income generation and/or generating job

2creation opportunities and better access to public services); and3)	Ensuring environmental protection (or integrity) by achieving GHG emission reductions andimproved air or water quality, among others.

TOOLS

3

LCDS/LEDS

Sust. Development

STRATEGIESRESULTS

NAMAsNational Climate change

Co-beneﬁts

NAPs



National Adaptation

c development

Programmes
PRSP

Poverty Reduction Strategy

National plansNational Development
Strategies

Sectoral plans

4Socio-economiPoverty
reductionEnvironmental
protection

Sectoral Development
Strategies	Since LCDS are composed by taking account of national strategies in diverse areas that include
poverty eradication, health, or economic growth, it has been recognized that NAMAs can be used
as a tool that can be of help in prioritizing interventions. In other words, the“nationally appropriate”

5

LCDS/LEDS

Sust. Development

characteristic of NAMAs implies prioritizing mitigation actions that are derived from nationallydeterminedTOOLS
strategies and plans, andSTRATEGIES
hence NAMAs are typically in line with reducing
RESULTS emissions or a
low carbon development path.

NAMAs



National Climate change

Co-beneﬁts

NAPs



National Adaptation

c development

Programmes
PRSP

Poverty Reduction Strategy

National plansNational Development
Strategies

92

Sectoral plansSectoral Development
Strategies

Socio-economiPoverty
reductionEnvironmental
protection	Implementing NAMAs confirm urgent needs of capacity building at host countries: Experience gainedin supporting the formulation of NAMAs clearly revealed that there is an urgent need for capacity
building in a vast array of issues that range from support for effective and meaningful engagement
in international level negotiations and decision making processes which can affect the domestic
policy environment, to more specific and concrete measures such as establishing a methodologicalframework for quantification and projection of GHG emissions and estimation of emission reductions

1by NAMAs. Those needs stem from the commonly observed fact that implementing countries arein many cases under-staffed, they operate with limited budget, and availability of and access toreliable and up-to-date data is relatively rare. These constraints taken together makes it even morepressing to train key domestic personnel at the different levels involved in a systematic manner,and encompassing the different aspects that originate in policy formulation and then through tomeasurement and quantification techniques, etc. that can allow to host countries to smoothly
implement their strategies.

2	Working with NAMAs provide the opportunity for the institutional framework used for policy-related
decisions in the implementing countries to be strengthened: The fact was observed that in manyof the developing Asian countries NAMAs involve a national team that is typically composed ofgovernment officials with different fields of expertise and experience, and which can encompass
energy, transport, agriculture, and specific climate change areas such as GHG inventories and theCDM. The diversity in the skill sets and backgrounds of the national team members enables countries
to identify and deepen their understanding of the variety of benefits that NAMAs could potentiallybestow while also catalyzing sustainable development. Despite the challenges and constraints

3

they face the supported countries have proved capable of organizing“committees”or“working
groups”that are made up of key officials from different ministries. These multi-sectoral committees
then enable expedited decision-making at the governmental level in different matters related tothe environment and other cross-cutting issues, while at the same time facilitating communication
between the ministries and other stakeholders involved and the development of political support for
related activities, such as the concept of NAMAs. The relatively diverse membership of the relatedgroups can also help to ensure the continuity of support for NAMAs, and even in the event of achange in the Government administration.

4

	The latter point is worth elaborating upon; in essence, national NAMA formulation exercises createa testing ground for cross-sectoral cooperation and synchronization, and if effectively coordinatedand facilitated by the lead agency they can facilitate a trustful relationship between the domestic
stakeholders with their differing institutional mandates, something which is essential in building anational consensus regarding NAMAs. In addition, that type of facilitation can be further enhanced bywinning the political credit of higher level decision makers.
	NAMAs as a window to use in introducing finance and technology: NAMAs provide an opportunity5

for different types of financial schemes to be accessed and the transfer of environmentally friendly
technologies to take place in a more flexible manner. Experience reveals that consensus building
and increased convergence of the goals from different stakeholders involved, for example thegovernment and the private sector, facilitate discussions being held on introducing NAMAs via thehighlighting of potential benefits such as access to finance, environmentally friendly technology, andknowledge through increased capacity building.

93	Measurement, Reporting, and Verification (MRV): The development of a robust MRV system isa prerequisite in NAMAs attracting an adequate level of finance and mitigation technology. The
NAMA formulation support program of OECC identified the different aspects of its design by taking
countries’concerned needs into account and avoiding too much complexity via use of simple but
comprehensive methodologies (which will necessarily vary between the countries concerned).
The requirements identified include 1) the design of an appropriate institutional arrangement that1

incorporates an inclusive approach, 2) improved quantification of emissions through technicalguidance/training and dispatching experts to work together with in-country officers in charge insitu; and 3) report requirements including increased capabilities in thereby preparing for Biennial
Update Report (BUR) requirements. This point accentuates the value to host countries of actively
participating in the MRV process as they can then determine firsthand the results of introducing (ornot) any such mitigation actions. The overt visibility of the results can serve to further political andpublic support for the pursuit of mitigation actions.

2	Top-down approach: Methodologies used to calculate emission reductions can vary according to theobjective. The top-down approach can be useful from the perspective of trying to determine futureenergy use and emissions and utilizing a variety of different assumptions, hence the use of different
models are frequently referred. It would be fair to say that one difference that exists to the bottomup approach is that the latter tends to provide an overview of emission reduction options while the
top-down approach is for use when working with aggregated data that might be useful when working
with long-term plans or strategies.
	Bottom-up approach: The bottom-up approach provides an opportunity for implementing countries to3commence with existing mitigation efforts at the ground level and to then connect them to the NAMA
concept in thereby establishing continuity. In the support programme, the bottom-up methodology
adapted by experiences in Japan for planning and implementing domestic mitigation actions wasintroduced as a reference. The advantage identified in use of this method was to allow mitigationplans to be made through the following concrete set of steps:1)	Setting roles and task demarcation (who is responsible for taking what actions),2)	Assessing and understanding the cost and benefit of particular actions, and3)	Estimating the level of GHG emission reductions at the activity level.

4	This approach consequently proved to be very practical in the identification of useful policy actions
to take each individual sector.

5.2

5Next steps and practical insights

Experience gained form use of NAMAs is still very limited. Many donor countries and organizations
have been working in an experimental manner, with the experience of each country appearing todiffer from the others. Some of the most important areas that require improvement when working
with host countries are listed below. The individual experiences may reveal even more key issues
that hopefully can be further elaborated upon in the next edition of this document.

94 Institutional arrangements and implementation: Careful observation reveals countries working with
OECC to have opted for the bottom-up approach when formulating NAMAs, and developing NAMAs
for a specific sector (Cambodia: transport, energy; Laos: transport; Mongolia: energy efficiency;
Vietnam: waste management). This means that rather than focusing on strategies at the macrolevel or working with model based projections OECC has focused on a single sector and subsector
in an attempt to gather the most comprehensive and accurate data at the ground level in thereby1determining potential emission reductions. The discovery was made that the amount of input requiredin each of the following four stages of NAMA developments varies according to the differing national
circumstances: 1) Capacity building, 2) NAMA design, 3) NAMA implementation, and 4) Investment in
low carbon technologies. The reduced number of implemented NAMAs then leaves additional room
for the useful expansion of analysis in thereby covering different sectors according to national GHG
emission patterns and the priorities of the country concerned. This step-based approach to NAMA
formulation enables countries to ensure the comprehensiveness of NAMAs and demonstrate theirrationale and the selection process to potential donors.

2	Establishment of MRV systems: MRV is another area that requires a substantial amount of technical1

support. There are still observable gaps in the different aspects of existing domestic systems, andwhich include training that allows for the acquisition of basic skills and the necessary understanding
involved in measuring emissions utilizing simple methodologies and the development of related metrics(sustainable development metrics, indexes, and calculation of GHG emissions and GHG emission
reduction methodologies). Furthermore, clarification of the concept of MRV itself is necessary becauseof the substantial differences between the respective types of MRVs that exist (E.g. maturity, level of3knowledge and experience, policy implications, and required level of accuracy, etc.). Since mitigation
actions are structured in different layers (namely, National, Sectoral, Local, Programme, and Project,etc.) MRVs can be also applied in differing layers, which therefore necessitates analysis of theirelements and pinpointing the context in which the concepts get used. To date“MRV of NAMAs”aretherefore being considered and experimented by developing countries and under the UNFCCC.
	Potential linkages with regional initiatives and financing opportunities: The NAMA registry is an
initiative taken by the UNFCCC that aims to provide a window for developing countries to showcase4

their NAMA proposals and eventually find matches with potential financers. Other initiatives suchas the NAMA Facility, established by the German Federal Ministry for the Environment, Nature
Conservation, Building and Nuclear Safety (BMUB), and the Department of Energy and Climate
Change (DECC) of the United Kingdom (UK) established a fund that can be accessed in a competitive
scheme, aimed at supporting transformational NAMAs. Another initiative coming from developed
countries such as the Joint Crediting Mechanism (JCM) that is promoted by the Government ofJapan, and which is one option to use to access financial resources and also environmentallyfriendly technologies. The JCM is a bilateral scheme between host countries and Japan, and which

5aims to facilitate diffusion of leading low carbon technologies as well as implementation of mitigation
actions that will then also contribute to the sustainable development of developing countries.
Transformational NAMAs, which can require considerable investment, might therefore find support
through this scheme. Considering the different potential aspects of NAMAs more initiatives mightarise in the future, however, the challenge remains of raising more funding in a more collaborative
manner, and from the private sector in particular.
1	This Guidebook was prepared in parallel to a Guidebook on MRV, “One(Hundred Questions & Answers bout MRV in Developing
Countries”, edited and published by the Institute for Global Environmental Strategies (IGES)). More detailed information on MRVs canbe found in this publication.

95

5.3

Potential areas for future collaborations

	Collaborations between donors and research organizations: There is a growing interest by differing
donors and research organizations across the globe with differing skillsets and experience tocooperate in a coordinated manner, and not only in climate change issues but also in the broad rangeof related aspects of the development process. Taken in this context, NAMA formulation provides aplatform for any such cross-sectoral cooperation to push the NAMA agenda forward, and regardless1of the observed slow progress or rhetorical divisions between the positions of the countries involved
at the international negotiation level. At the national level it is highly likely that any country thatsucceeds in establishing a robust MRV system will benefit by attracting potential donors who will
naturally be eager to see how the funds have been used. Developing countries can also benefit byfacilitating mutual coordination between partners in thereby avoiding potential duplications but also
creating synergy between donors.
	That type of coordination can be epitomized by the Support Program to Respond to Climate Change(SP-RCC) of Vietnam, which brought JICA, AFD, CIDA, World Bank, GIZ, and AUSAID together as

2

a single platform. The SP-RCC was established in an attempt to support the implementation of the
National Target Program to Respond to Climate Change (NTP-RCC) of Vietnam in a coordinatedmanner and involving mitigation, adaptation, and cross-cutting issues such as a financial mechanism.
These experiences provide an innovative business model for donor harmonization in the area of
NAMA formulation. That type of platform can also facilitate a streamlining of the support approachand requirements among donors, and therefore reducing the administrative burden incurred by shortstaffed ministries with different sets of requirements for different donors.

3 Capacity-building programs: Evidence has proved that developing countries will require capacity
building support in the different stages of the NAMA and MRV cycles, and each stage brings different
types of content requirements. However, and needless to say, the needs of each individual country
can be either similar or substantially different from another country, thus making it a challenge fordonor countries or support organizations to organize courses and prepare curricula. This is therefore
another area where donors can profit from collaborations.
	Involvement of other stakeholders: Different donors and research institutions will result in a variety

4of programs, thus allowing for more flexible selections and designs of mitigation actions. Implementing
countries will increasingly require collaborations with other stakeholders such as the private sector
and academia, and since NAMA’s require solid government participation the implementing countries
can promote a formal type of networking through industry-academia-government collaboration
schemes or public private partnerships, and which can be parallel to collaboration networks withdonors in the case of supported NAMAs.
	Facilitation of South-South cooperation: Another layer of support can also be added that facilitates5

mutual learning between neighboring countries. Any such fora (preferably in regular and rotationalform) can provide practical opportunities to showcase best practices, lessons, and challenges, andenhance regional solidarity in tackling climate mitigation overall.

96

References
ECN, ECOFYS (2013) Annual Status Report on Nationally Appropriate Mitigation Actions.
GIZ (2012) Nationally Appropriate Mitigation Actions – A technical assistance source book forpractitioners
GIZ. Nationally Appropriate Mitigation Actions (NAMAs) – Steps for moving a NAMA from idea towards
implementation

1

IGES (2013) One Hundred Questions & Answers about MRV in Developing Countries.
IGES (2012) Classification of MRV of Greenhouse Gas (GHG) Emissions/Reductions: For the discussions
on NAMAs and MRV. Policy Brief. Number 25.

2

3

4

5

97

Although every eﬀort was made to ensure objectivity andbalance the printing of a book or translation does not imply
OECC’s endorsement or acquiescence with its conclusions or theendorsement of OECC ﬁnancers. OECC maintains a position ofneutrality at all times with regard to any issues concerning public
policy. Any conclusions reached in OECC publications should
therefore be understood to be those of the authors and in no way
attributable to the staﬀ-members, oﬃcers, directors, trustees,
funders, or of OECC itself.
The concepts expressed in this Guidebook are those of theauthors and do not necessarily represent the views of theJapanese Government.
Copyright 2014 by the Ministry of the Environment, Japan (MOEJ)