Third Edition

NAMA Guidebook ─ Third Edition

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 2015 by the Ministry of the Environment, Japan (MOEJ)

NAMA Guidebook
Manual for practitioners
working with mitigation actions

Imprint
Publishedby:
OverseasEnvironmentalCooperationCenter,Japan(OECC)

Registeredoffice:
NPͲOnarimon3F,3Ͳ25Ͳ33,NishiShinbashi,MinatoͲku,Tokyo105Ͳ0003,Japan
T:+81Ͳ3Ͳ5472Ͳ0144              F:+81Ͳ3Ͳ5472Ͳ0145

Responsible(Edition):
MiguelJiroOgahara(OECC)
NoboruZama(OECC)

Citation:
OECC(2015).TheNAMAGuidebook.3rdEdition.PublishedbyOECC,Japan;pp.    Photocredits:
Ͳ

UNDP

Ͳ

OECC




















Copyright2015bytheMinistryoftheEnvironment,Japan(MOEJ)

THE NAMA GUIDEBOOK-Manual for practitioners working
with mitigation actionsThird Edition – 2015
Responsible (Edition):
Miguel Jiro Ogahara (OECC)
Noboru Zama (OECC)

Authors:
Overseas Environmental Cooperation Center, Japan (OECC)
With contributions from:Food and Agriculture Organization of the United Nations (FAO)
Global Environment Centre Foundation (GEC)
Institute of Meteorology, Hydrology and Climate Change, Viet Nam (IMHEN)
Ministry of Environment, Green Development and Tourism, Mongolia
NewClimate InstituteSouth Pole Group
Thailand Greenhouse Gas Management Organization (TGO)
United Nations Development Programme (UNDP)

Acknowledgements
The Overseas Environmental Cooperation Center, Japan (OECC), acting as the
Secretariat for the development of this document, would like to thank the support
received from the Ministry of the Environment, Japan (MOEJ) through the Institute for
Global Environmental Strategies (IGES).
Special thanks go to all the authors for their contributions and expert comments for the
improvement of this guidebook.

iTable of contents

PAGE
Presentationi

Table of contentsii

List of acronymsiii

Prefaceiv

Section I:

Issues in the implementation of transformational NAMAs

1

1.1

Transitioning NAMAs from planning to implementation

1

1.2

Facilitating transformative change for resilient and inclusive growth5

1.3

NAMA integrated “MRV + M&E” system to track transformational
impacts for NAMA implementation

15

Case studies

Section II:

Section III:

ii

35

2.1

CTCN technical assistance as one of supporting schemes for NAMA
implementation – a case study and prospect of further development

35

2.2

Updates of the Joint Crediting Mechanism

39

2.3

Recent development of NAMAs in Mongolian energy sector

43

2.4

Thailand’s Nationally Appropriate Mitigation Actions (in energy sector
and transport sector) and its MRV system

55

2.5

Case study of NAMAs in the waste water sector of Vietnam - Van Phucslaughterhouse

64

2.6

Transformational change and NAMAs in the agriculture, forestry andother land use sector

72

2.7

Case study Namibia – NAMA on rural development in Namibia throughelectrification with renewable energies

78

Results of a survey on NAMAs and conclusions

89

3.1

Preliminary results of a survey on NAMAs

89

3.2

Conclusions and key messages

93

List of acronyms

Ministry of the Environment, Japan

AFOLU

Agriculture, Forestry and Other Land
Uses

MRV

Measurement, Reporting and VerificationAIM

Asia‐Pacific Integrated Model

NAMA

Nationally Appropriate Mitigation Actions

BAU

Business as Usual

NAPA

National Adaptation Programmes of
ActionBUR

Biennial Update Report

NAP

National Adaptation Plans

CDM

Clean Development Mechanism

NC

National Communication

CHP

Combined Heat and Power plants

NCA

NAMA Coordinating Authority

CIP

Continuous Improvement Processes

NCCC

National Committee on Climate Change

COP

Conference of the Parties

NDE

National Designated Entity

CTCN

Climate Technology Centre and Network

NDF

Nordic Development Fund

DFI

Development Finance Institution

NEE

NAMA Executing Entities

ER

Emissions Reductions

NIA

NAMA Implementing Authority

GCF

Green Climate FundNMM

New Market Mechanisms

GEF

Global Environment Facility

ODA

Official Development Assistance

GHG

Greenhouse Gases

QA/QC

Quality Assurance / Quality Control

ICA

International Consultation and Analysis

RD&D

Research, Development and
Demonstration

IDB

Inter-American Development Bank

SDG

Sustainable Development Goals

INDC

Intended Nationally Determined
Contributions

TC

Transformational Change

IPCC

Intergovernmental Panel on Climate
Change

TEC

Technology Executive Committee

JCM

Joint Crediting Mechanism

TNA

Technology Needs Assessment

JICA

Japan International Cooperation Agency

UNDP

United Nations Development Programme

KPI

Key Performance Indicators

UNEP

United Nations Environmental Programme

LCDS

Low Carbon Development Strategy

UNFCCC

United Nations Framework Convention on
Climate Change

M&E

Monitoring & Evaluation

WB

The World Bank

SectionⅢ

MOEJ

SectionⅡ

Asian Development Bank

SectionⅠ

ADB

iii

Preface: Introduction to the third
edition of the NAMA Guidebook

Three years ago we have decided to create a tool that can be useful for all those in the process of learning
what Nationally Appropriate Mitigation Actions are. In retrospective, we were well aware about the continuously
evolving character that NAMAs might pose, considering that everyone was experimenting or engaging ina‘learning-by-doing’process. In that sense, rather than writing recipes to conduct projects, we provided aplatform for all those who wanted to share their experiences (good and bad) in the formulation and conduction of
NAMAs.
It gives us great satisfaction to know the level of acceptance that the NAMA Guidebooks (first and second
edition) have received, from both sides: Those who wanted to use this Guidebook as a reference material intrainings and capacity building activities, and those who shared knowledge by contributing experiences in the
Guidebook. The current edition is in part, a result of this interaction.
In order to find the main theme for this edition, we have conducted a small research at the intersessional climate

SectionⅠchange meetings in Bonn. As a result, we found out that the focus was now moving towards the implementationof‘Transformational NAMAs’. Here, we restrain ourselves to provide a definition since many valuable concepts
are provided in this edition, but we invite our readers to see how these concepts are becoming a key factor
when designing NAMAs. In that sense, and similarly to the previous two editions, we provide some theoreticalconcepts in Section I and some case studies in Section II as a reference.
Given the importance of the transformational aspect in future NAMAs, we have also started a small survey

SectionⅡin order to decipher what kind of challenges and issues in the design, planning and implementation of‘Transformational NAMAs’are faced by developing countries. Some preliminary results and conclusions areprovided in the final section.

SectionⅢ

Miguel Jiro Ogahara
Senior Researcher
Overseas Environmental Cooperation Center, Japan (OECC)

iv

Issues in the implementation oftransformational NAMAs

SectionⅠ

1.1 Transitioning NAMAs from planning to implementation
Frauke Röser (NewClimate Institute)Transitioning NAMAs from planning to
1.1
It has been eight years since the concept of NAMAs was first introduced in the Bali Action Plan in 2007.
implementation

During this time, many governments, research and support organisations have engaged very actively in

By

Frauke Röser

the topic
to bring theInstitute
NAMA concept to life. A significant number of countries has been developing NAMA
NewClimate
concepts and proposals, and a whole range of knowledge sharing and readiness activities have been

It has been eight years since the concept of NAMAs was first introduced in the Bali Action Plan in 2007.

undertaken in order to build capacities for further development of NAMAs and to pave the way for theDuring this time, many governments, research and support organisations have engaged very actively
in thetopic to bringofthe
concept
to life. A significant number of countries has been developing
implementation
theNAMA
mitigation
actions.

NAMA concepts and proposals, and a whole range of knowledge sharing and readiness activities havebeen undertaken in order to build capacities for further development of NAMAs and to pave the way for

Figure 1 tracks supported NAMA activities from 2011 to 2015 based on information from the NAMA

the implementation of the mitigation actions.

1

31 on
NAMAs
under developmentin
database.
It canbe seen that
NAMA
activityfrom
steadilyincreased
Figure1 tracks
supported
NAMA
activities
2011
to 2015frombased
informationfrom the NAMA
database.
canbe seenthat NAMA activity steadily increased1 from 31 NAMAs under development in2011 to It151
NAMAs
in 2015.

2011 to 151 NAMAs in 2015.

SectionⅠ

Figure 1: Supported NAMA activity 2011 to 2015

Figure 1: Supported NAMA activity 2011 to 2015

SectionⅡ
SectionⅢ

Source: www.nama-database.org

Source: www.nama‐database.org
Two aspects are worth noting here: firstly, the activity shown is likely to be only a part of the NAMA

Two aspectsactivity
are worthnotinghere: firstly,
the activity
is likely to
only a partthe
NAMA (nordevelopment
going
on around
the globe
as notshown
all activities
arebecaptured
in of
the
database
the official UNFCCC NAMA Registry); and secondly, only a very small proportion of supported NAMAs

development activity going on around the globe as not all activities are captured in the database (nor theactually moving into implementation. Depending on one’s definition of what implementation actually

very small
proportion
ofthe
supported
NAMAs
actually
official
UNFCCC
NAMA Registry);and secondly,
only a reducemeans– i.e.
implementationof activities
that directly
emissions(e.g.
installationof low
carbonequipment
and technologies)
versusthe implementationof preparatory
or enabling
activities
movinginto implementation.
Dependingon one’sdefinition of what
implementation
actually means– i.e.

which are important to prepare for emission reductions to happen in future – the number of NAMAs in

implementation of activities that directly reduce emissions (e.g. the installation of low carbon equipment

implementation is likely to be even smaller.

This raises the question of why few NAMAs have actually been able to transition from planning to
implementation.
What can we learn from past NAMA activity that may help move a greater number of
1

The drop in 2012 can be attributed to a redefinition of what was included as NAMA in the NAMA database.

existing and future NAMA concepts to implementation? By looking at what has been achieved over1

the last years in terms of advancing NAMAs and drawing out some lessons learned, this section of the1

The drop in 2012 can be attributed to a redefinition of what was included as NAMA in the NAMA database.

1

guidebook attempts to derive some recommendations for future NAMA development to help the NAMA
concept evolve into what it is meant to do: drive action to mitigate climate change in the context ofsustainable development.

What has been achieved so far?
NAMAs have matured significantly over the last years. Both in terms of quantity as well as quality. Whilst
the early NAMA concepts were relatively broad sketches and outlines of potential mitigation activities,
many NAMA proposals now provide in depth analyses on the design of intervention options, financeinstruments and associated MRV systems.
Capacities and awareness of mitigation actions and the benefits for development have increased
amongst a range of stakeholders within and outside government. Also awareness of NAMAs has
increased significantly amongst potential funding institutions and the wider community of researchersand practitioners. NAMAs have helped to shape thinking on technical and financial cooperation on

SectionⅠ

climate change mitigation internationally as well as informed the design of other emerging funding
mechanisms, including the Green Climate Fund (GCF).
NAMA readiness activities and the resulting increased capacities at the national level arguably
helped to drive activities on the ground also beyond NAMAs. A significant number of new and often
innovative concepts for mitigation activities have evolved in a large number of different countries, fromemerging economies to least developed countries and small island states. These activities in turn havehelped to inform other policy processes, including the (further) development of long term low emission
development strategies as well as the formulation of national targets, including the Intended Nationally

SectionⅡ

Determined Contributions (INDCs) to be presented at COP21 in Paris.
With the establishment of the NAMA Facility in 2012 by the German and British governments and now
also supported by Denmark, the first dedicated NAMA funding source came into existence. The NAMA
Facility by September 2015 has shortlisted nine so called NAMA support projects for implementation
funding. Also other finance providers, including the GEF and several development banks, have moved
towards financing NAMAs as parts of their climate finance activities (see for example the UNFCCC
NAMA Registry for details on NAMA support available and provided).

SectionⅢ

Lessons from NAMA development
Whilst NAMAs have generally contributed to an increased pipeline of potentially fundable mitigation
initiatives and actions, few of those have actually received finance and moved into implementation. Thiscan be attributed to some extent to the widely debated finance gap, however, is also in many cases
likely to be the result of a lack of financial readiness, both at the institutional level of the recipient aswell as the NAMA proposal itself.
Many NAMAs are about policy change rather than the site specific implementation of technology or
infrastructure alone. Policy change takes time and requires concerted action at various levels. In order
to effectively address multiple barriers and achieve longer lasting, deeper change (i.e. transformation)
an interplay of different measures and interventions is required. This makes NAMA proposals complex interms of defining finance needs and designing effective implementation plans.
For supported NAMAs to successfully secure international financial support a detailed analysis of
the planned intervention(s) and a robust implementation plan is required. The implementation planshould detail resource and funding needs as well as how the resources are planned to be deployedincluding institutional structures, roles and responsibilities as well as the design of any planned financial

2Transitioning NAMAs from planning to implementation

mechanism and support scheme. Often, NAMA proposals fall short of what is termed a“bankable”NAMA,
i.e. one that can be picked up readily by financial institutions for their appraisal process. As noted by ananalysis of the NAMA Facility“many NAMA Support Project Outlines showed weaknesses with regard
to their feasibility, specifically concerning a well-developed project structure, a theory of change anda concept for project finance.”(BMUB, 2014). They further note that the early involvement of financial
actors and the in depth preparation of the financial support mechanism presents a key challenge.
Related to the lack of a detailed design of the finance mechanism seems a general detachment of NAMA
activities from other international financial support processes and negotiations at the government
level. Many international financial cooperation (ODA) projects are negotiated involving the Finance
Ministry, Planning and line ministries, in well-established processes. As NAMAs are typically initiated andcoordinated by the Ministry of Environment or the respective UNFCCC focal points, coordination withthe usual government authorities involved in structuring international financial support happens to alimited extent if at all. At the same time, many NAMA projects link with or are very similar to traditional
ODA funded programmes. A close integration of the process of designing NAMA finance schemes withexisting international financial cooperation processes would likely increase the finance readiness ofSectionⅠ

NAMAs and hence increase the likelihood of their implementation.
Given their origin and connection to the UNFCCC process and consequently close link to the national
UNFCCC focal points, in many cases relevant line ministries are brought into the NAMA development
process at a later stage. This can result in a reluctance by the line ministries to take up ownershipof the NAMA process as they were either not involved from the start or may regard the international
climate policy process with some suspicion. Especially policy or programme based NAMAs, for example
in the energy, transport or agriculture sector, need to be fully owned by the relevant ministries and fully
integrated into government planning if they are to move into implementation.

SectionⅡ

Along a similar line, NAMA development in many cases is driven and carried out by external, often
international actors and support providers. This happens in particular in situations where awarenessof NAMAs and capacities are still limited. Whilst these external activities are helpful to initiate anddrive NAMA activities, it can prevent full national ownership of the NAMA process later on. Evenin cases where the process is endorsed by the national government and stakeholders are closely
involved experience has shown that obtaining or transferring full ownership of all parts of the NAMA
to national stakeholders can be difficult. Again, especially NAMAs that require policy change need to
be fully country driven and owned. Consequently, the successful transition of a NAMA from planning to

SectionⅢ

implementation requires national stakeholders to be in the driving seat throughout. External expertise ishelpful to build capacities and support the process but in a targeted and selective way.

Key recommendations and conclusions
Much has been achieved with NAMAs in terms of mobilising mitigation activities in developing countries.
However, there is a notable lack of NAMAs that have actually moved into implementation to realisethe vast mitigation potential outlined in the many NAMA concepts and proposals. Experience showsthat a stronger focus on the design of financial support mechanisms and structures is necessary. Also,
integrating NAMA development fully into policy planning processes of the finance, planning and line
ministries, and shifting ownership away from the climate change focal points to the sector experts, islikely to increase the rate of implementation.
In more concrete terms the following aspects should be considered when developing NAMAs:-

Understand the barriers: in order to fully understand the specific barriers to implementing low
carbon alternatives in the particular local context it is important to directly engage with those3

stakeholders expected to undertake the investment in or implementation of mitigation projects
and technologies. These are often private sector players but may also include government andcivil society. In this context it is critical to get views from different stakeholder groups to ensure abalanced analysis.
-

Design interventions on the basis of barriers identified: the barrier analysis forms the basis todefine targeted interventions to address the identified barriers. Interventions can and should build
on existing initiatives and policies to ensure an integrated policy approach in the targeted sector
and sub sector. For each intervention a detailed implementation plan should be developed, including
detailed costs and resource needs, timelines as well as roles and responsibilities of institutions andstakeholders expected to be involved in the implementation.

-

Engage with and transfer ownership to national line ministries: to develop detailed cost andimplementation plans for the NAMA activities it is important to fully involve the relevant line
ministries of the target sector(s). The definition of resource needs – in particular national funds
and resources – should be linked to the budgeting processes of the respective ministries. The

SectionⅠ

involvement of the Ministry of Finance is particularly important here, also in view of defining andnegotiating international support for the NAMA to complement any ongoing or planned international
support activities.
-

Engage with national and international financial institutions: in order to develop bankable NAMA
proposals which can be readily picked up by financial institutions it is helpful to engage withpotential national and international funders right from the beginning. Many financial institutions
are able to provide direct support during the proposal development phase and are open to engage
actively with NAMA developers to ensure that the proposed initiatives and schemes meet therequirements of the banks.

SectionⅡ

Fundamental to successful NAMA development is that the processes are fully driven and owned bynational stakeholders. A clear indication of ownership is the inclusion of the NAMA activities in nationaland ministerial budgets and policy plans. In the end, NAMAs are not proposal documents but processes
which can only come to fruition through concerted and continual action by the national stakeholders
involved.

SectionⅢ

References
German Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB),
UK Department for Energy and Climate Change (DECC). (2014), Lessons Learned 2014 – Financing
the Implementation of NAMAs.
UNFCCC NAMA Registry, www.unfccc.int
NAMA-Database, www.nama-database.org

4Facilitating transformative change for resilient and inclusive growth

Facilitating transformative change for resilient
1.2
and inclusive
growth
1.2 Facilitatingtransformativechange for resilient and inclusive growth
By

Alexandra Soezer
United Nations Development Programme (UNDP)

Alexandra Soezer (UNDP)

Introduction
Introduction
NAMAs are expected to change prevailing structures of a sector sustainably and allow for a broad

NAMAs are expected to change prevailing structures of a sector sustainably and allow for abroad paradigm shift. Such a sector-transformative change that occurs through a NAMA can be
through the application of a theory of change approach. The theory of change approach“defines all
best seen through the application of a theory of change approach. The theory of changebuilding blocks required to bring about a given long-term goal”(Center for Theory of Change, 2013).
approach “defines all building blocks required to bring about a given long-term goal” (Center for
These building blocks shall have impacts beyond project scope, include institutional capacity building,
Theory of Change, 2013). These building blocks shall have impacts beyond project scope,
private sector engagement, and replicability and scalability. Transformational NAMAs will be expected
include institutional capacity building, private sector engagement, and replicability and scalability.
to include a number of embedded layers for change and the solutions to achieve a transformative
Transformational NAMAs will be expected to include a number of embedded layers for changechange will need to be tailor-made in order to achieve lasting results (Wuppertal Institute for Climate,
and the solutions to achieve a transformative change will need to be tailor-made in order toEnvironment and Energy & UNEP DTU Partnership, 2014). Table 1 explains the different layers ofachieve lasting results. (Wuppertal Institute for Climate, Environment and Energy & UNEP DTU
change that will have to be carefully considered at all stages, from the idea, the NAMA preparation toPartnership, 2014). Table 1 explains the different layers of change that will have to be carefully
NAMA implementation.
considered at all stages, from the idea, the NAMA preparation to NAMA implementation.
paradigm shift. Such a sector-transformative change that occurs through a NAMA can be best seen

SectionⅠ

Table
1: 1:
Embeddedlayerstransformational
NAMAs
Table
Embeddedlayersofofchangechange forfor transformational
NAMAs

SectionⅡ
SectionⅢ

Source: Wuppertal Institute for Climate, Environment and Energy & UNEP DTU Partnership, 2014

Source: Wuppertal Institute for Climate, Environment and Energy & UNEP DTU Partnership, 2014

5

The Theory of Change describes in a change framework the exact building blocks orinterventions that bring about the results. All outcomes are tied to an intervention in a set ofconnected building blocks which are known as a pathway of change (Center for Theory of
The Theory of Change describes in a change framework the exact building blocks or interventions that
Change, 2013). Using this approach will help to ensure that the NAMA focuses not just on
bring about the results. All outcomes are tied to an intervention in a set of connected building blocks
emissions
reductions but also on sustainable development, embedded in national development
which are known as a pathway of change (Center for Theory of Change, 2013). Using this approachgoals.
will help to ensure that the NAMA focuses not just on emissions reductions but also on sustainable
development, embedded in national development goals.

Exemplary
NAMAsthat
that
demonstrate
a rigorouson transformative
for resilient,
Exemplary NAMAs
demonstrate
a rigorous
focusfocus
on transformativechangechange
for resilient,inclusive
inclusivein asectoralniche thatare NAMAs
that
encourage
access, rural
growth in growtha sectoralniche
are NAMAs
encourageenergyaccess,energy
rural development,
and income
generation. These
at generation.
the same time
provideopportunities
changepathways todevelopment,
andNAMAs
incomeThese
NAMAs
at the tosame
timedevelopment
provide opportunities
through development
the promotion of
low carbon
development.
changepathwaysthroughthe promotion of low carbon development.

SectionⅡ

SectionⅠ

Figure 1:1: NAMAs
NAMAs provide
an opportunity
opportunityto
tochangechangedevelopment
developmentpathways
pathways
Figureprovide an

SectionⅢ

Source:Wuppertal Institute for Climate, Environment and Energy & UNEP DTU Partnership, 2014)
Source: Wuppertal Institute for Climate, Environment and Energy & UNEP DTU Partnership, 2014)

Measurement Reporting and Verification of Transformative Change
To visualize the transformation of change approach, the overall NAMA targets for an energy access
NAMA for activities, outputs, outcomes, impacts and overall high-level paradigm shift are shown in Figure
2. Whether or not transformative change has occurred can be determined only at the end of a NAMA
lifetime, once all of the NAMA Measurement Reporting and Verification (MRV) results are analyzed.

6

Measurement Reporting and Verification of Transformative ChangetransformativechangeNAMA
for resilient
andforinclusive
growthTo visualize the transformation ofFacilitatingchange approach,
the overalltargets
an energy
access NAMA for activities, outputs, outcomes, impacts and overall high-level paradigm shift
are shown in Figure 3. Whether or not transformative change has occurred can be determined
only at the end of a NAMA lifetime, once all of the NAMA Measurement Reporting andVerification (MRV) results are analyzed.

Figure2:
3:The
Thetheory
theory ofof changechange approach
approach toto NAMA
NAMA targets
targets for
Figurefor anan energy
energy access
accessNAMA
NAMA

SectionⅠ

Source: Nationally Appropriate Mitigation Action: Rural Development in Namibia through Electrification with
Source: Nationally Appropriate Mitigation Action: Rural Development in Namibia through Electrification
Renewable Energies, UNDP 2015
with Renewable Energies, UNDP 2015

SectionⅡ

Relevance of Measurement Reporting and Verification for NAMAs
Relevance of Measurement Reporting and Verification for NAMAs
To set the stage, a baseline scenario will have to be established first, followed by the theory ofchangewhich scenario
will be employedthat first,
the followed
NAMA isat in
a biggerTo
set theapproachstage, a baseline
will have toto
beensureestablishedbylooked
the theoryof change
approachwhich will
employed
to ensure thatthetargets
NAMA isat in aare
biggerpicture, helping
topicture, helping
to beensuretransformation.
The
oflooked
the NAMA
developed
in alignment
ensuretransformation.
Thetargets
of
the
NAMA
are
developed
inalignmentwiththepriorities
ofnational
with the priorities of national development plans.
development plans.

SectionⅢ

MRV is crucial in the success of the NAMA as it helps to track the outcomes and impacts of theNAMAinterventions.
Dataofparameters
sustainable
development
indicatorsareMRV
is crucial
in the successthe NAMA asfor
it helps
to track theoutcomes andimpacts oftheregularly
NAMAmeasured, recorded
and verified.
This datadevelopment
will then be
used toare
determinetransformativeinterventions.
Data parameters
for sustainableindicators
regularly themeasured,recordedand verified.
This asdata
will thento determinechange which
will occur
a resultof betheused
NAMA
activities.the transformative change which will
occur as a result of the NAMA activities.

A NAMA Coordinating Authority (NCA), which is usually the sector-relevant lead Ministry, in
consultation
with other
Ministries
andtheisNIA
will thebe charged
with interpretingsustainable
A
NAMA Coordinating
Authority(NCA),
which
usuallysector-relevant
lead Ministry,thein consultation
development
data andandtheapplying
it towiderwithcomponentschange, datasuch aswithother Ministries
NIA will bechargedinterpretingof
thetransformative
sustainable development
outcomes
impacts.
These ofcomponents
cannotbesuchmeasuredannually
but should
andapplyingand
it to wider
components
transformativechange,as outcomes
and impacts.
These becomponents
be measured
annually
butatshould
be ofconsideredat theend of Tracking
each phaseand atconsidered cannot
at the endof each phaseandthe endthe NAMA’s
lifetime.
sustainable
the
end
of
the
NAMA’
s
lifetime.
Tracking
sustainable
development
outcomes
will
also
help
the
NCA
development outcomes will also help the NCA to continuously improve the NAMA designtoandcontinuously
NAMA design and increase the NAMA impact.
increase theimprove
NAMA theimpact.
In order for an energy access NAMA to accomplish the transformative change which is integral to thesuccess of the NAMA, a comprehensive and supportive regulatory and policy framework needs to be7

established since the transformative change must occur in a fashion which is aligned with national
development goals. In order to establish the enabling policy framework, the existing national documents
must be assessed for gaps first and then, recommendations formulated to supplement these policies andregulations so that a supportive framework can be created.

Evaluation of Sustainable Development results
UNDP has developed a Sustainable Development Evaluation Tool to evaluate the transformative impactof a NAMA by assessing the sustainable development impacts of a NAMA. In order to do so, the tool
looks carefully at the selected interventions that are applied under a NAMA framework.
A Sustainable Development Evaluation tool can be applied by the NCA and shall help to evaluate theperformance indicators and results achieved by a NAMA over the NAMA’s lifetime. The tool shall allow

SectionⅠ

policy makers to track and highlight the effects of a NAMA on national development goals. The SDGs
shall eradicate poverty and transform economies through an integrated approach to economic, socialand environmental sustainable development.
The evaluation of the sustainable development impacts are done through the following steps:a) Identification of domains:
Four different domains are identified for the measurement of the sustainable development impacts:a) Environment: This domain will cater to changes in the environment due to an intervention.

SectionⅡb) Social: This domain will cater to social aspects of the intervention.
c) Economic: This domain will evaluate the economic related benefits which can be measured directly.
d) Growth & Development (to highlight those impacts that have dual impacts on social and economic
development) this domain will cater to the development aspects of the intervention without linking it
to financial benefits.
Each domain is linked to the globally agreed Sustainable Development Goals (SDGs) and their targets toensure that the impact of a NAMA is assessed against the overall sustainable development priorities of a

SectionⅢ

country and that MRV of the sustainable development impacts of the NAMA can also track progress withthe achievements of the national sustainable development priorities.

b) Selection of indicators:
Under each domain, the NCA will select indicators that reflect how the NAMA supports sustainable
development. It is recommended to select a core list of indicators that are specific, measureable, andcost effective to collect in order to limit the burden on human and financial resources to measure andreport data. Ideally, a NAMA should be able to track progress of at least 1 indicator per domain. For
each selected indicator, a justification shall be provided. If more than one intervention is undertaken
under the NAMA, indicators shall be selected for each introduced intervention.
All positive and potentially negative impacts of an intervention under the NAMA framework, shall bereported under the respective domain against each indicator. In order to do this, the effects of theintervention will be classified as positive or negative. Negative impacts need to be mitigated andmonitored over the NAMA lifetime.

8All positive and potentially negative impacts of an intervention under the NAMA framework,
shall be reported under the respective domain against each indicator. In order to do this, theFacilitatingas
transformativechange forresilient andinclusive
growtheffects of the intervention will be classified
positive or negative.
Negative
impactsneed
tobe mitigated and monitored over the NAMA lifetime.
The exemplary energy access NAMA determined and justified the selection of indicators as
follows:
The exemplary energy access NAMA determined and justified the selection of indicators as follows:

SectionⅠ
SectionⅡ
SectionⅢc) Formulation
ofof
parameters:c)Formulation
parameters:

Followingthe
theindicator
indicator
selection,
will determine
parameters
each monitored
Following
selection,
the theNCANCA
will determine
parameters
for eachfor
monitored
indicator. The
parameters will build the basis for MRV of the sustainable development impacts and shall be carefully

9indicator. The parameters will build the basis for MRV of the sustainable development impacts
and shall be carefully selected as they must ensure transparent and precise MRV of
indicators. For each parameter a unit of measurement and measurement approach (direct orindirect, through survey or literature value) shall be defined. For each parameter, a baseline
value and target value to be achieved through the NAMA intervention has to be determined by
selected as they must ensure transparent and precise MRV of indicators. For each parameter a unit of
the NAMA developer.
measurement and measurement approach (direct or indirect, through survey or literature value) shallbe defined. For each parameter, a baseline value and target value to be achieved through the NAMA

The exemplaryenergyaccess NAMA
formulated
the parameters, baseline and targets forintervention
has tobe determinedby the NAMA
developer.

monitored
parameters
as detailed
below:
The
exemplaryenergy access
NAMA formulated
the parameters, baseline and targets for monitored

SectionⅢ

SectionⅡ

SectionⅠ

parameters as detailed below:d) Evaluation
ofof
NAMA
improvements
through
Nationally
Appropriate
Improvements (NAIs)
Evaluation
NAMA
improvements
through
Nationally
Appropriate
approach:
Improvements (NAIs) approach:The determination of a baseline value, realistic estimation of a target value, and robust MRV,
will allow the NCA to determine the contribution of the NAMA to the country’s sustainable
the NCA to determine the contribution of the NAMA to the country’s sustainable development priorities,
development priorities, the overall sustainable development impacts of the NAMA and thethe overall sustainable development impacts of the NAMA and the success of the NAMA interventions to
success of the NAMA interventions to contribute to growth and development.
The determination of a baseline value, realistic estimation of a target value, and robust MRV, will allow

contribute to growth and development.

andandQA/QC:e) MRV
MRV ofofparametersparameters
QA/QC:

TheNAMA
NAMAImplementing
Implementing
Authority
shall establish
a QA/QC
systemensuregood
The
Authority(NIA)(NIA)
shall establish
a QA/QC
system toensureto
good
qualityof data.
qualityof data.
Thequalitycontrolare(QC)
procedures
aredevelopingused for compiling,developing
andThe
qualitycontrol(QC)
procedures
usedfor compiling,
and maintaining
the required

maintaining the required datasets and the quality assurance (QA) procedures for ensuring theoverall quality of the datasets by assessing the conformity and the effectiveness of the QC
assessing the conformity and the effectiveness of the QC system, based on data quality objectives andsystem, based on data quality objectives and general provisions
datasets and the quality assurance (QA) procedures for ensuring the overall quality of the datasets by10Facilitating transformative change for resilient and inclusive growth

general provisions.
For a proper QA/QC process, the following data quality objectives should be followed:•

Relevance: collect data and information required for the establishment of baseline and mainly
activity data and information applicable for the assessment of impacts;•

Completeness: include all relevant activity data and information to produce“true and fair”
representative data;•

Consistency: present the same data in the same definition/scope/format and make the datasetscompatible with other related data;•

Credibility: identify and utilize authoritative data sources. Collected data/information should always
reference their sources (examples of sources: data providers, NAMA's implementer, government
authorities, peer-reviewed international statistics documents, research institutes, individual
academic research work institutions, technology supplier);•

Correctness: utilize the most recent data available in a sector in order to reflect the current
economic and technological practices (one to 3 years before the submission of the NAMA);
Accuracy: reduce errors and uncertainties as far as it is practical and cost-effective;•

Objectivity: avoid biased, prejudiced and partial information;•

Conservativeness: ensure to use a conservative approach in case of missing or incomplete data;•

Transparency: disclose sufficient and appropriate data and processes to allow monitoring of theSectionⅠ•

quality of the compiled datasets;•

Traceability: document all data sources.

Interventio Intervention A. Mini‐grids

The exemplary energy access NAMA detailed MRV and QA/QC as follows:

Way of monitoring

1
HealthSocialHealth clinics electrified
0
Mini grid connection and electricity provision contract between the
How
Intervention Implementer and the Clinic
Frequency
3 years
By whomIntervention Implementer
1

SectionⅢ

Project ValueQA/QC procedures

SectionⅡ

Serial number
Indicator Name
DomainParameter Name
Baseline ValueQC check done Nama Implementer
Serial number
Indicator Name
DomainParameter Name
Baseline Value
Way of monitoring
Project Value

2
Livelihood of the poor, poverty alleviation, peace
SocialHouseholds electrified
0
Mini grid connection and electricity provision contract between the
How
Intervention Implementer and the household
Frequency
3 years
By whomIntervention Implementer
100

QA/QC procedures
QC check done Nama Implementer
Serial number
Indicator Name
DomainParameter Name
Baseline Value
Way of monitoring

Project Value

3
Access to clean and sustainable energy
Growth and development
People with access to RE electricity0How
measuredFrequency
3 years
Intervention Implementer´s records, in cooperation with the local
By whom
constituency (local census, local survey)
600

11

Indicator
ParameterName
Name
DomainBaseline Value
Parameter Name
BaselineValue
Way of monitoring
Way of monitoring
Project Value
Project ValueQA/QC procedures
QA/QC procedures

Livelihood
the poor, poverty alleviation, peace
Householdsofelectrified
Social0Households electrified
Mini grid connection and electricity provision contract between the
0How
Intervention Implementer and the household
Minigrid connection and electricity provision contract between the
Frequency
3 years
HowwhomIntervention
By
Intervention Implementer
Implementer and the household
Frequency
3
years
100
By whomIntervention Implementer100
QC check done Nama Implementer

QC
3 check done Nama Implementer
Access to clean and sustainable energy
3Growth and development
Accessto clean
andtosustainableenergyPeople withaccessRE electricity
Growthanddevelopment0
Peopleto RE electricity
How with accessmeasured0Frequency
3 yearsHow
measuredIntervention Implementer´s records, in cooperation with the local
Frequency
3
years
By whom
constituency(local census, local survey)
Intervention Implementer´s records, in cooperation with the local
600
Project Value
constituency (local census, local survey)
QA/QC procedures By whom
600
Project ValueQC check done Nama Implementer
QA/QC procedures
QC check done Nama Implementer
Serial number
Indicator Name
SerialDomainnumber
Indicator
ParameterName
Name
DomainBaseline Value
ParameterName
Way of monitoring
Baseline Value
Way of monitoring

Serial number
Indicator Name
SerialDomainnumber
Indicator
ParameterName
Name
DomainBaseline Value
Parameter Name
BaselineValue
Way of monitoring

SectionⅠ

Way of monitoring
Project ValueQA/QC procedures
Project
Value
Serial number
QA/QC
procedures
SerialnumberIndicator
Name
SerialnumberIndicator
Name
DomainIndicator Name
DomainParameter
Name
DomainParameter
Name
Baseline
Value
Parameter
Name
Baseline Value
Baseline Value

SectionⅡ

Way of monitoring
Way of monitoring
Way of monitoring
Project Value
Project
Value
QA/QC
procedures
Project
QA/QC Value
procedures
QA/QC procedures

SectionⅢ

Serial number
SerialnumberIndicator
Name
SerialnumberIndicator
Name
DomainIndicator
Name
DomainParameter
Name
DomainParameter
Name
Baseline
Value
Parameter
Name
Baseline Value
Baseline Value
Way of monitoring
Way of monitoring
Way of monitoring
Project Value
Project
Value
QA/QC
procedures
Project
QA/QC Value
procedures
QA/QC procedures
Serial number
SerialnumberIndicator
Name
SerialnumberIndicator
Name
DomainIndicator
Name
DomainParameter
Name
DomainParameter
Name
Baseline
Value
Parameter
Name
Baseline Value
Baseline Value
Way of monitoring
Way of monitoring
Way of monitoring
Project Value
Project ValueQA/QC
procedures
Project
QA/QC Value
procedures
QA/QC procedures

12

4
Education
4
Growth and development
Education
Schools electrified
Growthand development0
Schools electrified
Mini grid connection and electricity provision contract between the
0How
Intervention Implementer and the SchoolMinigrid connection and electricity provision contract between the
Frequency
3 years
How
Intervention
By whomIntervention Implementer
Implementer and the School
Frequency
3 years1
By whomIntervention Implementer
1
QC
check
done
Nama Implementer
5
5Incomegeneration/expenditure
reduction/Balance of payments
5
QC checkdone Nama Implementer
Incomegeneration/expenditure
reduction/Balance of payments
Economic
Incomegeneration/expenditure
reduction/Balance of payments
EconomicNew
income-generating
activities(enterprises)
EconomicNew
income-generating activities (enterprises)
0New
income-generating activities (enterprises)
0
Mini grid connection and electricity provision contract between the0
Minigrid connectionand electricity
provisionand
contract
betweenIntervention
Implementerand the business,
local survey
in theMini
grid connectionand electricity
provisionand
contract
betweenIntervention
Implementerandthebusiness,
local
surveyin thecooperationwiththe localandconstituency
How
Intervention
Implementer
the business, and local survey incooperation
with
the
local
constituency
How
Frequency
3
years
cooperation
with the local constituency
How
Frequency
3
years
By
whom
Intervention
Implementer, in cooperation with the local constituency
Frequency
3
years
By
whom
Intervention
Implementer, in cooperation with the local constituency
5
By
whom
Intervention
Implementer, in cooperation with the local constituency
5
QA
Confirmation of the data in cooperation with the local constituency
5
QA
Confirmationof the data in cooperation with the local constituency
QC
check done Nama Implementer
QAof the data in cooperation with the local constituency
QC check done Confirmation
Nama Implementer
QC check done Nama Implementer
6
6
Incomegeneration/expenditure reduction/Balance of payments
6
Incomegeneration/expenditure reduction/Balance of payments
Economic
Incomegeneration/expenditure reduction/Balance of payments
EconomicNew
jobs(total)EconomicNewjobs (total)
0
New
jobs
(total)0Nama Implementer´s records on number of internal new employees and0
Nama
Implementer´s
on numberof internal
new employees
andreports
on numbers ofrecords
new employees
fromIntervention
Implementers
Nama
Implementer´s
on numberof internal
new employees
andreports
onrelevant
numbersstakeholders
ofrecords
new employees
fromIntervention
Implementers
and
other
How
reports
onrelevant
numbersstakeholdersof new employees from Intervention Implementers
and
other
How
Frequency
3
years
and
other relevant stakeholders
How
Frequency
3 years
By
whom
Nama
Frequency
3
yearsImplementer
By
whom
Nama
Implementer
2
By
Nama Implementer
2 whom2
QC check done Nama Implementer
QC check done Nama Implementer
QC check done Nama Implementer
7
7
Job
Creation (number of men and women employed)
7
Job
Creation (number of men and women employed)
Economic
Job
Creation (number of men and women employed)
EconomicNewjobs for women
EconomicNewjobs for women0New
jobs for women0
Nama Implementer´s records on number of internal new employees and0Nama
on numberof internal
new employees
andreportsImplementer´s
on numbers ofrecords
new employees
fromIntervention
Implementers
Nama
Implementer´s
on numberof internal
new employees
andreports
onrelevant
numbersstakeholders
ofrecords
new employees
fromIntervention
Implementers
and
other
How
reportsonnumbersofnewemployees
fromIntervention
Implementersandother relevant stakeholders
How
Frequency
3
years
and
other relevant stakeholders
How
Frequency
3 years
By
whom
Nama
Frequency
3
yearsImplementer
By
whom
Nama
Implementer
1
By
Nama Implementer
1 whom1
QC check done Nama Implementer
QC check done Nama Implementer
QC check done Nama Implementer

Facilitating transformative change for resilient and inclusive growthInterventio Intervention B. Energy Zones
Interventio Intervention B. Energy Zones
Serial number
Indicator
Name
Serial number
DomainIndicator Name
Parameter
Name
DomainBaseline
Value
ParameterNameWayof monitoring
BaselineValue
Way of monitoring
Project ValueQA/QC
procedures
Project ValueQA/QC procedures
Serial number
SerialnumberIndicator
Name
DomainIndicator Name
Parameter
Name
DomainBaseline
Value
ParameterNameWayof monitoring
BaselineValue
Way of monitoring

SectionⅠ

Project ValueQA/QC
procedures
Project ValueQA/QC procedures

1
Livelihoodof poor, poverty alleviation, peace
1
SocialLivelihood of poor, poverty alleviation, peace
Households
having access to electricity services
Social0Households having access to electricity services
How
Data of the local constituency
0Frequency
3
years
How
Data
of the local constituency
Bywhom
Intervention
Implementer
Frequency
3 years30
By whomIntervention Implementer30
QC check done Nama Implementer
QC check done Nama Implementer
2
Accessto clean and sustainable energy
2
Access andto cleanand sustainable energy
Growthdevelopment
Peopleaccess to RE electricity services
Growth withand development0
People with access to RE electricity services
Data of the local constituency
0How
Frequency
3Data
years
How
of the local constituency
Bywhom
Intervention
Implementer
Frequency
3 years180
By whomIntervention Implementer180
QC check done Nama Implementer
QC check done Nama Implementer3
Empowermentof women
3
Empowermentof women
Growthand development
New
women
enterprises in the EZ
Growthand development0
New women enterprises in the EZ
Energy Zone´s rent/electricity provision contract with the0Howentrepreneur
Energy Zone´s rent/electricity provision contract with theFrequency
3 years
How
entrepreneur
By whomIntervention
Implementer
Frequency
3 years
Project Value1
By whomIntervention Implementer
QA/QC
procedures 1
Project ValueQA/QC procedures QC check done Nama Implementer
QC check done Nama Implementer
Serial number
4
Indicator Name
Access to sustainable technology
DomainGrowth and development
Parameter Name
New sales point for RE&EE technologies
Baseline Value0
Way of monitoringHow
Nama Implementer
Frequency
3 years
By whom
Nama Implementer
1
Project ValueQA/QC procedures
QC check done Nama Implementer

Way of monitoring
Project ValueQA/QC procedures

SectionⅢ

Serial number
Indicator Name
DomainParameter Name
Baseline Value

SectionⅡ

Serial number
Serial number
Indicator
Name
DomainIndicator Name
Parameter
Name
DomainBaseline
Value
Parameter
Name
Baseline Value
Way of monitoring
Way of monitoring

5
Income generation/expenditure reduction/Balance of payments
Economic
People with new income-generating activities (enterprises)
0
Energy Zone´s rent/electricity provision contract with theHowentrepreneur
Frequency
3 years
By whomIntervention Implementer
2
QC check done Nama Implementer

13f) Sampling:
For monitoring parameters which are determined using a survey, the approach should follow simple
random sampling and the minimum sample size should be determined by the NIA as per the guidelines1
below:•

Project target population < 300: Minimum sampling size 30 or population size (whichever is thesmallest),•

Project target population 300 to 1000: Minimum sample size 10% of group size,•

Project target population > 1000: Minimum sample size 100.

Conclusion
As the global population heads towards 9 billion by 2050, the decisions we make today will lead

SectionⅠ

countries into a growth trajectory that may or may not be sustainable in the future. Care must be taken
to ensure that our energy systems, infrastructure, cities, factories and farms are designed, managed,
and regulated as efficiently as possible to wisely use natural resources while supporting the robust
growth developing countries still need. Economic development during the next decades will continue tofocus on poverty reduction and improving access to health, education, and infrastructure services. It isin this context that NAMAs must provide a direction for countries to make farsighted policy changes
that acknowledge natural resource constraints and enable the world’s poorest and most vulnerable tobenefit from efficient, clean, and resilient growth. NAMA concepts that put an emphasize on

SectionⅡtransformative change for resilient, inclusive development can help countries acknowledge that likeother forms of capital, natural assets are limited and require accounting, investment, and maintenance inorder to be properly harnessed and deployed.
The application of a tool that allows for precise and transparent MRV of sustainable development
impacts, will allow policy makers to monitor the progress of SDGs at national level, improve the ability ofa NAMA to contribute to a country’s national sustainable development priorities and encourage NAMA

SectionⅢ

implementers to put an emphasize on green growth and development.

References:
Center for the Theory of Change, (2013),“What is Theory of Change?”,
http://www.theoryofchange.org/what-is-theory-of-change/
United Nations Development Programme, (2015),“Nationally Appropriate Mitigation Action: Rural
Development in Namibia through Electrification with Renewable Energies”, http://www.undp.org/
content/undp/en/home/librarypage/environment-energy/mdg-carbon/nama-on-rural-developmentin-namibia-through-electrification-wit.html
Wuppertal Institute for Climate, Environment and Energy & UNEP DTU Partnership, (2014),“Theory topractice, understanding transformational change in NAMAs”, http://mitigationpartnership.net/sites/
default/files/unep_dtu_nama_hr_web.pdf

	The sampling approach is based on the Gold Standard methodology: http://www.goldstandard.org/wp-content/uploads/2013/11/

1

GS-simplified-micro-scale-cookstove-meth.pdf

14NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

1.3
By

NAMA integrated“MRV + M&E”system to tracktransformational impacts for NAMA implementation
Yulia Dobrolyubova, Ingo Puhl and Manuel Cocco
South Pole Group

Introduction
What distinguishes a transformational NAMA
A transformational NAMA is a NAMA that brings a paradigm shift in how a sector operates, which inturn defines the fate of old and new companies in this sector. The key impact of this transformation
is a radical transition to lower-carbon technologies and practices. But these innovative approaches
deployed through the NAMA can contribute massively to other sustainable development and economic
competitiveness priorities besides and beyond GHG emission reductions. Transformational NAMAs
should therefore bring in additional positive impacts, usually referred to in the NAMA context as‘SD

SectionⅠ

benefits’or‘co-benefits’.
The transformational NAMA should involve a structural change that alters the interplay of institutional,
cultural, technological, economic and environmental dimensions of the sector, unlocking new
development paths, social practices, and worldviews.
For those who are involved into NAMA design, we suggest undertaking the following steps to ensurethat a NAMA has transformational impact and to facilitate its transition towards implementation:

SectionⅡ•

Understand the key domestic policy objectives that the NAMA implementation would support andcontribute to (highlighting the fact that“N”in NAMA stands for“national”, and“A”stands for“appropriate”);•

Identify and describe existing needs, challenges and problems to achieve those key policy
objectives, and define the mitigation actions and enabling activities that will be required within thescope of the industries/sectors that will be covered by the NAMA;•

Identify and describe potential social, economic and environmental co-benefits that the NAMA will•

SectionⅢ

bring along with GHG emission reduction targets;
Find out who would benefit from the NAMA (NAMA beneficiaries), and describe the level ofimportance of such benefits for them, i.e. in terms of the perceived willingness of these NAMA
beneficiaries to pay to create or receive such benefits (e.g. through setting up policies, regulations,providing technical assistance, etc.);•

Describe what kind of incentive system would be required to create sufficient motivation to
implement the NAMA; and•Define the key performance indicators (KPIs)/metrics to measure NAMA’s success and establish
for this purpose an integrated measuring, reporting and verification plus monitoring and evaluation(MRV + M&E) system.

The importance of NAMA co-benefits
The policy objective of line ministries that are involved into NAMA design and operation is often largely
unrelated to climate mitigation, same as the business purposes of companies operating in the targeted
sector (i.e., potential NAMA implementers). However, the impacts of climate mitigation actions in the
sector could have a number of benefits that may be very relevant and positive for them. For example,

15

actions that increase energy efficiency and thus reduce the consumption of coal can improve country’s
energy security (from the perspective of policy makers), reduce local air pollution (from the perspectiveof local people and environment agencies) and lower production costs (from the perspective ofcompanies and consumers of the manufactured goods).
From the view of non-climate related NAMA stakeholders (i.e., a line ministry managing the NAMA; aprivate industry player; or the local authorities and communities), who are usually not familiar with theinternational climate policy process and nomenclature, a NAMA should therefore be seen mainly as ameans to a (different) end. In order to ensure their buy-in, it is important to show them clearly how a
NAMA creates outcomes that are relevant to them: achieving domestic policy objectives, developing
new business opportunities, improving living conditions and welfare, etc.
In many cases, the domestic NAMA beneficiaries are unknown in the early phases of NAMA design. They
need to be identified as early as possible because they should be involved into the process and might
be an important source of financing for NAMA-related incentives. To illustrate this point, Box 1 provides
an example of importance of identifying SD co-benefits and potential beneficiaries for a successful (andSectionⅠ

transformational) NAMA.
For international supporters of GHG emission reduction, SD targets set by the NAMA are becoming
similarly important as climate mitigation targets. The Green Climate Fund (GCF) or NAMA Facility, forinstance, provide support only to those climate projects and programmes that have a broader set ofsustainability objectives and higher potential for a paradigm shift or transformational change of thecurrent development model.

Box 1: The importance of identifying NAMA co-benefits and beneficiaries as a means to

SectionⅡ

create a successful NAMA
An assessment of non-climate related impacts associated with mitigation actions under a (future)
NAMA within the Waste Sector of Bangladesh (recycling, composting of organic waste) has been
recently completed. It was found that for each ton of CO2eq saved, an equivalent of 90 USD
of direct value could be created as the result of increased agricultural productivity from theconversion and use of organic waste to organic fertilizer.
While responsibility for NAMA design and implementation rests with the Ministry of Environment

SectionⅢ(responsible for waste), the primary beneficiaries operate under the jurisdiction of the Ministry ofAgriculture. As a consequence, it was recommended to integrate the Ministry of Agriculture into
the NAMA design process (UNESCAP 2015).

NAMA design elements and NAMA types
NAMA key design elements as per international rules
A systematic, step-wise approach is strongly advisable for designing NAMAs. South Pole Grouphas developed such a step-by-step NAMA design methodology and condensed it into its‘NAMA
Development Toolkit’. The Toolkit has been successfully applied in a wide range of real case studies
and NAMA design initiatives, including GIZ-supported NAMA Concept Design for Agricultural andForestry Sectors in Tunisia, NDF-supported Cement Sector NAMA in Vietnam, UNDP-supported NAMAs
for Rural Electrification with Renewable Energy in Gambia and Renewable Energy in Fiji, IDB-supported
Agriculture Transport and Cookstove NAMAs in Honduras, and many other cases around the World.

16

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

The NAMA Development Toolkit suggests that NAMA design should consist of the following key
elements:•

NAMA objectives, scope, mitigation actions, enabling activities1 and targets: its overall
objective and scope/boundaries (the economic activities and entities targeted by the NAMA),
the mitigation actions and enabling activities to be pursued; the greenhouse gas (GHG) emission
reduction and the policy targets (i.e. how the NAMA will contribute to achieving the national policy
objectives);•

NAMA baseline: assessment of baseline GHG emissions and SD benefits that will be required to
draw the business as usual (BAU) and the mitigation scenarios, so appropriate NAMA targets andkey performance indicators (KPIs) can be identified for the next steps;•

NAMA MRV + M&E system: the integrated MRV + M&E system will measure, report and verify(MRV): (i) the GHG emission reduction impact; (ii) the SD impacts (environmental, economic andsocial); and (iii) the efficiency of the investment/support (MRV of finance). The NAMA will also
have to incorporate a NAMA monitoring and evaluation (M&E) system to track and evaluate: (i) the

SectionⅠ

effectiveness of implementation and the impact of the proposed mitigation actions and enabling
activities; (ii) continuous improvement process (CIP) indicators; and (iii) NAMA’s transformational
impact; to be in line with the most advanced international best practices;•

NAMA regulatory and institutional framework: defines how the NAMA will ensure alignment
with domestic policy objectives, the legal and regulatory framework, and the NAMA institutional
setup that will define and govern NAMA operations in relation to: a) the entities that are expected to
implement mitigation actions, b) the interaction and roles of involved (domestic) government entities
to ensure alignment with domestic policy objectives, and c) international supporters. In addition, itSectionⅡ

describes the set-up, operating model for the NAMA Operating Entity;•

NAMA financial architecture: NAMA business plan and incentive structure to encourage a)participation in NAMA related MRV + M&E activities and b) implementation of mitigation actions.
Such incentives can include command & control regulation (part of regulatory and institutionalframework), financial incentives, market-based approaches (e.g. carbon market schemes). It
describes how the provision of incentives is re-financed, disbursed, replenished, how cash-flow ismanaged and fiduciary and guarantee procedures are set up;•

NAMA needs assessment/risk management strategy: technical, institutional, regulatory, policy/

SectionⅢ

political, social and financial needs to reach implementation, with a focus on risk mitigation andcontingency plans; and capacity building gap analysis;•

NAMA implementation roadmap: work plans, timelines and budgets for each mitigation action,
enabling activity, and for the NAMA as a whole;•

NAMA capacity development strategy: the capacity building and training plan to close capacity
gaps defined above on NAMA operation & management, MRV + M&E system, required policy/
regulatory interventions, institutional coordination and UNFCCC reporting, accessing international
climate finance and donors requirements to support the NAMA; and other issues.

NAMA type of funding and related regulations
International climate process under the UNFCCC decisions differentiates between two types of NAMA	By mitigation actions the authors understand actions that have direct impact on emission reductions (i.e, physical interventions,

1clean energy technologies, reforestation activities, etc.). Whereas enabling activities are interventions that create favorable
conditions for the uptake of these mitigation actions (e.g. policies, financial incentives, institutional set-up, MRV + M&E systemprovision, capacity building or technical assistance measures) that have usually an indirect impact on emission reductions, which ismore difficult to measure directly and therefore is treated differently.

17

funding:•

Unilateral or domestic NAMAs: financed solely by domestic sources.

•

Supported NAMAs: receiving financial, technical and/or capacity-building support from

A NAMA can also be integrated with carbon finance instruments, for example New Market Mechanisms

international donors (international development institutions, climate and clean energy funds and(NMM), governments
a concept alreadyintroducedcountries,‐but not yet
specified‐
withininternational
climate policy
facilities,of developed
foreignbanks
and theforeignprivate companies).
Supported
typically
alsobeincludea domestic
financecomponent.
process. ANAMAs
NMM approach
could
based onexisting carbon
marketmodels, such as CDM or voluntarycarbon market standards, but operated under the regulatory authority of a NMM implementing country.

A NAMA can also be integrated with carbon finance instruments, for example New Market Mechanisms

discussions
on NMMs
under theUNFCCC
arespecifiedongoing, andno standards
or requirements
been(NMM), Thea concept
already
introduced-but
not yetwithinthe international
climatehave
policyprocess.
A NMM
could be based on existing carbon market models, such as CDM or voluntary
adoptedsoapproachfar.
carbon market standards, but operated under the regulatory authority of a NMM implementing country.

A NAMA using a market‐based mechanism can still be considered a domestic or supported NAMA as long

The discussions on NMMs under the UNFCCC are ongoing, and no standards or requirements have been
adoptedasso
thefar.
carbon credits originated within such a scheme are used to contribute towards the domestic GHG

A NAMA using a market-based mechanism can still be considered a domestic or supported NAMA as

SectionⅠ

emission target of the NAMA operating country, including targets set for domestic sub‐national levels or

long as the carbon credits originated within such a scheme are used to contribute towards the domestic

even at entity
If carbon
units areused toincluding
contributetargets
to GHGset
emissiontargets insub-national
other, third
GHG emission
targetlevel.
of theNAMAcredit
operatingcountry,
for domestic
levels oreven
at entity level.
If carbon
unitstoare
to contributepartyjurisdictions,
the NAMA
would credit
be referred
as aused“credited
NAMA”. to GHG emission targets inother, third party jurisdictions, the NAMA would be referred to as a“credited NAMA”.

Figure 1: NAMA types and sources of financing

SectionⅢ

SectionⅡ

Figure 1: NAMA types and sources of financing

Source: Adapted from‘Developing Financeable NAMAs: A Practitioner’s Guide, IISD, 2013’

Source: Adapted from ‘Developing Financeable NAMAs: A Practitioner’s Guide, IISD, 2013’

A different set of requirements applies to different types of NAMAs because of political demands
regardingtransparency
accountability
pre-conditions
to receiving
international
A different
set of andrequirements
appliesact
to asdifferent
types of NAMAs
becauseof political support.
demands

For example, supported (and credited) NAMAs may require a comprehensive MRV + M&E system thatregarding transparency and accountability act as pre‐conditions to receiving international support. For

provides evidence of the flow of funds to mitigation actions and evidence of the impact of implemented
actionsexample,
on GHG supported
emissions,(anddomestic
policyobjectives
and tothat a NAMA
transformational
credited)NAMAs
may require
a ensurecomprehensive
MRV +has
M&E
system that
impact. The level of detail and complexity of MRV + M&E system largely depends on the expectations

provides evidence of the flow of funds to mitigation actions and evidence of the impact of implementedof the international donor that is funding the NAMA On the other side, domestic or unilateral NAMAs areon own
GHG MRV
emissions,domestic
policy objectives
andtono
ensurethat a NAMA
hasrulestransformationalable to actions
set their+ M&E
requirements,
as therearecommonlyagreedon NAMA MRV.
The Table 1 below summarizes the requirements and procedures applicable to NAMA design elements

impact. The level of detail and complexity of MRV + M&E system largely depends on the expectations ofunder the different NAMA types.

the international donor that is funding the NAMA On the other side, domestic or unilateral NAMAs areable to set their own MRV + M&E requirements, as there are no commonly agreed rules on NAMA MRV.
The Table 1 below summarizes the requirements and procedures applicable to NAMA design elements

18

under the different NAMA types.

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

Table 1: Key requirements and procedures applicable to the different NAMA types in relation to NAMA
design elements
NAMA elements

NAMA Types
Unilateral (domestic)

Supported

Credited

NAMA structure should
satisfy requirements of
the international donors
and allow participation in
the international carbon
market (i.e. NMMs). Thisshould also be reflected in
more ambitious objectives
and mitigation actions.

Baseline

Data collection should
satisfy international
UNFCCC reporting
requirements.

Baseline projections
should include supported
mitigation actions.

Baseline projections should
include scenario with thecarbon market-based
financial mechanism.

Need to meet requirements
of international supporters,
usually linked tointernational standards orbest practices. This goesbeyond MRV of GHG ER
to cover SD co-benefits,financial flows3 ; and M&E
system to track progress,
performance, andtransformational change.

Need to meet requirements
of international carbon
markets, which are usually
linked to the international
standards and mechanisms(such as CDM, VCS, Gold
Standard, and such). The
MRV of GHG ER will haveto be complemented by
MRV of SD co-benefits,financial flows; and an
M&E system to trackprogress, performance, andtransformational change.

Requires an entity thatwould coordinate andmanage the international
support and report tointernational donors.

Requires an entitythat would operate theinternational support andreport to international
donors, and regulatory &institutional framework
for the carbon market
mechanism.

MRV + M&E system

Regulatory &Institutional framework

MRV + M&E system underdomestic rules2.

No need for an entitythat would manage theinternational support andreport to international
donors.

SectionⅢ

Targets, actions andactivities

Unconditional sectoral
targets.
Actions/activities that
could be financed
domestically.

More ambitious targets,
subject to international
support, and additional,
high-cost mitigation
actions that could be
co-financed from theinternational sources.
NAMA structure should
satisfy requirements of theinternational donors.

SectionⅡ

Climate mitigation, SD and other objectives aligned with domestic policies.

SectionⅠ

Objectives

Sources:
Sources:
Financial architecture

Sources:• Domestic public andprivate.

• Domestic public andprivate• International private• International multilateraland bilateral publicfinance.

• Domestic public andprivate• International private• International multilateraland bilateral publicfinance• International carbon
markets under UNFCCC
or bilateral agreement.

	Domestic guidelines -- The guidelines intend to provide general, voluntary, pragmatic, non-prescriptive, nonintrusive and country-

2

driven guidance on their design and implementation (1/CP.16 and 2/CP.17);“…Developing Country parties are encouraged to utilize
existing domestic processes, arrangements, or systems; otherwise, they may wish to voluntarily establish domestic processes…”(FCCC/CP/2013/10/Add.2)
	“...Supported NAMAs will be subject to international measurement, reporting and verification in accordance with guidelines adopted

3by the Conference of the Parties...”(Copenhagen Accord, 2/CP.15)

19

Needs assessment, Risk
management

Basic needs/risk
assessment procedure.

Additional assessmentof needs and externalrisks related to receiving
international finance.

Needs/risks related tolinking a NAMA with
the international carbon
market should be analysed.
Projects supported throughcrediting mechanisms
should have risk
mitigation strategy as perinternational requirements.

Implementa-tion roadmap

A roadmap will include
only mitigation actions andenabling activities that
could be financed throughdomestic sources.

A roadmap should include
implementation of actions
that require international
support, setting up
necessary framework andreadiness activities.

A roadmap should entail
phased introduction ofcarbon market mechanisms
and readiness activities.

Basic capacity
development strategy.

Additional capacity
development activities (e.g.
on preparing proposals
for foreign donors, foreigntechnical assistance, etc.).

Additional capacity
development activities on
establishing, operating
and participating in theinternational carbon
market.

SectionⅠ

Capacity development
strategy

Source: Authors’own elaboration

Before taking a decision about suitability of one NAMA type over others in a specific context, it’s
important to assess what drives such suitability. The arguments should include:•

Administrative feasibility: is the sector able to meet the expectations of the international

SectionⅡsupporters (i.e., with regards to the level of scrutiny of the MRV + M&E system)?
•

Availability of funds: availability of domestic funding and possibility to incentivise domestic
private finance vs. availability and requirements of international donors to fund mitigation actions.

•

Governance: the implications of operating a supported NAMA is that NAMA supporters will demanda participation in the oversight of a NAMA under their requirements, and the question is whether
this is acceptable for the sector and government entities on the national and provincial level.

In reality, it is not easy to make a clear distinction between different NAMA types. For example, NAMA

SectionⅢ

design and readiness stages can be funded internationally, while implementation should be financed (atleast in a very significant proportion) from national (public and private) sources. Most often, the same
NAMA has both unilaterally-funded and supported elements, as finance comes from various donors
interested in supporting specific NAMA interventions. In our view, it’s better to differentiate at the NAMA
design stage which elements, mitigation actions and enabling activities can be financed domestically andwhich will need additional international support.
In order to attract finance from foreign sources, domestic buy-in, commitment and action are essential.
International donors will be more interested in projects that have strong political support and are cofinanced from domestic sources or projects that are already at advanced stages of development (this isa key criterion of the NAMA Facility or the Green Climate Fund, for instance). They would be more willingto support specific NAMA elements and enabling activities, usually around the technical assistanceaspects and components (for example, the cost of setting up the MRV + M&E system, the NAMA
operating unit, the cost of delivering capacity to the national stakeholders, to establish certain mitigation
levers with MRV-able SD benefits, etc.) instead of financing the NAMA as a whole.

20

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

How to present the NAMA concept to different stakeholders
The term and concept of a NAMA is very technical and has a meaning only to the participants of theinternational climate negotiations, which is typically limited to a few officials of ministries of environment
involved into the UNFCCC process. At the same time, NAMAs are developed and implemented within key
economic sectors that are administered/governed by line ministries, with no or very little exposure to
the international climate change talks. Mitigation actions are implemented by companies that are evenfurther away from this international climate policy process.
Therefore, for non-climate related stakeholders it’
s better to explain the idea of a NAMA in a simple andbusiness-oriented way. For this audience, more familiar with a business plan format, South Pole Grouphas designed the so-called NAMA Opportunity Canvas. It addresses all NAMA design elements andprovides a very clear communication that is suitable to creating the“buy-in”of relevant stakeholders in
relation to their willingness to participate in NAMA design and eventually implementation.
Below is a generic table that shows how such NAMA Opportunity Canvas could be designed.

SectionⅠ

Table 2: Generic NAMA Opportunity Canvas
What are the key domestic objectives, problems,
needs or desires that are to be addressed?
Which national policy objectives fall into the scope of a
NAMA?
What are the key impacts to the national policy
objectives that a NAMA can make?

Who is responsible for providing solutions(prioritize those for whom this is the most central/
important)?
Who will be willing/able to pay to have NAMA in place?
Who are the key NAMA beneficiaries?

SectionⅡ

What is the proposed design of a NAMA (in terms of providing a solution to solving these problems/
contributing to achieving these relevant policy objectives?
How NAMA elements should be designed;
Creation of incentive mechanisms: a new solution to organise the transfer of resources from those who benefit tothose who produce the impact;
Financial mechanism/architecture using results-based approach (money for impact);
NAMA MRV + M&E system, KPIs;
Demonstrate the mitigation benefit of a NAMA.

Which resources and capabilities
exist already?

What resource and capabilities
can be added internally?

Assess current policy, regulatory,
institutional capabilities and financial
resources available for NAMA
against NAMA requirements.

What are the functional requirementsof a NAMA operating entity?

SectionⅢ

What resources and capabilities would a NAMA operating entity need to implement this solution (within a
NAMA framework)?
What resource and capabilities
need to be provided by domestic
and international partners?
Which measures should be taken to
close policy, regulatory, institutionaland financial gaps?
Who will implement these measuresand provide financial and technicalsupport?
What are the costs of operating?
NAMA budget (cost of NAMA actions and activities toachieve the set objectives).

What are the key sources of revenue?
NAMA financial architecture including domestic andinternational sources of finance (state budget, funds,
international donors, user fees, etc.).

What are the measures of success and how are they measured and reported?
Identify KPIs (established with the context of designing the MRV + M&E system).
Source: South Pole Group‘NAMA Toolkit 2.0’, 201521

To present a NAMA for climate-savvy audience (climate policy experts and broad international climate
community, including potential donors), we recommend to use a more technical NAMA Outline template(see below), also designed by South Pole Group. NAMA Outline template is a summary sheet that briefly
describes main NAMA design elements and building blocks. It can be adapted to specific requirements ofa potential donor.
Table 3: NAMA Outline template
NAMA Title
Objective:
Summary
Structure

NAMA objectives: linked to national SD policies
NAMA scope: boundaries of the program
NAMA mitigation actions, enabling activities and related objectives

Eligibility criteria

SectionⅠ

NAMA targets
Integrated MRV + M&E
systemSMART KPIs for: GHG ER; SD impacts; finance; implementation progress, CIP, andtransformational change.

Baseline and Mitigation
Scenarios
Institutional & regulatory
framework
Financial architecture

SectionⅡ

Needs assessment /Risk management
Implementation roadmap
Capacity development
strategy
Source: South Pole Group‘NAMA Toolkit 2.0’
, 2015

SectionⅢ

Integrated NAMA MRV + M&E system
Setting up a credible, accurate and comprehensive MRV + M&E system is one of the key design
elements for achieving an effective NAMA. It is critical for the following reasons:•

MRV + M&E system enables tracking the effectiveness of the NAMA, which in turn allows to finetune its design by addressing the gaps at implementation stage.

•

MRV + M&E system provides a third party, reliable, transparent and independent verification of
impacts (GHG emissions reduction, SD co-benefits, transformational change) that can be trusted by
the partners and donors.

•

MRV + M&E system ensures the alignment of the NAMA with the country GHG emissions reduction,
SD and policy targets, and allows estimating how much the NAMA is contributing to them and how it
is bringing the required transformational change within the sector.

The objective of MRV + M&E system is to define a set of targets, key performance indicators (KPIs), anddescribe the related monitoring, reporting, and verification (MRV) plus monitoring & evaluation (M&E)

22

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

procedures for tracking the progress against them. KPIs will have to follow as much as possible the
SMART principles and be4 :•Specific – define clearly what to measure,•

Measurable – measure the actual value and compare it to the set targets,•Achievable – motivate to reach the targets that are possible to reach,•

Relevant – contribute to the assessment of the overall NAMA performance,•

Time phased – linked to a certain time period.

MRV + M&E of NAMAs, whether unilateral or internationally supported, is a part of international
requirements. However, the system requirements and level of detail and stringency might varydepending on the main source of funding, as it was shown in Table 1 above.

NAMA elements under MRV + M&E system
A starting point for setting up a comprehensive MRV + M&E framework for a NAMA is to figure out what

SectionⅠ

to be measured, reported and verified / monitored and evaluated.
Most NAMA design concepts to date have a“narrow”understanding of the MRV system. They include
only MRV of GHG emission reductions complimented with (often, but not always) MRV of SD impacts ofmitigation actions and MRV of finance (tracking of NAMA support flows), as suggested, for instance, in
GIZ MRV Tool5 .
In our understanding, NAMA developers should go beyond a mere MRV to a comprehensive MRV +M&E system. A NAMA (especially transformational NAMA) requires also a monitoring & evaluation (M&E)
framework that can track its implementation progress, continuous improvement and transformational

SectionⅡ

impact.
The MRV + M&E Tool, which is a part of South Pole’s NAMA Development Toolkit, allows the user totrack the following 6 key aspects of NAMAs:
1. MRV of GHG emissions and emission reductions (MRV of GHG ER);
2. MRV of sustainable development benefits (MRV of SD benefits);
3. MRV of support (M&E of finance);
4. M&E of NAMA implementation progress;

SectionⅢ

5. M&E of continuous improvement processes (CIP);
6. M&E of transformational change.

MRV of GHG emission reductions
There exist a lot of information, guidelines and methodologies on how to MRV GHG emissions and their
reductions for various sectors, for example guidelines of the Intergovernmental Panel on Climate Change(IPCC)6, CDM methodologies, and voluntary carbon methodologies7 . Even though the NAMA aspectsof GHG ER MRV may have a higher degree of flexibility than usual CDM-like MRV, and some specificprovisions regarding the reporting to UNFCCC or third-party independent verification will have to be4

http://www.lltcorp.com/content/kpi-s-m-r-t-rule	GIZ, (2013), MRV Tool: How to Set Up National MRV Systems, Draft 4.1. Retrieved from the website of International Partnership for

5

Mitigation Momentum: http://mitigationpartnership.net/sites/default/files/u1585/mrv-tool-20-10-2014.pdf
6Available at: http://www.ipcc-nggip.iges.or.jp/public/index.html

	South Pole Group is the world’s leading carbon project developer, having achieved over 30 million of CO2eq emission reductions

7

under a variety of standards, which in turn makes it one of the most advanced company in relation to MRV services andtechnologies related to GHG ER.

23

defined specifcially under the NAMA context, there is relative clarity of what this would involve.
On the other side, however, not much has been said about a concrete way of assessing other NAMA
impacts beyond carbon reduction, which in turn results in negligence of these impacts in NAMA design,
or weaker indicators and MRV system provisions. The sections below will therefore focus and provide
more details on how an integrated MRV + M&E system should track the non-GHG related components of
the NAMA.

MRV of sustainable development co-benefits
Measurement and reporting of the sustainability benefits is essential to assess NAMA’s transformational
impact. Moreover, sustainable development co-benefits of a NAMA can be a decisive factor forinternational donors and domestic policy makers in prioritizing NAMAs for financing and implementing.
A few methodologies exist to track SD benefits of mitigation actions, for example Gold Standard SD
Matrix8 or CDM SD Tool9. However they have certain limitations when applied for a NAMA. The mostcomprehensive methodology, which has been recently developed by South Pole Group for UNDP and

SectionⅠ

aimed specifically for NAMAs, is the NAMA Sustainable Development Tool (NAMA SD Tool10). It has
been designed to assist NAMA developers and policy makers to evaluate the sustainable development
performance indicators and sustainable development results achieved over the lifetime of the NAMA.
The NAMA SD Tool can also help to demonstrate to external parties a level of commitment and NAMA
impacts in relation to co-benefits, and to give donor institutions confidence that their support is being
utilized effectively.
The indicators in the tool are linked to Sustainable Development Goals (SDGs) and are grouped underfour domains: 1) environmental conservation, 2) economic opportunities, 3) growth and development

SectionⅡand 4) social welfare. The SD benefits are identified and broken down across the specific impacts foreach of the domains. Then for each impact the relevant parameter or measuring indicator is defined, as
well as its relative importance, to evaluate the co-benefits of each intervention for a specific monitoring
period. This allows to establish a baseline, a BAU scenario, and a“high impact”scenario for eachindicator. Target values can be set for each impact in relation to specific NAMA activities to be able tomonitor, report and verify the achieved results and how they compare to the targets.
Using the NAMA SD Tool, NAMA developers can choose the indicators that are most relevant to theirdomestic policy objectives, to the type and nature of the desired mitigation actions, and to various
factors affecting the practicality and feasibility of MRV activities.

SectionⅢ

The tool is universal and standardized yet flexible enough to ensure compatibility and adaptability
across a variety of possible NAMA designs and national development goals. It has already been provenin a number of NAMA design projects, including NAMA for Rural Electrification with Renewable Energy
1112
in Gambia , Energy Efficiency NAMA in the Garment Industry in Cambodia and NAMA for Rural

Development in Namibia13. Figure 2 shows how SD impacts of mitigation actions and their MRV are
Gold Standard, (2011), Guidance on Sustainability Assessment. Retrieved from: thttp://www.goldstandard.org/wp-content/

8

uploads/2011/10/Annex_I.pdf
CDM Sustainable Development Tool: http://cdmcobenefits.unfccc.int/Pages/SD-Tool.aspx

9	South Pole, UNDP, (2014), Sustainable Development Tool. Retrieved from: http://www.undp.org/content/undp/en/home/librarypage/10

environment-energy/mdg-carbon/NAMA-sustainable-development-evaluation-tool.html
	UNDP, South Pole Group, (2015), NAMA Design Document for Rural electrification with Renewable Energy in the Gambia. Retrieved

11

from: http://www.undp.org/content/dam/undp/library/Environment%20and%20Energy/MDG%20Carbon%20Facility/The%20
Gambia%20NAMA%20final%202.pdf
	UNDP, (2015), Energy Efficiency NAMA in the Garment Industry in Cambodia. Retrieved from: http://www.undp.org/content/dam/

12

undp/library/Environment%20and%20Energy/MDG%20Carbon%20Facility/Cambodia%20NAMA%20final.pdf
	UNDP, (2015), NAMA Rural development in Namibia through electrification with Renewable energies. Retrieved from: http://www.

13

undp.org/content/dam/undp/library/Environment%20and%20Energy/MDG%20Carbon%20Facility/NAMIBIA_final%20NAMA.pdf

24

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementationreflected in the tool.

2: A snapshotof suggested
MRV
for selected
SD impacts
in NAMA
Tool(example
Figure 2: Figure
A snapshotof suggested
MRV forselected
SD impacts
in NAMA
SD SD
Tool(exampleofof
Renewable
Energy NAMA in Gambia)

SectionⅠ
SectionⅡ

Source: South Pole Group for UNDP, 2015

Renewable Energy NAMA in Gambia)

One should keep in mind, however, that the MRV of non-GHG related impacts can impose further

Source: South
Pole Groupfor UNDP,
2015
burdens and extra costs on those involved
into NAMA
designand operation.
In Vietnam, for example,
stakeholder consultations for developing the cement sector NAMA showed that the cement plants

Oneshouldin mind,however,the MRVof non‐GHG
relatedimpacts
impose further
burdens
and thekey
line keep
ministries
don’t havethat
enoughmotivationandcapacity
for canmonitoring
and reporting
additional,
non-GHG
relateddata. They
addingnon-GHG In
impacts
in forgeneralandstakeholder
especiallyand extra
costs onthose involved
into consider
NAMA designand operation.
Vietnam,example,SectionⅢ

SD benefits to NAMA sector-level and entity-level MRV as a burden that should be avoided or at least

consultations for developing the cement sector NAMA showed that the cement plants and the key line

minimized.

ministries
don’tbehaveenoughand capacity
for monitoring
and reporting
additional,
This barrier
shouldtaken
intomotivationconsideration
when designing
an MRV+ M&E system
for non‐GHG
the NAMA.
Special awareness raising activities for NAMA actors to explain the importance of including co-benefits

related data. They consider adding non‐GHG impacts in general and especially SD benefits to NAMA

into NAMA design and capacity development measures for their MRV should be taken. Eventually

sector‐level
andtoentity‐level
MRV as aincentives
burden thatforshouldbe avoided
or at least minimized.
policymakers
haveprovide various
the sector
to implement
mitigation options in a waythat harnesses SD benefits and provide incentives to report data not only on GHG emission reductions,This barrier should be taken into consideration when designing an MRV + M&E system for the NAMA.

but on SD impacts as well.

Special awareness raising activities for NAMA actors to explain the importance of including co‐benefits
MRV of support (M&E of finance)
into NAMA design and capacity development measures for their MRV should be taken. Eventually

MRV of support is related to measuring, reporting and verifying flows and effectiveness of provided

policymakers
haveto providetransfer
various incentives
for thedevelopment
sector to implement
mitigation
optionsMRV
in a way
financialresources,
technology
and capacity
activities
for a NAMA.
of
supportis harnesses
necessary
that
SDto:
benefits and provide incentives to report data not only on GHG emission reductions,but on SD impacts as well.

•

keep track of contributions for a NAMA, their delivery and spending;•build trust among NAMA supporters, including private sector, through improved transparency and

MRV of support (M&E of finance)25accountability of NAMA financial flows;•

provide a clearer overview of support flows, trends, sources, and purposes.

There are no international requirements for MRV of support yet. Indicators are usually determined by thetype and nature of support and the donor’s requirements, either domestic or international. Based on our
experience, MRV of support should include information on:•

forms of support (finance, capacity development, technical assistance, technology transfer),•

purpose of support (specific NAMA mitigation actions or enabling activities),•

scale of contributions, their sources and instruments;•

disbursement of support, scale, channels and instruments;•

effectiveness (cost-benefit impacts in relation to GHG mitigation and SD benefits and leverage
effect for catalysing domestic private finance). South Pole Group’s approach is to use a set of KPIs
developed around result-based finance consideration. Verification of support effectiveness should

SectionⅠ

involve comparing MRV data from contributors and recipients of support.

M&E of NAMA implementation progress
To measure the progress of NAMA implementation, a set of KPIs tracking 1) policy-level objectives, 2)
the level of uptake/implementation status of specific mitigation actions and readiness activities and 3)
setting up NAMA framework has to be developed.
Tracking overall NAMA objectives

SectionⅡ

KPIs should relate to the high-level objectives of the NAMA, which are usually linked to the existing
policy targets. Examples of such KPIs include: new renewable energy installed capacity, MW (for arenewable energy NAMA); share of alternative fuels in the total energy mix, % (for an industrial sector
NAMA); total forest cover, % (for a forestry NAMA).
Tracking individual NAMA mitigation actions and enabling activities
The implemented actions/activities under the NAMA must be assessed against what has been planned.
The KPIs will help to measure more precisely how the set targets linked to NAMA actions and activities
are achieved. Indicators can be quantitative or qualitative (but ideally should follow the SMART rule). For

SectionⅢ

example, if the NAMA is about creating solar plants and bridging capacity, KPIs will be linked to“x plants
built and operational”and“y workshops carried out”or“average score after the workshop completionon the technical test is z% higher than before taking it”.
Tracking establishment of NAMA framework
The progress in setting up a supporting NAMA framework should also be measured. For example,
the establishment of a NAMA Operating Entity can be assessed through such indicators as staffing
and funding of the NAMA entity, or through a capacity/skills assessment of the NAMA entity staff. To
show the degree of advancement in setting up the MRV + M&E system, NAMA developers can use theparameters evaluating a number of monitoring sites, templates for the reporting system, verification
process, operation of knowledge management/IT system, etc. To show the level of uptake of a given
incentive, or the level of replication or scale-up of the mitigation actions, of course, an effort on data
retrieving and management will be needed.

M&E of continuous improvement processes (CIP)The MRV + M&E system can also serve the purpose of tracking if the NAMA implementation

26

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementationis continuously improving. To be able to do that, there should be KPIs that can track that theimplementation of a NAMA becomes progressively more effective. This means that, over time, a NAMA
will have to create more impact in terms of GHG emission reductions and SD benefits for the sameamount of finance provided, or in less time. This is part of the continuous improvement process (CIP)
methodology and management system.
It is worth mentioning that beyond improving the efficiency, speed or volume of the NAMA
implementation, the MRV + M&E system itself can also be continuously improved throughout NAMA
implementation as per the following examples (GIZ, 2013):
Measurement/Monitoring:•

Increasing efficiency of data collection and processing;•

Measuring new data previously not available;•

Improving methodologies for measuring;•

Revising baseline assumptions.

SectionⅠ

Reporting:•

Improving efficiency through developing standardized tools and guidelines.

Verification•

Developing an improvement plan based on the feedback from NAMA participants and third party
reviewers;•

Developing QA/QC procedure to improve cost and time efficiency of verification.

SectionⅡ

M&E of transformational change
M&E of transformational change is important to evaluate how the NAMA is indeed bringing a paradigm
shift/transformational impact across the sector where it is being developed and ultimately implemented.
Transformational change is a process that happens across multiple dimensions of a given system (inthis case, the NAMA sector). As we have seen, some NAMA elements, e.g. GHG emission reductions, theeconomics dimensions and some ecological aspects, can be measured quantitatively; others can best
be described in qualitative terms, e.g. rules, roles and power relations within the institutions or like how
people perceive the new mitigation solutions, what NAMA co-benefits they believe are important to themSectionⅢ(BEPA, 2011).
Thus, transformational change involves not only changes in the outcomes, but also changes in theprocesses with which these outcomes are achieved and how people perceive and therefore support(or reject) such changes; the feedback loops and path dependencies that impact how stocks and flowsof the system are connected and influence its behaviour. Without identifying and controlling these
intangible drivers, the NAMA intervention will likely not generate the intended transformational impact
and might also run into unexpected barriers, resistance, or generate unintended side-effects.
As a consequence, transformational change of the NAMA can be measured only in part, and should also
be qualitatively assessed across the following three dimensions:•Technical-economic-ecological aspects,•

Socio-political aspects,•

Cultural and behavioural aspects.

The indicators for the assessment (especially socio-political and cultural) will have to be defined in27accordance to the specific NAMA context. They can describe such aspects as the intensity of change,
drivers of change and time frames for change.
South Pole Group recommends the use of 3 tools to assess, track progress and actually carry outtransformational change:
1. Systems analysis and mapping. It’s a set of maps that have to be drawn around the proposedintervention and before it takes place, then fine-tuned after the piloting and carried through fullscaled operation. Examples of such maps include:•

NAMA institutional set-up organigrams – the current arrangements “as(is”) vs. recommended “to
(
be”),

•

NAMA financial architecture map,•

NAMA risk management matrix that identifies the core problems, barriers and challenges, anddefines a strategy to overcome them,•Casual loop system map describing cause and effect relationships and dynamics of theSectionⅠ

intervention.
Systems analysis requires close involvement with a wide range of stakeholders to build a sharedunderstanding of the nature and dynamics of the intervention, to ensure the quality of the overall
NAMA design and to stimulate organizational as well as individual learning processes, which are all
prerequisites to unlock a true paradigm shift in the sector.
2. Phase model. It’s a visualization tool for identifying the state of the system you want to change(i.e. the sector in which NAMA is to be implemented), assuming that the intended intervention (i.e.
the NAMA) should be geared towards transforming development approaches into sustainable,
specifically low-carbon and resilient pathways.

SectionⅡ

The phase model is helpful especially for structuring and facilitating group discussions, to develop
and agree on common views, particularly in relation to identifying the current state and the
direction of the intervention progress. It builds on the assumption that every transformative processa system undergoes can be depicted as a (stylized) S-curve, that could be broken down into phases(which are not incremental steps, but rather overlapping and continuous phases of a process). The
phase model can help to identify appropriate actions that correspond to the specific aspects ofdifferent phases of transition processes.
The phase modelling should be carried out in close relation and right after systems analysis. It is

SectionⅢ

proposed therefore to be included as an additional item to be discussed openly through the same
consultative process and with the same periodicity as the system analysis and mapping exercise
described above, and as an integral part of the NAMA Stakeholder Engagement Strategy.

28

of transition processes.
The phase modelling should be carried out in close relation and right after systems analysis. It is
NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

proposed therefore to be included as an additional item to be discussed openly through the same

consultative process and with the same periodicity as the system analysis and mapping exercise
described above, and as an integral part of the NAMA Stakeholder Engagement Strategy.
Figure 3: Phase model

Figure 3: Phase model

SectionⅠ

Source: UNDP-DTU Partnership, 2014, adapted from other sources

Source: UNDP‐DTU Partnership, 2014, adapted from other sources
3. Backwards mapping. The backwards mapping is a process planning tool that uses a Theory of
Change (ToC) approach to allow for a comprehensive, holistic and multi-stakeholder methodology

SectionⅡfor strategic planning, monitoring and evaluation. At the outset and at the heart of a ToC analysis
is the definition of the“big picture”, a long-term vision or goal of what is ultimately to be achieved.
Then, working backwards from this goal, pathways to reach that goal are outlined (this process
is called“backwards planning”or“backwards mapping”). The tool breaks down long-term vision
into more immediate, concrete actions, developing a portfolio of activities and actions over atimeline, but goes beyond the typical logical framework approach and tries to reflect synergies
and interactions across activities and their joint contribution to the common overarching objective.
This tool therefore facilitates the identification of collaborative approaches with other development

SectionⅢ

organizations, government agencies or other stakeholders, which are crucial elements in thecontext of NAMAs.
South Pole Group usually proposes to carry out the backwards mapping at the end of the NAMA
piloting phase to define the specific programming of each NAMA implementation phase. This
exercise should be repeated at the end of each implementation phase to facilitate and inform theprogramming of the next period.

Key components of the MRV + M&E system
The key components of MRV + M&E system are summarized in the following Figure 4. Although it
is derived from an inventory workbook, so it’s focusing on the MRV of GHG ER, it could be equallyapplicable for a more comprehensive MRV + M&E system that involves and takes into account all the
aspects and considerations that we have included above.

29

SectionⅠ

Figure4: KeycomponentsofofMRV
MRVsystem
systemFigure4: Keycomponents

Source: Authors adaptation based on USEPA, 2011

Source: Authors adaptation based on USEPA, 2011
Institutional arrangements

Institutional arrangements

A comprehensive NAMA MRV + M&E system will require integration of data from a variety of public andprivate sector institutions. Therefore, institutional arrangements for MRV + M&E system should:

SectionⅡ

A comprehensive NAMA MRV + M&E system will require integration of data from a variety of public and•Formalize
systemfor dataTherefore,
collection
and QA/QC
procedures,roles
andshould:
responsibilities ofprivate sector
institutions.
institutionalarrangements
forincluding
MRV + M&E
systementities;•Formalize
for dataandcollection
and capacity;
QA/QC procedures, including roles and responsibilities of
Build-incountrysystem
institutional
technical•

Ensure institutional memory and long-term sustainability of MRV + M&E framework and enhanced

entities;

efficiency of the processes;•

Meet
UNFCCC
reportingrequirements.

Build‐in country
institutional
and technical capacity;

SectionⅢ

In our view,for countries
withmemory
the complex
institutionallandscape,the+most
approach
is when
Ensureinstitutional
and long‐termsustainabilityof MRV
M&E efficient
frameworkand enhanced
a line ministry in charge of operation of a specific sectoral NAMA is responsible for collecting data

efficiency of the processes;

and drawing up an inventory of activities coming within its responsibility. At the same time, there is an
overarching country-level entity that defines standard reporting rules aligned with the international
Meet UNFCCC reporting requirements.
(UNFCCC) reporting requirements, supports line ministries and collects information from for them for
the National
Communications
and the
Biennial
UpdateReports(BURs)theandthensubmitsthese reports
In our view,for countries withcomplexinstitutionallandscape,mostefficientapproach
is when ato
UNFCCC.

line ministry in charge of operation of a specific sectoral NAMA is responsible for collecting data andIn Indonesia, for example, Ministry of Environment is responsible for coordinating the preparation of GHG
emissionsinventories
and developing
guidelines
methodologies
of MRV
of samemitigation
At thedrawing
up an inventoryof activities
coming andwithinits responsibility.
At thetime, actions.
there is ansame time, each ministry is responsible for the monitoring of data for the respective NAMA. The Help-

overarching country‐level entity that defines standard reporting rules aligned with the international

Desk of the Climate Change National Coordination Team – the inter-ministerial body coordinating climate

reportingrequirements,
supports
linecountry
ministries
and collects
informationfrom forfor thechange(UNFCCC)
mitigation
and adaptation
actionsin the– provides
technical
supportto themline ministries,
as wellNational
as to therepresentatives
subnational
government
agencies
for thesector-level
NAMA MRV.
Communications
and from
Biennial
Update Reports(BURs) andthen submits
thesereports to UNFCCC.

30

Methods and data

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation

The guidance and methodology for preparing the national GHG emissions inventory is available in theform of IPCC guidelines for various sectors. The methodology for MRV + M&E of other, non‐GHG related
impacts of a NAMA is explained in previous section. Based on national circumstances, countries areencouraged to use whatever methods are available and appropriate. The methodology will define theMethods and data
scope/boundary, key metrics/indicators for baseline setting (ex‐ante) and subsequent monitoring (ex‐The guidance and methodology for preparing the national GHG emissions inventory is available in thepost).

form of IPCC guidelines for various sectors. The methodology for MRV + M&E of other, non-GHG related
impacts of a NAMA is explained in previous section. Based on national circumstances, countries areprocedures
encouraged to QA/QC
use whatever
methods are available and appropriate. The methodology will define thescope/boundary, key metrics/indicators for baseline setting (ex-ante) and subsequent monitoring (expost). The QA/QC procedures encompass the reporting and verification requirements. They should include, but

notprocedures
limited to, the following aspects:
QA/QC
The QA/QC
procedures
the reportingand verification requirements. They should include, butDatagathering,encompass
input and handlingmeasures;not limited to, the following aspects:Data documentation;
Data gathering, input and handling measures;• documentation;
Calculations;Data•

Calculations;
Methods
and assumptions,
Methods
and assumptions,•

SectionⅠ•

A country could consider organizing a wide public consultation process. In addition to a web process

A country could consider organizing a wide public consultation process. In addition to a web process

national
and potentiallyinternational– stakeholderscould
couldprovide
provide written
written comments),(where(where
national– and –potentiallyinternational– stakeholders
comments),public
publicsessions
couldcould
be held
in different
parts
ofoftheinorderordertoto
ensureparticipation
as as
wide
as
sessions
be held
in different
parts
thecountry
country inensureparticipation
as widepossiblepossible (this would be the national version of the facilitative exchange of views).

(this would be the national version of the facilitative exchange of views).

SectionⅡ

Figure5: QA/QC
processfornational
Figure5: QA/QC
processfornationalMRV
MRVsystem
systemSectionⅢ

Source: Authors adaptation based on UNFCCC, 2014

Knowledge management system (IT platform)
In order to ensure proper management of the vast quantity of data involved in the MRV + M&E process,an IT-based knowledge management system will be required. An IT platform will:31

•

Aid the collection and transfer of data/information across entities and geographies;•

Ease the performance of QA/QC function;•

Expedite report preparation;•

Enable archiving of data/information; and•Facilitate access to the relevant stakeholders.

In countries with different line ministries providing/possessing activity data for different sectors,
and many different sectors undertaking different NAMAs, a standardized specification for electronic
reporting is advisable. It will enable cost-effective leverage of existing systems and consolidation ofmonitoring data at the national level.
The European Union faced a similar problem, when their EU ETS was already running in its second
phase, and many member states had developed their own IT infrastructure to process the yet to beharmonized MRV cycles. Once the Union decided to progress towards a unified MRV standard andintegrated registry, it saw itself confronted with the reality of a fragmented IT landscape and many

SectionⅠ

different systems which were already in place and being used by the different member states. The
EU ETS addressed this challenge by defining a standard for electronic reporting, called the EU ETSreporting language.

Capacity development plan
Capacity development is the process of strengthening the abilities of individuals, organizations andsocieties to make effective use of the resources, in order to achieve their own goals on a sustainablebasis. In the context of setting up a national MRV + M&E system and sustaining it would require bridging

SectionⅡof the capacity gap through a detailed training plan. This capacity building program will be essential
to improve the limited know-how about climate change and related MRV + M&E requirements of theinvolved individuals and organizations. Further, it also helps its continuous improvement.

Lessons learnt and way forward•

The transformational NAMA should bring a paradigm shift; this is a structural change that alters

SectionⅢ

the interplay of institutional, cultural, technological, economic and ecological dimensions of thesector in which it is being implemented, unlocking new development paths, social practices, andworldviews, and particularly opening up new opportunities for low-carbon, sustainable developmentin the sector.
•

For a NAMA to have the transformational impact, it will be crucial to understand the domestic
policy objectives that the NAMA implementation would support, and what additional sustainable
development benefits (co-benefits) it can bring to the various stakeholders.

•

The importance of NAMA GHG emission reductions and SD co-benefits is not the same for different
stakeholders. Companies implementing mitigation actions are mostly interested in economic
benefits, therefore various incentives (regulatory, financial, technical support, etc.) will be needed tomotivate them to take additional actions that have climate change mitigation and other SD impacts.
On the other side, co-benefits could be a key concern for donors, line ministries, local communities
and NGOs. Due to these different perceptions, the identification of NAMA co-benefits and who will
benefit from them (NAMA beneficiaries) should be undertaken at early stages of NAMA design, andthese beneficiaries should be involved into NAMA development and supporting its implementation
since the first steps.

32

NAMA integrated“MRV + M&E”system to track transformational impacts for NAMA implementation•

The stakeholder engagement strategy and the presentation of the NAMA concept should becustomized and adapted to the various stakeholder groups. In order to receive their buy-in, it will
be key to show them clearly how a NAMA creates outcomes that are relevant to them, whether
these are achieving domestic policy objectives, developing new business opportunities, improving
the living conditions and welfare of the local communities, etc.

•

A comprehensive, ambitious yet realistic NAMA that wants to achieve a transformational change
in the sector in which it will be developed should have an integrated measuring, reporting andverification plus a monitoring and evaluation (MRV + M&E) system with a set of defined key
performance indicators (KPIs)/metrics to track GHG emission and other impacts (SD co-benefits,financial support, implementation progress, continuous improvement, and transformational change).

•

Obtaining the data required by an integrated MRV + M&E system usually goes beyond the existing
practices of NAMA implementing entities. The gaps in data needs and practices related to MRV+ M&E of non-GHG emission impacts are significantly larger than for MRV of emissions. Closing
these gaps will require extra resources, skills and commitments from NAMA beneficiaries/users,
line agencies, and central coordination entities. This will imply the provision of additional technical

SectionⅠ

assistance, in the form of training, incentives and regulations from the side of authorities to put the
proposed MRV + M&E system in place.

References
Publications

SectionⅡ

European Union, European Commission, and Bureau of European Policy Advisers (BEPA), (2011),“Empowering People, Driving Change: Social Innovation in the European Union. Luxembourg: EUROP”, http://ec.europa.eu/bepa/pdf/publications_pdf/social_innovation.pdf
GIZ, (2013),“MRV Tool: How to Set Up National MRV Systems, Draft 4.1.”, http://mitigationpartnership.
net/sites/default/files/u1585/mrv-tool-20-10-2014.pdf
Gold Standard, (2011),“Guidance on Sustainability Assessment”, http://www.goldstandard.org/wpcontent/uploads/2011/10/Annex_I.pdf
IISD, (2013),“Developing Financeable NAMAs. A Practitioner’s Guide”, http://www.iisd.org/pdf/2013/

SectionⅢ

developing_financeable_namas.pdf
International Partnership on Mitigation and MRV, (2014),“Global Good Practice Analysis on LEDS,
NAMAs and MRV – Mexico – Building a comprehensive national MRV framework”, http://
mitigationpartnership.net/sites/default/files/ws14098_GPA_12-Seiter_Summary_WEB.pdf
IPCC, (1996),“a) Revised 1996 IPCC Guidelines for National Greenhouse Gas Inventories; and b) IPCC
Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories”,
http://www.ipcc-nggip.iges.or.jp/public/index.html
South Pole Group, (2015),“NAMA Development Toolkit 2.0”
South Pole Group, (June 2011),“How to Develop a NAMA by Scaling-Up Ongoing Programmatic CDM
Activities. On the Road from PoA to NAMA”, https://www.southpolecarbon.com/public/SouthPoleKfW_PoA_to_NAMA.pdf
South Pole Group, UNDP, (2014),“NAMA Sustainable Development Tool”, http://www.undp.org/content/
dam/undp/library/Environment%20and%20Energy/MDG%20Carbon%20Facility/NAMA_SD%20
tool_complete.xls
UNDP, (2015),“Energy Efficiency NAMA in the Garment Industry in Cambodia”, http://www.undp.
org/content/dam/undp/library/Environment%20and%20Energy/MDG%20Carbon%20Facility/

33

Cambodia%20NAMA%20final.pdf
UNDP, (2015),“NAMA Rural development in Namibia through electrification with Renewable energies”,
http://www.undp.org/content/dam/undp/library/Environment%20and%20Energy/MDG%20
Carbon%20Facility/NAMIBIA_final%20NAMA.pdf
UNDP, South Pole Group, (2015),“NAMA Design Document for Rural Electrification with Renewable
Energy in the Gambia”, http://www.undp.org/content/dam/undp/library/Environment%20and%20
Energy/MDG%20Carbon%20Facility/The%20Gambia%20NAMA%20final%202.pdf
UNEP-DTU Partnership, (2014),“From Theory to Practice: Understanding Transformational Change
in NAMAs. NAMA Partnership Working Group on Sustainable Development (WG-SD) and theInternational Partnership on Mitigation and MRV”
, http://mitigationpartnership.net/sites/default/
files/unep_dtu_nama_hr_web.pdf
UNESCAP, (2015),“Valuing the Sustainable Development Co-Benefits of Climate Change Mitigation
Actions. The Case of the Waste Sector and Recommendation for the Design of NAMAs”, http://
www.unescap.org/sites/default/files/Valuing%20the%20Sustainable%20Dev%20Co-Benefits%20

SectionⅠ(Final).pdf
UNFCCC, (2007),“Bali Action Plan”, http://unfccc.int/resource/docs/2007/cop13/eng/06a01.pdf
UNFCCC, (2014),“Measurement, Reporting and Verification Framework for Non-Annex I Parties under
the UNFCCC”, Twelfth Workshop on Greenhouse Gas Inventories in Asia (WGIA12) and the GHG
inventory workshop , Bangkok, Thailand, 4-7 August 2014, Bangkok, Thailand.
USEPA, (2011),“Developing a National Greenhouse Gas Inventory System: Template workbook.
Complete Template Workbook”, http://www.epa.gov/climatechange/Downloads/EPAactivities/

SectionⅡ

Complete%20Template%20Workbook.doc

Websites“CDM Sustainable Development Tool”, http://cdmcobenefits.unfccc.int/Pages/SD-Tool.aspx“KPI S-M-A-R-T principles”, http://www.lltcorp.com/content/kpi-s-m-r-t-rule“NAMA Registry”, http://www4.unfccc.int/sites/namax/SitePages/Home.aspx
Secretariat of the United Nations Framework Convention on Climate Change (UNFCCC), http://unfccc.

SectionⅢ

int/focus/mitigation/

34

SectionⅡ

Case studies

2.1
By

CTCN technical assistance as one of supporting schemes for NAMA
implementation – a case study and prospect of further development
Takahiro Murayama
Global Environment Centre Foundation (GEC)

Background
The Climate Technology Centre and Network (CTCN) – the operational arm of the UNFCCC Technology
Mechanism – promotes the accelerated transfer of environmentally sound technologies for low carbon
and climate resilient development at the request of developing countries (CTCN 2015a). As described in
the Second Edition of the NAMA Guidebook (OECC 2015), the CTCN works as one of various schemes
which contribute to developing countries in preparing, elaborating, and implementing their NAMAs withregard to climate change technology development and transfer. The CTCN does not provide funding
directly to developing countries, but rather aims to support the development and transfer of mitigation

SectionⅠ

and adaptation technologies in developing countries through expert technical assistance (CTCN
2015b). Developing countries could make requests through their National Designated Entities (NDEs)
to the Climate Technology Centre (CTC), and responses to those requests would be categorised into a“quick response”(less than USD50,000) or a“response project”(up to about USD250,000) depending
on a scale and a scope of each request. The quick response would be provided by the CTC together
with its 13 Consortium Partners from all over the world while the response project would be deliveredby organisations from the Climate Technology Network (CTN) with supervision of the CTC. There are
62 organisations registered as the CTN members which have various expertise and experiences in

SectionⅡaddressing climate change mitigation and adaptation, including Global Environment Centre Foundation(GEC), Overseas Environmental Cooperation Center (OECC), Research Institute of Innovative
Technology for the Earth (RITE), Japan Environmental Sanitation Center (JESC) and Institute for Global
Environmental Strategies (IGES) from Japan as of 20 August 2015 (CTCN 2015c). The CTCN started
to receive requests for the technical assistance since early 2014 and there have been 32 requests
formally submitted, consisting of 20 mitigation, 9 adaptation and 3 cross-cutting (having components ofboth mitigation and adaptation) requests (CTCN 2015d). Such information is open to the public in thewebsite of the CTCN while more requests are in the pipeline to be elaborated among the NDEs and theSectionⅢ

CTC.

How the CTCN and NAMAs are linked
Some noticeable linkages between the CTCN and NAMAs could be found in COP decisions and official
documents of the CTCN. The CTCN is designed to take into account NAMAs when it provides thetechnical assistance as clearly stated in the modalities and procedures of the CTCN elaborated andadapted in the COP19 sited in the Box 1 (UNFCCC 2013).

35

Box 1: NAMAs in the modalities and procedures of the CTCN
“In performing the functions described in decision 1/CP.16, paragraph 123(a)(i–iii) and (c)(iii), withregard to the management of requests from developing country Parties submitted through their
NDEs, the modalities will consist of, inter alia, the following:(a) Support countries in developing draft proposals into fully articulated proposals, building on theirtechnology needs assessments (TNAs), national adaptation programmes of action (NAPAs), othernational climate change strategies including research, development and demonstration (RD&D)
related activities, to enable implementation and action, also in the form of nationally appropriate
mitigation actions and national adaptation plans, in collaboration with the financial mechanism of
the Convention, international financial institutions, and the private sector”.

SectionⅠ

Reflecting upon the modalities and procedures, the prioritization criteria of the CTCN (2013) for
responding to requests from developing countries indicates that the Director of the CTCN shall ensurethat all requests for assistance approved by the CTCN demonstrate that the support provided willcontribute to increased resilience and /or mitigate emissions, and is aligned with national plans, which
include NAMAs. The CTCN operating manual for NDEs (CTCN 2015e) also suggests that the NDEs shallcoordinate with other national focal points of UNFCCC Mechanisms including National Focal Points
for NAMAs, to enhance effectiveness and scope of the CTCN interventions and leverage international
funding for adaptation and mitigation activities. Consideration of these other national planning processes

SectionⅡ

would help ensure that the request is in line with national development and climate strategies.

Case study
There is one ongoing CTCN technical assistance to support implementation of NAMAs, which is“Development of a Mechanical-Biological Treatment (MBT) pilot project of the Waste NAMA”requested
by Colombia (CTCN 2015d). There are also four technical assistance requests which are at a stage

SectionⅢof planning its NAMAs or indicate certain consideration for NAMAs in their requests, namely“Green
Cooling Africa Initiative (GCAI)”jointly requested by Ghana, Kenya, Mauritius and Namibia,“Technology
Guidance and Support for Conducting the Technology Needs Assessment (TNA)”by Pakistan,“Assessment and identification of technology needs and best practices for reducing the GHG emitting
potential of the energy sector in Mauritius”and“Building Capacity for promoting a greenhouse gas
mitigation strategy for the proposed power generation facility in Mauritius”both by Mauritius. For a casestudy in this section, the technical assistance requested by Colombia is selected to illustrate the support
provided by the CTCN for concrete implementation of NAMAs.
In Colombia, the waste sector produces 10 million tCO2e which is equivalent to 5.7% of its total
greenhouse gas (GHG) emissions, and such emissions are to grow significantly under the businessas-usual scenario (CCAP 2013). There is also an expectation that economic values of solid waste
streams are not fully utilised and thus could be better maximised with various means such as recycling,
composting and converting to fuel (CCAP 2013). However, improvement of the situation has been of
great difficulty due to an absence of a coordinated national solid waste management policy as well
as a city-level action plan for integrated waste management policies in Colombia (CTCN 2014). Given

36

CTCN technical assistance as one of supporting schemes for NAMA implementation – a case study and prospect of further development

the issues associated with the waste management as illustrated above, Colombia has been aiming
to promote a Solid Waste Sector NAMA so as to transform the waste sector with realising both GHG
emission reductions and maximising generation of economic values. This would in turn contribute to
Colombia’s national sustainable development objectives.
As a part of the Solid Waste Sector NAMA, introduction of new policies and technologies has been
considered, and the Colombian government recognised the Mechanical-Biological Treatment (MBT)technology could effectively address the issues in the sector. The MBT is used to process waste
diverted away from landfills and produce commodities such as recyclables, compost and refuse derived
fuel (RDF) that could be sold to cement kilns or other industrial consumers to replace fossil fuelsconsumptions. The use of RDF could contribute to a dual GHG emission reductions benefit by reducing
landfill emissions and avoiding emissions from combustion of fossil fuels. With the concrete benefits
associated with the introduction of the MBT, the government of Colombia planned three phases tointroduce such MBT facilities throughout Colombia – construction of the facility in a city of Cali in thefirst, in cities of Barranquilla, Medellín and Bucaramanga in the second, and in any other Colombian cities

SectionⅠ

interested in participating in the NAMA in the third phase.
Starting the implementation of the Solid Waste Sector NAMA, the Colombian government has requested
the CTCN to conduct the technical assistance to prove the technical and financial feasibility of theselected technology, the MBT as a municipal solid waste (MSW) treatment plant, as a pilot project inCali, and to help facilitate the implementation of the project. This request from Colombia is one of themost earliest one submitted to the CTCN, and the request was accepted as two-step implementation:
the quick response at first and the response project afterwards. In the response plan developed by

SectionⅡ

the CTCN and its partner organisations, the quick response is planned to verify the feasibility of the
MBT plant as the alternative MSW management technology for Cali as well as to secure initial sourcesof funding to implement the project (CTCN 2014). Outputs that this quick response aims to deliver
include 1) the verified feasibility of the MBT in Cali, 2) the elaborated institutional, commercial andmanagement structures of deploying the technology taking into account the needs of key stakeholder
groups including an informal sector, and 3) the elaborated business model of the installation of the MBT
with developing a plan to access finance as well as securing initial sources of funding. After successful
completion of the quick response, the response project aims to provide more specific support to theSectionⅢ

pilot plant installing the MBT technology based on the issues identified within the quick response. The
response project also includes activities for capacity building for operational management of the plant,
as well as additional studies for facilitating replication and upscaling of such technology to other cities inColombia for the further phases of the Solid Waste Sector NAMA (CTCN 2014).
As a result of the technical assistance conducted by the CTCN, the response plan expects various
benefits including: increased private investments in the MBT technology as an alternative treatment
method, strengthened national confidence for the technology, job creation, more efficient waste sector,
and a successful model of the alternative waste treatment method to be replicated in the other region(CTCN 2014). This technical assistance is currently under implementation and it is expected that theresults and outcomes are not open to the public yet until the evaluation of the project by is finalised.
Analysis of such results and the outcomes would be of significant use for upscaling and replicationof the project, and the lessons learned should be effectively disseminated as the first NAMA-related
technical assistance conducted by the CTCN.

37

The Way Forward
Since its establishment, the CTCN has been expected as a vehicle to provide technical support fordeveloping countries, and the number of the technical assistance requests to the CTCN has been
growing. Therefore the number of the requests to the CTCN associated with implementing NAMAs isalso expected to increase significantly in the near future, given the limited number at this stage. With
this regard, comprehensive analysis should be made when such type of request is to be increased.
Meanwhile, NAMAs might not have been fully recognised by the NDEs in developing countries that are
responsible to select, prioritise and in turn submit their requests to the CTCN yet. Given this situation,broader and deeper recognition of NAMAs should be better raised as an important source of information
forming their requests. The developing country NDEs would better off by considering if their technicalassistance requests are in line with their NAMAs before submitting to the CTCN so as to enhancesynergies and coherence among different institutional arrangements for mitigation actions. Also indeveloping countries there should be stronger consideration on their NAMAs in the identification phase

SectionⅠof the requests to the CTCN. These could be addressed with enhanced coordination among the NDEs
and National Focal Points for NAMAs in developing countries as suggested by the CTCN (CTCN 2015e).
The CTCN side could also make a stronger signal for developing country NDEs to take into accounttheir NAMAs by enhancing its consideration of NAMAs when prioritising mitigation-related technicalassistance requested by the NDEs. Promoting such stronger linkages between the CTCN and NAMAs
with such measures could enhance effective delivery of implementing NAMAs as well as technology
development and transfer globally, and in turn concrete mitigation outcomes would be ultimately

SectionⅡ

achieved.

References
Center for Clean Air Policy (CCAP), (2013),“Executive Summary: Solid Waste NAMA in Colombia Transforming the Solid Waste sector while reducing GHG emissions”, http://ccap.org/assets/
Colombia_Solid_Waste_May_2013_NAMA_Executive_Summary.pdf, retrieved on 20 August 2015
CTCN 2013,“Prioritization criteria for responding to requests from developing country Parties”, http://

SectionⅢ

ctc-n.org/sites/default/files/240bcf259a814482a6b0b3d0f73932a4.pdf, retrieved on 20 August
2015
CTCN 2014,“Response Plan: Development of a Mechanical-Biological Treatment (MBT) pilot project of
the Waste NAMA”,
http://ctc-n.org/sites/default/files/Response%20plan%202014-004-COL-03.pdf , retrieved on 20
August 2015
CTCN 2015a,“About CTCN”, http://ctc-n.org/about-ctcn , retrieved on 20 August 2015
CTCN 2015b,“List of members and current status of the Network”,
http://ctc-n.org/network/network-members, retrieved on 20 August 2015
CTCN 2015c,“Network members”, http://www.unep.org/climatechange/ctcn/Portals/50212/
Documents/AB201444_List%20and%20status%20of%20requests.pdf, retrieved on 17 November
2014
CTCN 2015d,“Technical Assistance requested by NDEs”, http://ctc-n.org/technical-assistance/technical-assistance-requests , retrieved on 20 August 2015
CTCN 2015e,“CTCN Operating Manual for National Designated Entities (NDEs) version 1.2”,
http://ctc-n.org/sites/default/files/documents/NDE%20Manual%20Version%201.2_April%202015.

38

Updates of the Joint Crediting Mechanism

pdf, retrieved on 20 August 2015
Murayama, T. (2015),“The Climate Technology Centre and Network (CTCN) and NAMAs”. The NAMA
Guidebook. 2nd. Edition, OECC, Japan, pp. 27-28.
UNFCCC 2013,“Annex I: Modalities and procedures of the Climate Technology Centre and Network”,
Decision 25/CP.19: Modalities and procedures of the Climate Technology Centre and Network andits Advisory Board.

2.2
By

Updates of the Joint Crediting Mechanism
SectionⅠ

Makoto Kato
Overseas Environmental Cooperation Center, Japan (OECC)

JCM and NAMAs
As mentioned in the 1st and 2nd edition of the NAMA Guidebook, developing countries have soughtvarious kinds of financial resources and support tools to implement NAMAs, and the JCM has been
regarded as important one of them1. Also, in the context of capacity building support for preparing for

SectionⅡ

NAMAs, JCM project development have been conducted in several countries to realize the achievementof GHG mitigation planned.

JCM projects registered at the Joint Committees
As of October 19, 2015, there are 15 countries which have signed a bilateral document with Japan,2
and while design and formulation of institutional infrastructure are still ongoing, actual JCM projects

SectionⅢ

have started being registered at the respective Joint Committees established by host developing
countries and Japan.

1

For example, in the“Memorandum of Cooperation on Low Carbon Growth between the Japanese side and the Vietnamese side”

of July 2nd, 2013, it is explicitly mentioned that emissions reductions by JCM projects can be used for NAMAs. Also, in other cases
without such specific mention on NAMAs, it is regarded that the JCM can support implementation of NAMAs as well.
2

Mongolia, Bangladesh, Ethiopia, Kenya, Maldives, Vietnam, Lao PDR, Indonesia, Costa Rica, Palau, Cambodia, Mexico, Saudi Arabia,

Chile, Myanmar. Other than this, Thailand approved by its cabinet on October 13, 2015 that the Government would sign the bilateral
document with Japan.

39

JCM projects registered at the Joint Committees
As of October 19, 2015, there are 15 countries which have signed a bilateral document with Japan,2
and while design and formulation of institutional infrastructure, actual JCM projects have started
being registered at the respective Joint Committees established by host developing countries andJapan.

SectionⅠ

Figure1: ModelforforthetheJointdevelopingcountry
countryand
and
Japan
Figure1: ModelJointCommittee
Committeeorganizedorganized byby aa host
host developingJapan

Source: Government of JapanSource:(2015)Government of Japan (2015)
The below table shows the first batch of JCM projects registered at the respective Joint Committees,
1 For example,
establishedby the in
host
and
as of
19,
2015.
To date,the numberof thethe countries“Memorandumof Japan
Cooperation
onOctober
Low Carbon
Growthbetweenthe Japaneseside andthe projects

it wasthat emissions
by JCM projects
be of GHG
Vietnameseside”areof July
2nd, 2013,and host
countries
limitedsince
it isexplicitly
more atmentioned
the embryonicstage.reductions
Also it applies
to the canscale

SectionⅡ

used for NAMAs. Also, in other cases without such specific mention on NAMAs, it is regarded that the JCM canemission
reduction.
However,in theaspipeline,
there are a considerable number of potential projects to besupportimplementationof NAMAs
well.
2 Mongolia, Bangladesh, Ethiopia, Kenya, Maldives, Vietnam, Lao PDR, Indonesia, Costa Rica, Palau, Cambodia,
developed
and some of them are expected to achieve relatively large scale of GHG emission reduction.

Mexico, Saudi Arabia, Chile, Myanmar. Other than this, Thailand approved by its cabinet on October 13, 2015 that
the Government would sign the bilateral document with Japan.
Table 1: JCM projects Registered at the Joint Committees (as of October 19, 2015)

1

Project title

SectionⅢ

StatusReference

Registration

numberdate

Emission
Reductions

Processing Plant in Indonesia
registered

ID003

29 Mar 15

21

Industry Cold Storage in Indonesia
registered

ID002

PT. Adib Global
Food Supplies, PT.

Introducing High Efficiency Refrigerator to a Food
Project

Name of project
participants (Japan)(Average)

Introducing High Efficiency Refrigerator to a Frozen Food
Project

Name of project
participants (Host)

29 Mar 15

Mayekawa Indonesia

PT. Adib Global
Food Supplies, PT.

120

Mayekawa Indonesia

MAYEKAWA MFG.
CO., LTD.

MAYEKAWA MFG.
CO., LTD.

Centralization of heat supply system by installationof high-efficiency Heat Only Boilers in Bornuur soum
Project
Project
registered

40

MN002

30 Jun 15

206

ANU-SERVICE

SUURI-KEIKAKUCO.,LTD

CO.,LTD.

Updates of the Joint Crediting Mechanism

Small scale solar power plants for commercial facilities in Subproject 1:
island states

Western Caroline
Trading Company,

Project
registered

PW001

21 Apr 15

227

Subproject 2:
Surangel and Sons

Introducing High-efficiency Centrifugal Chiller

registered

ID001

31 Oct 14

114

Eco-Driving by Utilizing Digital Tachograph System
ProjectCo., Ltd. (PCKK),InterAct Inc.

Company

Saving for Air-Conditioning and Process Cooling by

Project

Pacific Consultants

Nippon Koei Co.,
PT. Primatexco
Indonesia

Ltd. (Focal Point),
Ebara Refrigeration
Equipment &Systems Co., Ltd.

Nippon Express (Viet Nippon Express Co.,Ltd.

School of Ulaanbaatar City Project

ANU-SERVICE

SUURI-KEIKAKU

Project

CO.,LTD.

CO.,LTD.

VN001

04 Aug 15

296

SectionⅠNam) Co., Ltd.

registeredInstallation of high-efficiency Heat Only Boilers in 118th

registered

MN001

30 Jun 15

92

Source: https://www.jcm.go.jp/

SectionⅡ

JCM Financial Programme
In order to help materialize the real GHG emission reduction through the transfer of low carbon
technologies, a number of studies and financial, technical, and capacity building support have been inplace. Especially, the introduction of the Financing Programme by the Ministry of the Environment, Japan(MOEJ), together with the Ministry of Economy, Trade, and Industry (METI), have made a significant
impact to boost the JCM in the study stage up to the implementation stage.

SectionⅢ

For example, MOEJ’s Financing Programme for JCM Model Projects financially support theimplementation of projects which reduce CO2 emissions by saving energy and/or introducing renewableenergy in developing countries with leading low carbon technologies, providing up to 50% of the initialinvestment cost. The MOEJ also established a collaborative finance scheme with Japan International
Cooperation Agency (JICA), and the Japan Bank for International Cooperation (JBIC), and the TrustFund at the Asian Development Bank.
As mentioned above, as of today, the number of projects, host countries, as well as GHG emission
reduction amount are limited and very small. However, some of scope of these financial schemes, suchas the collaborative finance and the ADB Trust Fund are dedicated to a large scale projects. In thisregard, it is expected that project developers will start utilizing this schemes in the coming years. (Seethe Annex I JCM projects adopted by the MOEJ for its Financial Programme (as of October 19, 2015))

41

Transformation to low carbon infrastructure and scaling up of
mitigation actions in developing countries
In order to lead to establishing a low carbon society, it is effective to intensify works on low carbon
infrastructure.
Recently,
locations of thecountry.an interesting case has been found in Vietnam, to drive“low carbonize”

infrastructure of power distribution systems, and apply a set of such infrastructure in multiple locationsof the country.

In the project introducing amorphous high efficiency transformers in the transmission anddistribution
network of southern
VietnamSouthern
Power Corporation
jurisdiction),and
enablesIn theproject introducing
amorphoushigh(EVN
efficiency
transformers
in the transmission
distribution
networkof southern
Vietnam(EVN Southern
Power Corporation
jurisdiction),enablesto achieve ato achievea reductionof transmission
and distribution
losses and contributeto GHGemission

reduction of transmission and distribution losses and contribute to GHG emission reductions (see thereductions (see the below image)

below image).

SectionⅡ

SectionⅠ

Figure2:2:Image
Imageofof
Amorphoushighefficiency
transformers
in power
distribution
systems
FigureAmorphoushighefficiency
transformers
in power
distribution
systems

Source GEC (October 2015)

Source: GEC (October 2015)

The uniqueness of the project is that the replacement of a number of old transformers with higher

The uniqueness of the project is that the replacement of a number of old transformers with higher

efficiency transformers made with amorphous material can be seen as more like a“programme”of

SectionⅢ

efficiency
transformers
made with
canSouthernbe seen asPower
more likea “programme”
of carbon
GHG
emission
activities. Under
the amorphousumbrella ofmaterial
the EVN
Corporation,
this low
infrastructure
havebeen introduced
in a wideofspreadmanner.
GHG emission
activities.
Under the umbrella
the EVN
Southern Power Corporation, this low

carbon infrastructure have been introduced in a wide spread manner.

At the same time, this kind of project can be applied in other part of the countries, and regions. And if
this is the case, host countries can successfully experience transformation of infrastructure into highcarbonlow carbon
Thiskindcanof approachencouragehostdeveloping
countries
to gradually
At thetosame
time, thismode.
kind ofproject
be applied willin otherpart of thecountries,
and regions.
Andbutifsteadily
implement
thesuccessfullysame time,experienceto scale up
GHG mitigation
amount. Currently,
similarthis is thecase, hostNAMAs,
countriesatcan
transformationof infrastructure
intoprojects are in pipelines, and it is expected to apply this experience to other parts of the countries, ashigh carbon to low carbon mode. This kind of approach will encourage host developing countries towell as other host countries.

gradually but steadily implement NAMAs, at the same time, to scale up GHG mitigation amount.
Currently, similar projects are in pipelines, and it is expected to apply this experience to other partsof the countries, as well as other host countries.

42

Recent development of NAMAs in Mongolian energy sector

Recent development of NAMAs in Mongolianenergy sector

2.3
By

Gerelt-Od Tsogtbaatar
Ministry of Environment, Green Development and Tourism, Mongolia
Yasuhiro Kasuya
Overseas Environmental Cooperation Center, Japan (OECC)

FEASIBILITY STUDIES ON NAMAS IN ULAANBAATAR ELECTRIC
TRANSMISSION AND DISTRIBUTION
Background of Feasibility Studies on NAMAs
Mongolia is a landlocked country between China and Russia, located in East Asia. The climate of thecountry is continental and has four distinct seasons. The East Asian country has an extremely harsh

SectionⅠ

winter climate, with winter temperatures ranging from -10ºC to -30ºC in the daytime during mid-winter (lateDecember and January). Further, temperatures can drop to as low as -40ºC at night. The long and harsh
winter weather subsequently creates an unusually long heating season, with a total of eight months
from the middle of September to the middle of May. Ulaanbaatar City (UB) is the coldest capital city inthe world and where almost half of the country’s population resides. UB residents depend on a reliable
heating system to meet survival needs. Reliable heating service is not merely a utility for residents,
business entities and government organizations. Thus, a safe, clean, and reliable heating supply in wintermonths is a critical need. Mongolia has experienced rapid economic growth (11.5% in 2013 *1) led by

SectionⅡ

mining development and electricity and heat consumption has increased exponentially. For instance, we
conducted a survey on the electricity supply of the Central Energy Systems (CES) including UB in 2013is as follows.
Table 1: Outline of the CES in Mongolia(a) Ulaanbaatar Thermal Power Plant No. 1 (CHP-1): Decommissioning (Coal-fired type)(b) Ulaanbaatar Thermal Power Plant No. 2 (CHP-2): 21.5MW (Coal-fired type)(c) Ulaanbaatar Thermal Power Plant No. 3 (CHP-3): 148MW (Coal-fired type)

SectionⅢ(d) Ulaanbaatar Thermal Power Plant No. 4 (CHP-4): 580MW (Coal-fired type)(e) Darkhan Thermal Power Plant (Darkhan CHP): 48MW (Coal-fired type)(f) Erdenet Thermal Power Plant (Erdenet CHP): 28.8MW (Coal-fired type)(g) Erdenet Mining Thermal Power Plant (EMC CHP): 5MW (Coal-fired type)(h) Salkhit Wind Power Plant: 50MW (Renewable Energy)
Total Electricity Supply of the CES: approx. 880 MW

However, the electricity demand forecast of the CES by the Asian Development Bank (ADB, *2) is thefollowing figure.

43

Figure 1: CES Demand Forecast

SectionⅠ

Figure 1: CES Demand Forecast

Source: The Asian Development Bank. (2013), Updating Energy Sector Development Plan, Manila.

SectionⅡ

Source: The Asian Development Bank. (2013), Updating Energy Sector Development Plan, Manila.

Due to massive increase in energy demand for central grid of Mongolia, a current countermeasure

Due tomassivein energy
demandfor central
grid of Heat
Mongolia,
a current(CHPs):
countermeasure
was turbine
andboiler increase
expansionin existingcoal-fired
Combinedand Powers
CHP-3(approximately
50and
MW)
and expansion
CHP-4 (approximately
120 MW)in 2013 Heatand 2014,
but it (CHPs):
was notCHP-3
enoughwas turbine
boilerin existing coal-fired
Combinedand Powers
to satisfy their energy demand. In order to overcome the potential supply shortage, the government(approximately 50 MW) and CHP-4 (approximately 120 MW) in 2013 and 2014, but it was not enoughplans to build a new CHP-5 in suburb of Ulaanbaatar through a public-private-partnership (PPP)satisfy theirdemand. In orderto overcome
the power
potential
supplyshortage,the government
model.toGenerally,
it isenergy
not recommended
to installcoal-firedplant
if youare concerned
about
environmental
and aclimatechangeaspects.
However, throughMongolia
doesn’t have mineral oil(PPP)
refineryand gasplans to build
new CHP-5
in suburbof Ulaanbaatar
a public-private-partnershipmodel.
field. Moreover, it is possible to import oil and gas from China and Russia, but the country is c between

Generally, it is not recommended to install coal-fired power plant if you are concerned about

SectionⅢ

the two big countries so there is a risk in terms of energy security. Thus, the best possible solution

environmental
climateandchangeaspects.
However,
Mongolia
have mineral
oil refinery andto satisfy
the energyand
demandclimatechangemitigation
is to doesn’t
build CHP-5,
new transmissionline,
gas field.
Moreover,it is possible
importfrom
oil andgas fromChina
andofRussia,
but the country is c
distribution
facilityand district
heatingtosystem
CHP-5
to thecenterUB City.
To achieve
furthergreenhousegas soemissionand contributeto Mongolian
Appropriate
betweenthe two
big countries
there isreduction
a risk in termsof energy security.
Thus,Nationallythe best possible
Mitigation Actions (NAMAs), we conducted the feasibility studies (FS) on electric transmission andsolution to satisfy the energy demand and climate change mitigation is to build CHP-5, new

distribution sector to find NAMAs potential. Also in order to be able to bankable NAMAs, we conductedtransmissionline,financedistribution
facility
andfinally
districtidentified
heating system
fromDevelopment
CHP-5 to the centerof UB City.
a survey
on relevant
schemesandan AsianBank (ADB)
financescheme,Towhich
is Japanfor Jointgas
CreditingachievefurtherFund
greenhouseemissionMechanism
reduction (JFJCM).
and contribute to Mongolian Nationally

Appropriate(NAMAs),we conductedfeasibility
studies (FS) on electric
Backgroundof Mitigation
the JointActions
Crediting
Mechanism(JCM)theand
JFJCM
transmission and distribution sector to find NAMAs potential. Also in order to be able to bankable

The Joint Crediting Mechanism (JCM) facilitates diffusion of leading low carbon technologies, products,

NAMAs,
we andconducted
a surveyason
relevant
finance schemes
and finallyidentified
an Asiansystems,
services,
infrastructure
well
as implementationof mitigation
actions,
wherebycontributing
to sustainable
developmentof developing
The mechanism
evaluates
Japan’sDevelopment
Bank (ADB)
finance scheme,
which countries.
is Japan Fundfor Joint Crediting
Mechanism

contributions to GHG emission reductions or removals in a quantitative and appropriate manner with the(JFJCM).

application of methodologies for measurement, reporting and verification (MRV).
The JCM contributes to the ultimate objective of the United Nations Framework Convention on

44

products, systems, services, and infrastructure as well as implementation of mitigation actions,whereby contributing to sustainable development of developing countries. The mechanism evaluates
Japan’s contributions to GHG emission reductions or
removals
in a quantitative
appropriate
Recentdevelopmentof NAMAs in andMongolianenergy sector
manner with the application of methodologies for measurement, reporting and verification (MRV).
The JCM contributes to the ultimate objective of the United Nations Framework Convention on
Climate Change (UNFCCC) by facilitating global actions for GHG emission reductions or removals,
thus complementing the Clean Development Mechanism (CDM) of the Kyoto Protocol. Mongolia

ClimateChangea(UNFCCC)
by facilitating
actions
GHG emission
reductions
or removals,
establishedbilateral agreementon the global
JCM with
Japanforin Ulaanbaatar
on January
8, 2013,
becoming thus

complementing the Clean Development Mechanism (CDM) of the Kyoto Protocol. Mongolia established athe first JCM signatory country in the world. 11 other developing countries have followed suit thus far.

bilateral agreement on the JCM with Japan in Ulaanbaatar on January 8, 2013, becoming the first JCM

Consequently,
thethetotal
numberthe JCMsignatory
countrieshave
has reached
to 12
of Aprilsignatory
country inworld.
11ofotherdeveloping
countries
followedsuitasthus
far. 2014.
Consequently,
the total number of the JCM signatory countries has reached to 12 as of April 2014.

Figure 2: Basic Concept of the Joint Credit Mechanism (JCM)

Figure 2: Basic Concept of the Joint Credit Mechanism (JCM)

SectionⅠ

Source: Government of Japan. (2015), Recent Development of the JCM, Tokyo.

Source: Government of Japan. (2015), Recent Development of the JCM, Tokyo.

In June 2014, ADB and Japan signed a Letter of Intent for Cooperation on Environmental Issues. Oneof the In
agreedelements
letteris cooperation
to implement
the Japan
Fund for the Issues.
Joint Crediting
June 2014,
ADB ofandtheJapansigneda Letter of Intent
for Cooperation
on Environmental
One
Mechanism(JFJCM).
The JFJCM
is a isnewtrust fund
ADB with
grantFund
fromforthetheMinistryof theof the agreed
elementsof the letter
cooperation
to of
implement
thea Japan
Joint Crediting

SectionⅡ

Environment, Japan (MOEJ). The JFJCM will help finance advanced low-carbon technologies including

Mechanism (JFJCM). The JFJCM is a new trust fund of ADB with a grant from the Ministry of thethose relating to renewable energy and energy efficiency for ADB-financed projects in the JCM

Environment,
Japan (MOEJ). The JFJCM will help finance advanced low-carbon technologies
signatory
countries.
including those relating to renewable energy and energy efficiency for ADB-financed projects in the
Figure3: Basic
Concept
JFJCM
Figure3: Basic
Concept
ofof
JFJCM
JCM signatory countries.

SectionⅢ

Government
Japan.Recent(2015),
Recent DevelopmentofTokyo.
the JCM, Tokyo.
Source:Source:
Governmentof Japan.of(2015),
Developmentof the JCM,

Identification of NAMAs potential

NAMAs
First of Identification
all, to identify of
NAMAs,
wepotential
conducted onsite survey on the electric transmission and distributionFirstof all, to identify
NAMAs,
weprepared
conducteda onsite
survey ontechnologies
the electric andtransmission
andsystems in
Ulaanbaatar
City under,
then welist of potential
equipment
to be introduced
part of intheproject. The
below
a longlistofofpotential
such technologies
distributionassystems
Ulaanbaatar
Citytable
under,
then showed
we prepareda listtechnologiesandandequipment:

equipment to be introduced as part of the project. The table below showed a long list of suchtechnologies and equipment:
Table 2: Long list of potential technologies and equipment for introduction
Electric

Mobile substations

Transmission

Replacement of existing transmission line conductors

45

Table 2: Long list of potential technologies and equipment for introduction
Mobile substations
Electric Transmission

Replacement of existing transmission line conductors
Expansion of existing 110 kV substations
Direct current (DC) power transmission lines
Distribution Network Information Management System (DNIMS)Electric Distribution

Amorphous Core Transformers
Automatic Meter Reading System
Relay Protection and Remote Control
Source: Authors’own elaboration

Secondly, we selected the technologies and equipment to be introduced through the project in lightof Mongolia’s national circumstances, decisions taken at meetings of the JCM Joint Committee, andthe requirements of the JFJCM. Thirdly, we collected relevant data and documents and estimated theSectionⅠ

greenhouse gas emission reductions achieved by the project. Fourthly, we identified project components
suitable for the JFJCM. Finally, we evaluated the identified project components in terms of reliability,
availability, effects of greenhouse gas emission reductions and associated co-benefits.

Result of Study
We identified that we can replace approx. 1000 units of aging and less energy efficient Silicon SteelTransformers (SST) which are currently deployed in power distribution network in Ulaanbaatar citywith Amorphous Core Transformers (ACT) which are advanced energy efficient transformers. It can

SectionⅡsignificantly reduce electricity loss in transformer and associated carbon dioxide (CO2) emission. The
estimated greenhouse gas emission reduction was 5000 t-CO2/year. While SST uses silicon steel
material core, ACT material core applies“an amorphous”which is an alloy of iron with boron, silicon,
and phosphorus in the form of thin metal.
Table 3: Structure of Transformer

SectionⅢ

Type of Loss

Generation Part

Cause of Loss

Characteristic

No-Load LossCore

Magnetic Flux

Constantly generated

Amorphous Metal or
High-Grade Silicon Steel

Load Loss

CoilElectric
Resistance

Fluctuated depending on
Load Factor

Optimization of
Conductor Size

Source: Authors’own elaboration46

How to Reduce?

Loss

Load Loss

Core

Coil

Flux
Electric
Resistancegenerated

High-Grade Silicon Steel

FluctuatedOptimization
of
Recent development
dependingon of NAMAs in Mongolian energy sector
Conductor Size
Load Factor

Source: The OECC, Japan
Figure 4: Structure of Transformer

Figure 4: Structure of Transformer

Source: The OECC, Japan

Source: Authors’own elaboration

SectionⅠ

Compared to ACT with a crystalline allayed atomic structure with thick steel core, amorphous core hasa randomand non-crystallinewitharoundthe structure
one-tenthwith
thinnercore amorphous(Figure 4). core
SuchCompared
to ACT with structure
a crystalline
allayedatomicthickmetal
steel core,unique feature of ACT (loosely arrayed atomic structure and thinner core) improves inductance andhas a random and non-crystalline structure with around the one-tenth thinner metal core (Figure xx).

resistance, and reduces energy loss up to approximately 75% in non-load loss and 21% in load loss.

Such unique feature of ACT (loosely arrayed atomic structure and thinner core) improves inductance
Figure5: Comparison
Comparison
Amorphous
Metal
Steel
Figure5:
between
Amorphous
Metal
andSilicon
SiliconSteeland resistance, andreducesenergy loss between
up to approximately
75%
in andnon-loadloss
and 21% in load loss.

SectionⅡ
SectionⅢ

Source: The OECC, Japan

Source: Authors’own elaboration

Regarding the greenhouse gas emission and emission reduction of this project, SST is considered as
referencetransformer
technology
as it is widely
deployedin power
distribution
systemin Mongolia,
Regardingthe greenhousegas emission
and emission
reductionof thisproject, SST
is consideredaswhile a few ACTs have been introduced for pilot testing purpose, and non-load loss benchmark standard

reference transformer technology as it is widely deployed in power distribution system in Mongolia,

in transformer procurement is based upon SST.

while a few ACTs have been introduced for pilot testing purpose, and non-load loss benchmark
standard in transformer procurement is based upon SST.

47

GHG (greenhouse gas) emission and emission reduction
Reference reduction:「REy」
Project emission:「PEy」

Total emission reduction:「ERy」

ER y = RE y - PE y
GHG emission reduction measures

Reduction of No-load loss by installing Project Transformer (ACT) for a
replacement of Reference Transformers (SST).

Calculation of reference emissions

Calculation of GHG emission due to No-load loss of Reference Transformer.

Calculation of project emissions

Calculation of GHG emission due to No-load loss of Project Transformer.

Monitoring parameters

This monitoring methodology requires the following monitoring occasions toaccomplish project emission calculations:
1.When the Project Transformers installed;

SectionⅠ- No-load loss rate (W) of Project Transformers; and,- Specifications of each Project Transformers installed.
2.At the time of end of fiscal year;- Latest CO2 emission factor (tCO2/MWh) of the Grid published by Authority;- Blackout rate of the Grid during the year ‘y’(%); and,The number of transformers which are installed and in operation.
All data collected as part of monitoring are archived electronically and kept
until the end of monitoring period.

SectionⅡ

Future Prospect
The Mongolian Government, the ADB and the Government of Japan are now discussing the structure
and institutional arrangement of this project. The Ulaanbaatar Electricity Distribution Network (UBEDN),
the state owned power distribution company, is the implementing agency for the project under thesupervision of Ministry of Energy (MoE) and Ministry of Environment, Green Development and Tourism(MEGDT), Mongolia. It will be the Coordinating Management Entity for the project, and will be responsiblefor day-to-day project implementation, and baseline and monitoring survey for energy loss reduction as
well as CO2 and related air pollutant emission saving. After the scheme has been finalized in detail, theSectionⅢ

Ministry of Finance, Mongolia and the ADB will start the loan negotiation. The entities are planning tostart the scheme from 2016 or 2017.

PARTNERSHIP FOR ACTION ON GREEN ECONOMY (PAGE) IN MONGOLIA
With its high economic growth and associated challenges, Mongolia is now at a crossroads of its
development. Despite strong economic growth, Mongolia has not yet managed to create job opportunities
and distribute wealth equally. Mongolia struggles to convert its newfound opportunities into sustainable
development results while social tensions and persistent high poverty incidence persist. Moreover,
Mongolia faces a number of serious environmental problems of land and ecosystem degradation,
including pasture, forest and water, desertification, loss of biodiversity and air pollution in urban areas
partly due to mining and herding practices but also due to climate change, and deforestation. Investment
in a sustainable future for its citizens through awareness building, good governance, policy reform andfunctioning coordination mechanisms has become the key factors that will determine whether Mongolia
can eradicate poverty and overcome the“natural resource paradox”and convert its wealth into a48

Recent development of NAMAs in Mongolian energy sector

recourse efficient, socially equitable and low carbon economy. The Partnership for Action on Green
Economy (PAGE) started in response to The United Nations Conference on Sustainable Development(UNCSD), also known as Rio 2012, Rio+20, or Earth Summit 2012 aim of at reconciling the economicand environmental goals of the global community. PAGE founding members - the United Nations
Environment Programme (UNEP), the International Labor Organization (ILO), the United Nations Industrial
Development Organization (UNIDO) and the United Nations Institute for Training and Research (UNITAR)- will work jointly with UNDP in Mongolia in supporting a series of activities to advance Mongolia’s
Green Development Strategy. The PAGE accomplished and plans the following activities and milestones
in 2013-2015 period:
Preparation of a Stock-taking Report;-

PAGE Inception Workshop and High Level Forum;-

A green jobs mapping exercise;-

PAGE Implementation Workshop;-

Preparation of Inception and 2014 Implementation Report;-

Green Economy Modeling; Green learning, Green economy indicators; Green Procurement; Green

SectionⅠ-

school building;
The aim of the report is to support Mongolia in refining and implementing its Green Development Strategy(GDS) approved by Parliament in June 2014. The Report assesses potential opportunities and options
to promote a green economy in Mongolia and will provide a blueprint for coordinated multi-year support
of PAGE and other development partners and is expected to serve as a basis for mobilizing national
and international resources. The report has been developed on the basis of a series of PAGE activities

SectionⅡto advance Mongolia’s Green Development Strategy, the existing draft outline of the report and morerefined work plan developed by project stakeholders.
In addition, this report will be used as the basis for the capacity building and other activities related
to PAGE initiative in Mongolia beyond 2014. The sections on the Stocktaking and Green job mapping
reports provide information with respect to the initial country specific situation and readiness in terms oftransition and absorbing capacity. Furthermore, based upon the initial agreement among PAGE partners,
the PAGE Implementation report contains:
Mongolia specific development of PAGE work streams in 2014 and beyond;-

Information Compendium that discusses the PAGE background and best practices to provide

SectionⅢ-

Mongolia with overview of existing programmes and ideas concerning the establishment andimplementation of coordination mechanisms;-

Concluding comment to summarize the current project period development and underline theprogresses that predicate the future direction for project implementation;

Enabling conditions for a green economy: Currently, enabling conditions are heavily weighted towards
the prevailing brown economy, which depends excessively on fossil fuels, resource depletion andenvironmental degradation. Therefore, specific enabling conditions will be required to make thetransition to a green economy. These enabling conditions consist of national regulations, policies,
subsidies and incentives, as well as international market and legal infrastructure, trade and technicalassistance. When moving from traditional to green economy, three changes take place in an economy’s
structure and content. First, the environmental impacts (ecological footprint) of economic activities are
reduced. Second, the share of green goods and services is growing and eventually accounts for a lion’sshare of the economy. Third, the benefits from these above two changes are shared equitably among49

different groups of society expressed as better and more job opportunities, better health, etc for all.
Green Investment Scenario: Research shows that investing annually 2 percent of global GDP into ten
key sectors for a transition towards a low-carbon, resource-efficient economy would reduce ecologicalfootprint by nearly 50 per cent in 2050, as compared to business as usual. Accompanying benefits
include enhanced wealth & natural capital, higher rates of GDP growth over time, decent employment,
and reduced poverty and enhanced natural capital. Under the green investment scenarios modeledin Towards a Green Economy, global energy intensity (in terms of Mtoe/US$ GDP) declines by 36 percent by 2030, and the cumulative global energy-related CO2 emissions would be considerably mitigatedby 2050. Under G2, emissions are approximately 60 percent lower in 2050 as compared to BAU. In
absolute amounts, this corresponds to a decline from 30.6 Gt of energy-related CO2 emissions in 2010
to about 20 Gt in 2050.
Role of banking in green growth: The role of the banking and finance sector for a transition to a green
economy is to enable economic growth and investment while increasing environmental quality and social
inclusiveness. Critical to attaining such an objective is to create the conditions for public and private

SectionⅠ

investments to incorporate broader environmental and social criteria in order to achieve greater social
inclusion, sustainable livelihoods and poverty eradication. In addition, new finance mechanisms such as
the Green Climate Fund need to be set up to support mitigation, adaptation, technology and capacitybuilding activities in developing countries. Related to this, international and national development
finance institutions need to revisit their procedures and commit to applying environmental criteria, as
well as more ambitious targets, for green lending in target industry sectors. The financial services andinvestment sectors control trillions of dollars, and pro-active investment institutions are taking the leadby committing themselves to the UN-backed Principles for Responsible Investment (PRI).

SectionⅡ

The report of PAGE with a vision and strategic framework that outlines Mongolia’s pledge to pursue
its commitment and duty to evolve as an advanced nation having built the conditions of sustainable
development to be inherited by next generations by creating economic growth based on green
development concept and active involvement of citizens. The PAGE intervention through its technicalassistance is to contribute to Mongolia’s achievement in terms of resource efficient, low carbon,
production and consumption, and maintaining ecological balance and reduce environmental degradation
while intensifying reclamation activities and environmental protection. In addition to these it is also
designed to address the sector development policies, strategies and programmes to achieve sustainable

SectionⅢ

use of natural resources and control of damages emanating from climate change.

THE STRATEGIES FOR DEVELOPMENT OF GREEN ENERGY SYSTEMSIN MONGOLIA“The Strategies for Development of Green Energy Systems in Mongolia”was prepared by theGovernment of Mongila and Global Green Growth Institute (GGGI) in collaboration with the Stockholm
Environment Institute – U.S. Center.
The study presents plausible Mongolian green energy systems that would reduce GHG emissions,improve air quality, and facilitate other socio-economic benefits. This report is part of ongoingcollaboration between GGGI and the Government of Mongolia of green development for Mongolia: green
energy systems; i.e., those that minimize carbon emissions, local air pollution, and other environmental
impacts. The report focuses on the potential for renewable energy and energy efficiency to reduce fuel50

Recent development of NAMAs in Mongolian energy sector

use, energy costs, greenhouse gas emissions, and other pollutant impacts. The focus is on renewableenergy and energy efficiency because of Mongolia’s significant renewable resources and potential forenergy efficiency improvements and because these options already have considerable momentum inthe country. This report does not focus as much on some other sources of energy or GHG reductions:
nuclear, due to less in-country focus on this technology at present; natural gas, due to limited domestic
resources, as well as because of limited potential for GHG reductions (relative to renewables);and carbon capture and storage (CCS) due to high costs and uncertainty about the efficacy of thistechnology.
The report includes recommendations based on an analysis of 4 different scenarios forecasting
Mongolia’s energy supply and demand within the industry, transport, buildings, and agriculture sectors.
•

Reference Scenario
The reference scenario forecasts a Mongolia that continues to rely on mineral extraction for
its primary source of energy, both for export and domestic consumption. This scenario sees
total energy demand more than doubling in Mongolia between 2010 and 2035, with demand

SectionⅠfor electricity and petroleum products growing especially fast. In the reference scenario,
overall GHG emissions rise to approximately 56 million tons of carbon dioxide by 2035 from abenchmark of just over 15 million tons in 2010.
•

Recent Plans Scenario
This scenario describes the potential impact to energy supply and demand in Mongolia as aresult of the successful implementation of renewable energy and increased energy efficiency
plans adopted by the Ministry of Energy and Ministry of Environment and Green Development.
The recent plans scenario would see total GHG emissions rise to about 46 million tons of carbon

SectionⅡ

dioxide by 2035.
•

Expanded Green Energy Scenario
In this scenario, Mongolia makes a stronger transition to renewable energy and implements
extensive energy efficiency measures across its economy. These initiatives help reduce energy
demand by 32% when compared to the reference scenario, while the realization of multiplehydro, solar PV and wind power projects, increase the contribution of renewable energy toelectricity production to more than 40%. Reductions in energy demands coupled with increases
in renewable energy production provide Mongolia with the option to phase out aging coal-fired

SectionⅢ

power plants, and possibly avoid new plants altogether. As a result, GHG emissions would behalf, or 28 million tons, of those forecast in the reference scenario.
•

Shifts in Energy Export Scenario
The shifts in energy export scenario realizes the same reduction in energy demand as the
expanded green energy scenario, and differs only in that Mongolia has divested itself frommineral-based energy exports, in favor of renewable energy exports. The shift scenario would
increase Mongolia’s“low-carbon competitiveness”within a global market where demand for fossil
fuels has declined due to increasing concerns over climate change.

Based on previous achievements and current needs of the Government of Mongolia in promoting green
energy systems, GGGI is initiating the second phase of the project with the main objectives to:
1. Support implementation of the long-term strategy of Mongolia for greener energy sources with afocus on Comprehensive Heat Planning Alternatives;
2. Collect data and update the LEAP model for Mongolia to align with the Strategic Objective Oneof the National Green Development Policy (NGDP) targets on green energy and energy efficient51

buildings;
3. Build institutional capacity for effective energy management and planning and conducting
environmental, social and economic impact assessment of alternative energy systems.

STRATEGIES FOR GREEN PUBLIC TRANSPORT IN MONGOLIA
One of the most critical environmental issues in Mongolia today, particularly in Ulaanbaatar (the UB city),is air pollution. In the UB city, the daily average concentration of a particulate matter can reach 70 to
85 times higher than the maximum daily exposure recommended by the World Health Organization (WHO).
While this is largely due to the consumption of coal for heating, another major source for air pollution
in the UB city stems from the transport sector, and specifically rapid motorization. The number ofregistered vehicles has been increasing rapidly for the past 20 years, and the total number of vehicles
now stands around 292,000 in the UB city. Currently, however, only 2.1% of these are for public transit,

SectionⅠ

while almost 60% of the citizens use public transport daily. Various types of buses are operated by
26 companies in the UB city. However, most of the bus vehicles in the UB city use diesel fuels, which
exacerbate the air pollution. Furthermore, the development and implementation of effective traffic
management strategies to encourage passengers to use more public transport have been slow.
There is therefore a strong need for a sustainable green public transport plan, which coincides withnational policies of Mongolia. The“New Development Medium-Term Target Program”stated that public
transport must be ecologically clean in order to mitigate air pollution in the UB city. This program
includes the replacement of 800 large bus and 1,500 small bus engines with those that consume eco-

SectionⅡ

friendly fuels. In the“National Action Program on Climate Change,”one of the strategic objectives
is to mitigate GHG emissions and establish a low-carbon economic policy through the introduction ofenvironmentally friendly technologies and improvement in energy efficiency.
This project was initiated through consultations between the Global Green Growth Institute (GGGI)
and the Mongolian government. GGGI and the Ministry of Nature, Environment and Tourism (MNET)
of Mongolia, which has been restructured into the Ministry of Environment, Green Development andTourism (MEGDT) in late 2014, signed a memorandum of understanding (MOU) in November 2011 to

SectionⅢ

confirm their commitment for cooperation in green growth.

Objectives of the Project
The overall goal of the project is to promote green (i.e., low carbon) public transport in the UB city,and thereby contribute to reducing GHG emissions and to improving air quality. Broadly, the strategies
for green public transport investigated in this project include 1) reducing GHG emissions by fuel typereplacement for public buses and enhancement of regulations for vehicle inspection, and 2) increasing
public transport ridership and reducing traffic congestion by improving operations.
The key outcomes of the project are:•Overview of the current public transport system in the UB city•

Report on the current fuel and gas usage for public transport•

Evaluation of the technical and economic feasibility of replacing current diesel engine buses with
eco-friendly fuel engine buses•

Recommendations for enhancement of inspection rules and regulations for emission control inpublic transport and their impacts on GHG emissions•

Recommendations for strategies for encouraging modal shift from passenger vehicles to ecofriendly
public transport to reduce traffic congestion and total emissions

52

Recent development of NAMAs in Mongolian energy sector•

Recommendations for plans for encouraging foreign direct investment or public private partnerships
for green public transport and urban planning•

Recommendations for overall strategic policies for promoting green development in public transport
and urban planning

Analysis of the Potential Effects on GHG Emissions Reduction
Traffic congestion exacerbates air pollution since vehicles emit more pollution when accelerating andbreaking than maintain a certain speed. Therefore, effective management and operation strategies forencouraging public transport ridership are important for both the air quality and the efficiency of theurban transport system. The effects of each public transport strategy on air pollution are analyzed inthis project.
A 3% modal shift from private passenger vehicles to public transport through the bus route reform could
reduce GHG emissions by 2,030 t-CO2/year, while a 33% modal shift would reduce it by 16,000t-CO2/
year. Implementing the integrated fare system with smart cards would reduce CO2 emissions by around
1,700 t-CO2/ year at 2.5% modal shift and 18,600 t-CO2/ year at 27.5% modal shift. A traffic speed

SectionⅠ

improvement of 40km/h through ITS adoption would reduce CO2 emissions by 49,000 t-CO2/year. A 22%
modal shift caused by BRT system adoption could reduce emissions by 15,000 t-CO2/year.
Furthermore, it is expected that the reduction effects may show some synergy effects if the four
strategies are implemented in an integrated and systematic manner. To better analyze the effectsof these strategies, traffic congestion, service quality for public transport, management capacity
for transport operation, developing transport infrastructure, implementing a monitoring system, anddeveloping a database for modeling CO2 emissions are required to for further analysis as well as forlong-term sustainability.

SectionⅡ

Conclusion
This project aims to develop and analyze strategies that can accelerate the green transition in the public
transport system in the UB city as part of the efforts to promote green growth in the transport sector in
Mongolia. To this end, the project executed following tasks:
Reviews of current transport system and infrastructure;-

Reviews of clean fuel and vehicle technologies;-

Analyses of technical and economic feasibility to replace diesel fuel vehicles with clean vehicles in

SectionⅢ-

public transport sector;-

Reviews and analyses for vehicle emission control regulations;-

Reviews of current public transport management systems;-

Analyses on public transport strategies and their environmental effects; and-A proposal for eco-station development projects.

By reviewing the current transport system, infrastructure, socio-economic conditions, and the future
growth prospects of the UB city, the project identified several issues that need to be improved. First,
investments in the transport sector have been inadequate in responding to demand. The unbalancecauses economic losses due to traffic congestion and health impacts due to air pollution. Second, supplyof public transport has been lacking in quantity and quality. Therefore, it is not effective at encouraging
passengers to shift from private passenger vehicles to public transport and reduce air pollution in
the UB city. Third, many transport plans are active in the UB city at the national and local levels incooperation with international organizations. However, there are some imbalances between the plansfor optimal resource allocations. Therefore, some measures for coordinating transport plans should be53

developed.
The project reviewed selected alternative fuels for public transport including clean diesel, CNG, LPG,
and electricity, and chose CNG as the most suitable alternative fuel for public transport in the UB city.
Furthermore, this project analyzed the technical and economic feasibility for replacing current diesel fuelbuses with CNG ones. The results of an economic feasibility analysis with 36 scenarios showed that the
B/C ratio ranged from 0.53 to 0.88. Although the results of B/C analysis render the policy of replacing
diesel fuel buses with CNG buses economically unattractive, the ultimate decision should be based on
not only economic analysis results but also other policy considerations. To regulate vehicle emissions,this project reviewed the current vehicle inspection regulations of Mongolia. The project recommended
strengthening vehicle emission standards to be equivalent to European standards to improve air quality
in the UB city. Furthermore, the study suggests reflecting production years and adopted technologies tocontrol vehicle emissions and to collect taxes for improving efficacies of vehicle inspection and vehicle
emissions reduction. Other recommendations were suggested such as installing additional inspection
stations to secure effective management of vehicle emissions and enhancing regulations for imported

SectionⅠ

second hand vehicles to reflect vehicle emission and safety standards. With improvement measures,enhancement of GHG emission reduction and vehicle safety are expected. Also, other automobile
industries could be stimulated in the process of installing more inspection stations.
Strategies for public transport management and operation are suggested by reviewing and analyzing
current conditions of the public transport system in the UB city as well as benchmarking Korea’s public transport reform cases. The strategies are categorized into a bus route system, fare systemand smart card, intelligent transport system, and BRT. Even though the synergy effects of integrated
implementation for the public transport strategies are expected to exceed the costs of implementation,
the cost itself might be burdensome. Therefore, this project suggested phase-based implementation

SectionⅡplans for the strategies. Also, to maximize the impacts given cost constraints, the project recommended
comprehensive public transport master plans at the national and local levels for coordinating eachstrategy, relevant organizations, and governments.
Furthermore, this project estimated reduced volume for CO2 emissions in the transport sector from
implementing these public transport management and operation strategies: ITS, BRT system, faresystem, and bus route reform. The results show considerable impacts on CO2 emissions for each the four
strategies. Also, it is expected that the reduction effects may show some synergies if the four strategies
are implemented in an integrated and systematic manner.

SectionⅢ

Finally, an eco-station development project was suggested to integrate public transport planning withurban planning using a TOD concept. The eco-station will be facilitated with multimodal-transfer centers,park and ride, city air terminals, facilities for non-motorized transport, and other uses and amenities
including housing, offices and stores, and entertainment facilities.

References
OECC (2015). The NAMA Guidebook. 2nd Edition. Published by OECC, Japan
The World Bank, (2013),“Mongolia Economic Update”, Washington, DC.
The Asian Development Bank, (2013),“Updating Energy Sector Development Plan”, Manila.

54

Thailand’s Nationally Appropriate Mitigation Actions (in energy sector and transport sector) and its MRV system

2.4

Thailand’s Nationally Appropriate Mitigation Actions (inenergy sector and transport sector) and its MRV system
Thawatchai Somnam and Rongphet Bunchuaidee
Thailand Greenhouse Gas Management Organization (TGO)

By

Introduction
As part of the global action to tackle Climate Change, Thailand became the 58th developing country tovoluntarily submit its NAMA declaring an intention to achieve ambitious mitigation target in line withnational development plans. Thailand pledges, on a voluntary basis, to reduce its GHG emissions inenergy and transport sectors within a range of 7-20% below the business as usual (BAU) level in 2020,
subject to the level of international support in the form of technology development and transfer, finance,and capacity building for NAMAs preparation and implementation.
Thailand is in the process of developing its industries, developing its large cities, and growing national

SectionⅠ

income per year to raise the quality of life of the people. As a result, the country is now been facing withthe problem of environmental degradation and natural resources, particularly the increase in energy
consumption which has led to major greenhouse gas emissions in Thailand.
Therefore, Thailand needs to develop in parallel the goals of both raising the standard of living of thepeople and protecting the environment at the national and regional level. Sustainable development is
the main objective in order to maintain a balance between these two goals. Examination of greenhousegas emissions in the energy sector, showed that significant greenhouse gas emissions came from: 1)
sourcing and processing of power (manufacturing and electricity), followed by 2) burning of fossil fuel in

SectionⅡtransportation, and 3) fuel combustion in industry. The increasing rate of greenhouse gas emissions fromsuch activities from the year 2002 to 2010 was 30.03%, 12.47% and 18.78%, respectively. Therefore,
it is recommended that policy mitigation measures in the energy sector should be focused on energy
conversion processes, combustion processes in industry and transport, and also conversion of waste toenergy.
Thailand has prepared policy frameworks for the country in order to address this ongoing global
challenge. Thailand Greenhouse Gas Management Organization (TGO) under the Ministry of Natural
Resources and Environment in collaboration with relevant academic and governmental agencies decided

SectionⅢ

that energy and transport are the most important sectors for effective and significant reduction of GHG
emissions. The research project“The potential of Thailand’s NAMAs”focusing on both domestically andinternationally supported mitigation actions was initiated with participation of multiple stakeholders.

Energy Policy Development for mitigation actions
The aims of the Ministry of Energy, Thailand, are energy security, promotion of alternative energy andan increase in energy efficiency in the end-use sector. Three main national strategies were released asfollows.
1. Thailand Power Development Plan (2010 – 2030): Substantially focused on security andadequacy of power systems along with the policies of the Ministry of Energy (MoEN) on the issuesof environmental concern, energy efficiency and renewable energy promotion in line with the 10Year Alternative Energy Development Plan (AEDP 2012 - 2021). Parenthetically, cogeneration
system were recognized as systems to be promoted in terms of efficient electricity generation.

55

2. Alternative Energy Development Plan (AEDP 2012-2021): To promote usage of alternative
energy to 25% within 10 years, replacing fossil fuel such as oil and natural gas and at the sametime reducing dependency on energy imports. Each year, Thailand imports more than 60% ofenergy used commercially, including 80% of total domestic oil usage, and the import portion
tends to increase as local petroleum fails to catch up with escalating demand. On the other hand,alternative energy development will also help diversify fuel procurement and mitigate risk for power
generation purposes.
The promotion of alternative energy development, aiming for 25% usage within 10 years, is a
strategic plan that will seek a variety of appropriate alternative energy sources that can be
categorized as follows:
1) Alternative energy for power generation
2) New types of energy for power generation, with potential for commercial development
3) Alternative energy in transportation sector (fuel substitution)

SectionⅠ

4) Renewable Heat to promote renewable energy such as biomass, waste, biogas, and solar to
produce heat for usage in the industrial sector, replacing fossil fuelIf the targets are attained, alternative energy could eventually turn into mainstream energy sources
and increase the country’s energy security as well as promoting the innovation of new energy
technologies to compete in the global market and make Thailand a prototype of green community.
Table 1: Potential of renewable power generation in the AEDP plan.

SectionⅡ

Renewable energy

2008–20112017–2022

Solar

55

500

Wind

115

800

Wastes to energy

78

160

Biomass

2,600

3,700

Small hydroelectricity

165

324

Biogas

60

120

3,073

5,604

Total

SectionⅢ

Adders plan (MW)

Source: Department of Alternative Energy Development and Efficiency, 2011

3. Energy Efficiency Development Plan: EEDP 2010 – 2030: This 20-year Energy Efficiency
Development Plan (EEDP) is formulated with the target of reducing energy intensity by 25% by2030, compared with that in 2005. This is equivalent to a reduction of final energy consumption
by 20% by 2030. It aims at targeting energy savings in the residential, commercial, industrial andtransport sectors. It includes promotion of awareness and consciousness of energy conservation,
provision of financial incentives to the private sector to retrofit energy efficiency equipment, peakload cutting in the commercial sector, R&D in minimum energy performance standards, building
energy codes and mass transit systems. The energy efficiency will result in less investment inenergy supply.

56

In the energy sector, the energy conversion process in theThailand’s Nationally
Mitigation Actions(in energy sector andsector) contributor
and its MRV system topowerplantsAppropriate
for electricity
generationis transporta mainlarge CO2 emissions, followed by combustion processes inindustries,andtransportation.

During

2002‐2010,

theBAU Projection
corresponding CO2 emissions increased by 30.03%, 18.78% and12.47% in the power sector, industries, and the transport sector,

In the energy sector, the energy conversion process in the power plants for electricity generation
is a main contributor to large CO2 emissions, followed by combustion processes in industries, andrespectively.

transportation. During 2002 ‐ 2010, the corresponding CO2 emissions increased by 30.03%, 18.78%
and 12.47% in the power sector, industries, and the transport sector, respectively.

Sectoral Energy Consumption in Thailand in the BAU 2020
Final Energy Consumption (ktoe)

SectionⅠ

SIIT‐TU

1

Source: Thailand Greenhouse
Gas Management
Organization, 2013, “Potential of
Appropriate Mitigation
Actions”, by SIIT
Thailand’s Nationally Appropriate Mitigation Actions”, by SIIT

Analysis Tool for Thailand’s NAMAs and Baseline Development

SectionⅡ

Source: Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s Nationally

The methodology for development of Thailand’s NAMAs is based on a bottom ‐ up modeling tool called
the“AIM/Enduse”model. The Asia ‐ Pacific Integrated Model (AIM) has been developed by the National
Institute for Environment Studies (NIES) Japan as the first and only integrated assessment model

SectionⅢ

focusing on Asia which was used to evaluate policy options on sustainable development particularly in
the Asia Pacific region. The AIM/Enduse is a bottom ‐ up optimization model with a detailed technology
selection framework within a country’s energy ‐ economy ‐ environment system. It can analyze
mitigation scenarios by using both the AIM/Enduse model and AIM/Enduse tools. Energy technology
refers to a device that provides a useful energy service by consuming energy. Energy service refers toa measurable need within a sector that must be satisfied by supplying an output from a device. It also
can be defined in either tangible or abstract terms, thus service demand refers to the quantified demand
created by a service; i.e. service outputs from devices satisfy service demands.
In this study, the structure of AIM/Enduse for Thailand’s reference energy system has been createdusing socio ‐ economic assumptions obtained from related agencies such as the Office of the National
Economic and Social Development Board (NESDB), Electricity Generating Authority of Thailand(EGAT), and Department of Alternative Energy Development and Efficiency (DEDE). Then selected
CO2 countermeasures are analyzed. The AIM family tools could handle the problems in both generalequilibrium and partial equilibrium modeling.

57

Electricity

Generating

AuthorityofThailand(EGAT),

andDepartment of Alternative Energy Development and Efficiency(DEDE). Then selected CO2 countermeasures are analyzed. The
AIM family tools could handle the problems in both generalequilibrium and partial equilibrium modeling.
Thailand’s NAMAs
AIM/Enduse Modeling (NIES, Japan)

10

The steps of analyses of Thailand’s NAMAs are as follows:i) Reviews of national policy measures related to CO2
countermeasures; ii) Data collection and verification; iii) Data
processing, analyses, and modeling by the AIM/Enduse tool; iv)
of

CO2

emissionsasbaseline

inthebusiness‐as‐usual(BAU)

scenario;v)

Analysesof

CO2

SectionⅠ

Development

countermeasures; and vi) Discussion as well as determination of
SIIT‐TU

CO countermeasures under NAMAs.

22

2 Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s NationallySource:Source: Thailand Appropriate
Greenhouse
Gas Management
Organization, 2013, “Potential
Mitigation
Actions”, by SIIT

of Thailand’s Nationally Appropriate Mitigation Actions”, by SIIT

The steps of analyses of Thailand’s NAMAs are as follows: i) Reviews of national policy measuresrelated to CO2 countermeasures; ii) Data collection and verification; iii) Data processing, analyses, andSectionⅡ

Thailand’s GHG Emissions based on BAU in themodeling by the AIM/Enduse tool; iv) Development of CO2 emissions as baseline in the business ‐ as ‐usual (BAU) scenario; v) Analyses of CO2 countermeasures; and vi) Discussion as well as determination

Energy Sectorof CO2 countermeasures under NAMAs.
Thailand’s GHG Emissions based on BAU in the Energy Sector

CO2 Emissions in the BAU 2020
Total CO2 emissions (kt‐CO2)

SectionⅢ

400,000
350,000

PDP2007367 Mt
PDP2007 Forecast: BAU

300,000
250,000
200,000
150,000
100,000
50,00002005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
Note :PDP = Thailand’s Power Development Plan.
SIIT‐TU

24

Source: Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s NationallySource: Thailand Greenhouse
Gas Management
2013, “Potential
Appropriate Mitigation
Actions”, by Organization,
SIIT

of Thailand’s Nationally Appropriate Mitigation Actions”, by SIIT
58

Thailand’s Nationally Appropriate Mitigation Actions (in energy sector and transport sector) and its MRV system

Development of Thailand’s NAMAsThe Thailand Greenhouse Gas Management Organization (TGO), in collaboration with Sirindhorn
International Institute of Technology (SIIT), Thammasat University and relevant academic andgovernmental agencies, decided that energy and transport are the most important sectors for effective
and significant reduction of GHG emissions. The project was divided into the following steps:

Step I: Primary Data Analysis
The TGO, in coordination with the Department of Alternative Energy Development and Efficiency,
Ministry of Energy, Office of Transport and Traffic Policy and Planning, Ministry of Transport and
Sirindhorn International Institute of Technology (SIIT), Thammasat University conducted an analysis asfollows:
1) Reviewing national plans and policies in order to identify the potential of domestic GHG reduction.
Those plans and policies include the national strategy, the Renewable & Alternative Energy

SectionⅠ

Development Plan to increase the share of alternative energy up to 25% in 10 Years (2012-2021),
the 20-year Energy Efficiency Development Plan, the Master Plan for Sustainable Transport andClimate Change Mitigation, and relevant industrial plans or policies;2) Carrying out cost-benefit analysis and identifying potential technologies for emissions reduction in
relevant sectors; and
3) Considering the possibility of conducting Measurement, Reporting and Verification (MRV) ofgreenhouse gas emission reduction on the ground

SectionⅡ

Step II: Public Participation
The TGO, the Department of Alternative Energy Development and Efficiency, Ministry of Energy, and the
Office of Transport and Traffic Policy and Planning, Ministry of Transport co-organized a series of public
hearings and consultations with the participation of all stakeholders. Recommendations and suggestions
provided by those forums regarding this project were presented to the TGO’s Board of Directors.
Subsequently, the TGO’s Board of Directors at its 10th meeting on 18 October 2012, agreed to submit
the research project to the National Climate Change Board for consideration.

SectionⅢ

Step III: Evaluation and Conclusion
For both the energy and transport sectors, the evaluation was considered in light of national strategies
including the Renewable & Alternative Energy Development Plan (Electricity sector) (referenced Power
Development Plan: PDP2007), Energy Efficiency Development Plan, and the Master Plan for Sustainable
Transport and Climate Change Mitigation for transport sector.
Based on existing plans and policies, the potential of GHG emission is approximately 73 Million tons
CO2eq or 20 percent by 2020, with the aim of reducing at least 61 Million tons-CO2eq in the energy
sector (particularly electricity, industry and waste-to-energy sub-sectors) and at least 12 Million tonsCO2eq in the transport sector. The reduction of 73 Mt of CO2-eq could be divided into two types of
mitigation actions, domestically supported actions of about 23 Mt of CO2-eq and internationally supportedof about 50 Mt of CO2-eq.
The project was later submitted to the Sub–Committee on Climate Change Technical Support and the
Sub–Committee on Climate Change Negotiation for consideration. After the endorsement of these subcommittees, the project has been used as a framework for relevant agencies in order to reach emissions
reduction targets in Thailand.
As a result, as part of the global actions, Thailand has become the 58th developing country to voluntarily

59submit NAMAs declaring its intention to achieve ambitious mitigation targets in line with national
development plans. Thailand pledges, on a voluntary basis, to reduce its GHG emissions in energy andtransport sectors within a range of 7 – 20% below the business as usual (BAU) level in 2020, subject
to the level of international supports in the forms of technology development and transfer, finance, andcapacity building for NAMAs preparation and implementation.

“Thailand will endeavor, on a voluntary basis, to reduce its GHG emissions in the range of
7 to 20 percent below the Business as Usual (BAU) in energy and transportation sectors
in 2020, subject to the level of international support provided in the forms of technology
development and transfer, finance, and capacity building for NAMAs preparation andimplementation.”

SectionⅠ

Table 2: Identified CO2 countermeasures and total CO2 mitigation in Thailand’s NAMAsNAMAs

CO2 Countermeasures

CO2 reduction in 2020
(kt-CO2)RE Power (MAC)
EE Large Industries(MAC < 10$/t-CO2)
Building Codes (Large
Domestically

SectionⅡ

Supported NAMAs

buildings)
Transport/Ethanol(AEDP 2012)
Transport/Biodiesel 1st
Gen (AEDP 2012)
Sub-total

23,330 kt-CO2

RE Power (MAC > 10$/t-CO2 plus AEDP)

SectionⅢ

EE Large Industries
InternationallySupported NAMAs(MAC > 10$/t-CO2)
Transport/Biodiesel 2nd
Gen (AEDP)
Environmental
Sustainable Transport
Sub-total

49,658 kt-CO2

Total Domestic and Supported NAMAs

72,988 kt-CO2

Total emissions in 2005

192,724 kt-CO2

Total emissions in BAU2020

367,437 kt-CO2

Source: Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s Nationally
Appropriate Mitigation Actions”, by SIIT

60

Thailand’s Nationally Appropriate Mitigation Actions (in energy sector and transport sector) and its MRV system

16

Potentialof Thailand’s
Nationally
Appropriate
Mitigation
Actions,
2013
TGO
byby
SIIT
Potentialof Thailand’s Nationally
Appropriate
Mitigation
Actions,
2013
TGO
SIIT

SectionⅠ

Source: Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s Nationally
Appropriate Mitigation Actions”, by SIIT

Source: Thailand Greenhouse Gas Management Organization, 2013, “Potentialof Thailand’s Nationally Appropriate Mitigation Actions”, by SIIT
Thailand Steps on MRV Institutional Arrangement

Ministerial Level

National Level
National Committee on Climate
ChangeSectionⅡ

Structure of NAMAs/MRV Tracking
4

Final Approval the GHG Emission Reduction
from Mitigation Measures/Policies for the
preparation of NC1 and BUR2

2

Sub-committee on NAMAs/MRV

3

SectionⅢ

Climate Change Coordination
Working Group, Ministry of Energy

Approve the GHG Emission Reduction
from Mitigation Measures/Policies

Approve the GHG Emission Reduction
Prepare the GHG Emission Reduction Results

Academic Sub-Working Group

1

Remarks :1 NC: National Communication
2 BUR: Biennial Update Report

Policy/Measure Selection for the Evaluation of
GHG Emission Reduction

GHG Emission Reduction Evaluationconsist of
1. The Institutional Arrangement of MRV
2. Methodology
3. Coefficient/ Emission Factor

1

Source: Office of Natural resources and Environmental Policy and Planning, 2015,“National Committee on
Climate Change meeting agenda on 26 June 2015”

61

The Measurement, Reporting and Verification (MRV) system is an important process to ensure thecredibility, transparency, accuracy, consistence, completeness and comparability of the performanceof greenhouse gas reduction. The relevant authorities shall develop and operate the MRV system
concurrently with the implementation of greenhouse gas reduction.
In this regard, the Ministry of Energy in cooperation with the Ministry of Natural Resources andEnvironment recognizes the importance of developing NAMAs and its MRV system for the implementationof Domestically Supported NAMAs from the Renewable Energy and Energy Conservation Measures. The
MRV system was developed based on the principles of the MRV General Guidelines according to the
UNFCCC COP decision 21 / CP.19.
The scope of the National MRV system for NAMA Tracking covers the operational activities toreduce greenhouse gases under the NAMAs related to energy policy and planning of Thailand,
which are:1) Alternative Energy Development Plan 2012–2021 (AEDP)

SectionⅠ

2) Energy Efficiency Development Plan 2011–2030 (EEDP)The 4 main mitigation measures for the MRV system under the Energy Policy and Plans are
categorized by type of methodology used. Which are:
1. The use of biofuels and fossil fuels substitution
2. Increase of energy efficiency in buildings
3. Increase of energy efficiency in the manufacturing sector

SectionⅡ

Relevant Agencies for NAMAs and MRV system
The role of the agencies involved in considering the implementation under the NAMAs Tracking/MRV
system under the above mentioned measures are:1) Energy Policy and Planning Office (EPPO)
2) Department of Renewable Energy and Energy Efficiency (DEDE)
3) The Department of Energy Business (DOEB)
4) Energy Regulatory Commission (ERC)

SectionⅢ

5) The Electricity Generating Authority of Thailand (EGAT)
6) The Provincial Electricity Authority (PEA)7) The Metropolitan Electricity Authority (MEA)
8) Thailand Greenhouse Gas Management Organization (Public Organization) (TGO)62

Thailand’s Nationally Appropriate Mitigation Actions (in energy sector and transport sector) and its MRV system

NAMAs Tracking System and MRV processes
Alternative Energy Development
Plan 2012 - 2021

Energy Efficiency Development Plan
2010 - 2030
Designatedโรงงาน
Factories

DesignatedFactories

Activity A

Activity A

Activity B

Activity Bควบคุม

EnergyData
Power Management Reportof the factory / building

EnergyData

Energy data

Power PlantsImprove theefficiency ofelectricity
productionReplacement/
RepoweringOthers

Increase power
generationfrom renewableenergyMelectricity
data by eachpower plantelectricity
data by eachpower plantR

Biofuels
Oil

Oil

Oil

Com

Com

Com

pany

pany

pany

1

2

3

Usage of
Gasohol/Biodiesel
in Transport

Verify sector based SEC

DEDE
GHG Data

EGAT
EnergydataV
GHG Data

DOEB

ERC
Energydata

GHG Data

EPP
O
GHG result and verify GHG reduction
in Energy Sector

Energydata

SectionⅠ

EnergyVerifier

Power Plants

GHG Data

Over all MRV

Submit to Climate Change Coordinator (CCC)

Source: Thailand Greenhouse Gas Management Organization

SectionⅡ

Challenges and Opportunities•

The national circumstance is the key factor in deciding budget allocation. The national budget
needs to be allocated according to national priorities.

•

The cost of renewable technologies is still too high to be utilized and invested country wide.
International support for NAMAs are needed, as some measures require high investment cost andadvanced technology, such as solar and wind energy, energy efficiency technologies in large
Industries, 2nd Gen Biodiesel and measures in Environmental Sustainable Transport Master plan.

SectionⅢ

Conclusion
The identified CO2 countermeasures under Domestic NAMAs show that Thailand have taken
responsibility and prepared for voluntary mitigation under the low ‐ carbon development pathway.
However, Thailand and other developing countries need capacity building to prepare CO2
countermeasures under the NAMAs. In addition, developed countries should support developing
countries in terms of capacity building, technology transfer for CO2 CMs, and financial supports in orderto overcome barriers to accelerate the transformation of the country to a low carbon economy / lowcarbon society.

63Reference:
Thailand Greenhouse Gas Management Organization, 2013,“Potential of Thailand’s Nationally
Appropriate Mitigation Actions”, by SIIT
Office of Natural resources and Environmental Policy and Planning, 2015,“National Committee on
Climate Change meeting agenda on 26 June 2015”
Thailand Greenhouse Gas Management Organization, 2015,“Nationally Appropriate Mitigation Action
and MRV system (NAMA Tracking)”

Consultation:
Dr. Natarika Wayuparb Nitiphon, Deputy Director of Thailand Greenhouse Gas Management Organization

SectionⅠ(Public Organization)

2.5
SectionⅡ

By

Case study of NAMAs in the waste water sector of
Vietnam - Van Phuc slaughterhouse
Huynh Thi Lan Huong, Do Tien Anh and Vuong Xuan Hoa
Vietnam Institute of Meteorology, Hydrology and Climate Change (IMHEN)
Yuko Komiya
Overseas Environmental Cooperation Center, Japan (OECC)

Background
Wastewater from slaughterhouses contains highly soluble and insoluble organics. It will cause water

SectionⅢ

pollution if it is left untreated or improperly treated before release into the environment. In developed
countries, slaughterhouses often discharge their wastewater in municipal sewers after some levelof chemical pretreatment (Massé and Masse, 2000). These preliminary treatments are not sufficient
to reduce pollutant levels below municipal standards. Thus, they must pay a surcharge to havetheir wastewater further treated at municipal treatment plants. In Vietnam, there is regulation ofwastewater standards. However the enforcement of this regulation is not strict enough. As a result,most slaughterhouses do not install wastewater treatment systems. Several slaughterhouses have theirown simple wastewater handling systems, but they actually do not work properly. Consequently, mostwastewater from slaughterhouses is directly discharged into the environment. In order to strengthen
the enforcement of wastewater regulation and to encourage slaughterhouse owners to voluntarily
handle wastewater, climate change mitigation such as CDM, JCM or especially NAMAs could be viable
solutions. Support from those mechanisms could narrow existing gaps and overcome barriers to theimplementation of wastewater handling in Vietnam. These gaps and barriers might be the lack ofadvanced and cost-effective technologies, the lack of awareness of the cost-benefits of environmental
protection, the lack of capacity to operate wastewater handling systems, or the lack of support orinitiatives for environmental protection.
Handling wastewater from slaughterhouses, which generally contains a number of contaminants, may

64

Case study of NAMAs in the waste water sector of Vietnam - Van Phuc slaughterhouse

Vietnam proposes to apply gas-lifted MBR technology with a combination of aerobic andanaerobic processes to handle wastewater from Thinh An slaughterhouse. This case study
will focus mainly on GHG emisisons and reductions analysis from the proposed wastewater
treatment technology.
require various appropriate methods such as physical, chemical, physical-chemical and biologicalmethods. Among these, biological treatment appears to be a promising technology because it not only
effectively treats wastewater, but also through an anaerobic process may provide methane that canbe Selection
utilized asofa renewableenergyresource(Yi technology
Jing Chan et al., 2009). Biological methods can bea pilot NAMA
andproposeddeveloped using a number of technologies. Among them, MBR technology is a potential treament system

Selection of a pilot
NAMA A preliminary study for a NAMA in the wastewater sector in Vietnam
fora)
slaughterhouses’
wastewater.

proposes to apply gas-lifted MBR technology with a combination of aerobic and anaerobic processes to

The scale, environmental situation and the availability of data are the main criteria to selectpilot NAMA.
Van
Phuc
is locatedin VanPhuc Commune (Figure 1) with
andthereductions
analysisfromthe slaughterhouseproposed wastewater
treatment
technology.
Thinh An Joint Stock Company as one of its investors. It is one of the biggest slaughterhousesin the North of Vietnam. According to survey data, the area of Van Phuc slaughterhouse is
Selection of a2 pilot NAMA and proposed technology
around 8,000m and it is designed with a capacity of 1,500 pigs/day-night. It has beena) Selection of a pilot NAMA
operating since 2012. After three months in operation, its productivity was 600 - 700
The scale, environmental situation and the availability of data are the main criteria to select thepigs/day-night, reaching over 50% of the designed capacity. The productivity sometimes
pilot NAMA. Van Phuc slaughterhouse is located in Van Phuc Commune (Figure 1) with Thinh An
reaches
pigs/day-nightit has Itneverat itsslaughterhouses
full capacity. inItsthewastewater
Joint
Stock 900
Company
as one of itsbut
investors.
is oneoperatedof the biggest
North of23and itVietnam.
Accordingtosurvey
data,
the
area
of
Van
Phuc
slaughterhouseisaround8,000mdischarge fluctuates between 80-120 m /day. In order to treat wastewater, the company
is designed with a capacity of 1,500 pigs/day-night.
It has been operating since 2012. After three
installed a temporary pipeline, a 2,200m3 biogas treatment system with two settling tanks andmonths in operation, its productivity was 600 - 700 pigs/day-night, reaching over 50% of the designed
a biogastank.
Becausesometimesof this incomplete
wastewater
treatment
system,wastewatercapacity.
The
productivity
reaches 900
pigs/day-night
but ithas neveroperated fromat its Van
full
3
/day.
In
order
to
treat
wastewater,
capacity.
Itswastewater
discharge
fluctuates
between80-120m
Phuc slaughterhouse is mostly discharged into the Red River. The large scale in terms ofthe company installed a temporary pipeline, a 2,200m3 biogas treatment system with two settling tanks
capacity and wastewater discharge implies that Van Phuc slaughterhouse could be a modeland a biogas tank. Because of this incomplete wastewater treatment system, wastewater from Van
forslaughterhouse
technology applicationand may have
highRedpotential
for large
GHGscaleemisison
reductions.
Phucis mostly discharged
into theRiver. The
in terms
of capacity andhandle wastewater from Thinh An slaughterhouse. This case study will focus mainly on GHG emisisonsSectionⅠ
SectionⅡ

wastewater discharge implies that Van Phuc slaughterhouse could be a model for technology applicationand may have high potential for GHG emisison reductions.

Figure 1. Location of Van Phuc slaughterhouse

Figure 1: Location of Van Phuc slaughterhouse

SectionⅢ

2

65

Table 1: Wastewater Characteristics of Van Phuc slaughterhouse
Parameters

Units

Sample 1

Sample 2

Vietnamese standards QCVN 40:2011/BTNMT(column B)

COD

mg/L

1875

2050

150

BOD5

mg/L

1005

1010

50

TSS

mg/L

520

980

100

DO

mg/L

0,1

0,17

-

6,4

6,01

5,5 - 9pH
NH4 -N

mg/l

88,4

92,4

10

TN

mg/l

252

336

40

PO4 -P

mg/l

47,75

32,1

-

TP

mg/l

65,2

34,1

6

+

3-

SectionⅠ

Notes:- Sample 1: samples collected at the positions right after surgery (not yet through processing of organs)- Sample 2: samples collected at the positions after completion of the surgical stages (including processing of organs)
COD: Chemical oxydation demand; BOD5: Biological oxygen demand; TSS: Total suspended solid; DO: Disoveld
oxygen; TN: Total Nitrogen; TP: Total Phosphate.

The characteristics of wastewater from Van Phuc slaughterhouse can be analysed with the data
in Table 1. These figures show that wastewater discharged from the slaughterhouse exceeds
Vietnamese standards in most of the parameters. Some parameters are 10 to 20 times higher than thestandards -- COD and BOD5, for instance. It indicates that the wastewater treatment system at Van

SectionⅡ

Phuc slaughterhouse is ineffective or not working properly. That is another reason why Van Phucslaughterhouse should be chosen as a pilot NAMA in the wastewater sector. The third reason is that thenecessary data for calculating emissions and mitigation potential of the slaughterhouse were surveyed
under another project and are available for use.

b) Proposed technology
The major wastewater handling technology proposed for Van Phuc slaughterhouse is gas-lifted MBR

SectionⅢwith some characteristics: a combination of biological process and membrane filtration process;membranes are microfiltration (MF) or ultrafiltration (UF). This is currently one of the most promisingbioreactor technologies. A few of its recognised advantages can be named:

Figure 2. MBRs technology

Source: Authors
66

Figure 2: MBRs technology

Source: Authors’own elaboration(1) Particle-free effluent (removal of pathogenic protozoa, colloids, suspended solids; highquality effluent); (2) Absolute barrier for retention of biomass (high biomass and microbial

Case study of NAMAs in the waste water sector of Vietnam - Van Phuc slaughterhouse(1) Particle-free effluent (removal of pathogenic protozoa, colloids, suspended solids; high quality
effluent); (2) Absolute barrier for retention of biomass (high biomass and microbial activity (5-10X);
gravity-settling clarifier eliminated); (3) Decoupling of HRT and SRT (retention of slower-growing
microbes (e.g., nitrifiers and methanogens); retention of more recalcitrant substrates (particulate or
higher-MW substrates) to permit slow degradation); (4) Remote-monitoring and control appropriate (onsite landfill leachate treatment); (5) Potential for bioaugmentation (can utilize and fully-contain microbes“trained”to break down select contaminants), etc. However, the application of gaslift MBR currently
faces two challenges, which are high energy consumption for pumping and fouling of the membrane.
The configuration of gaslift MBR could be the solution for those two challenges. The biogas produced inanaerobic processes could be utilized to lift the wastewater through a membrane module. The gas could
create continuous turbulence and increase shear over the surface of the membrane, thereby reducing
fouling of the membrane and the pressure inside it. That results in reducing energy needed to pumpwater through the membrane.
We proposed a gaslift MBR for Van Phuc slaughterhouse, described in Figure 2. The wastewater was

SectionⅠ

first pretreated by a screen and sedimentation, then treated by anaerobic processes in a UASB, thenby an aerobic process in an aeration tank. The aeration tank is coupled with a gaslift membrane. Figure

eventually be transported to, and treated in, the anaerobic digester, thereby enhancing energy
recovery.treatment
All the processsludge andcollected
in the sedimentation
UASB and aeration
wastewaterin an anaerobic
biodigester fortank,the sludge-handlingprocess.tank
The isusetreatedof a membrane
is not only
for enhancing
quality producedof water but
for retaining
the biomassin an anaerobic
biodigester.
Thethebiogases
arealsocollected
and usedfor gas lift
in the system, which will eventually be transported to, and treated in, the anaerobic digester, thereby
and power-generation purposes. The summarised efficiencies and operational conditions ofenhancing energy recovery. All the sludge collected in the sedimentation tank, UASB and aeration tankthe systems
are shownbiodigester.
in Table 2.The biogases produced are collected and used for gas lift andis treatedin an anaerobic
2 shows that the energy was able to be recovered by collecting and utilizing biogas in the UASB in the

SectionⅡ

power-generation purposes. The summarised efficiencies and operational conditions of the systems areshown in Table 2.

Figure 3. Proposed wastewater handling process for Van Phuc slaughterhouse

Figure 3: Proposed wastewater handling process for Van Phuc slaughterhouse

SectionⅢ

Source: Authors

Source: Authors’own elaboration

Table 2. Several Designed Parameters
Parameters/Reactors
COD removal efficiency

Anaerobic reactor
50%

Aerobic reactor
99%

Membrane
Tubular67

Table 2: Several Designed Parameters
Parameters/Reactors

Anaerobic reactor

Aerobic reactor

COD removal efficiency

50%

99%

Sludge concentration

6000 mg/l

8000 mg/l

HRT

36h

12h

SRT

60 days

16-20 days

Membrane

Tubular membrane;
ultrafiltration (UF)* COD: Chemical oxygen demand; HRT: Hydraulic retention time; SRT: Solid retention time.

GHG calculation methodologies
The case study applies CDM methodologies, namely AMS-III.H and AMS-III.I for either anaerobic or
aerobic treatment of wastewater. AM-III.H methodology (Small-scale Methodology - Methane recovery
in wastewater treatment, version 17) is applied to calculate the methane emission potential and theSectionⅠ

recovery and use of this amount of methane. AMS-III.I methodology (Avoidance of methane production
in waste water treatment through replacement of anaerobic systems by aerobic systems, version 08) isapplied to estimate emission reductions by an aerobic process.
Baseline scenario (BAU): There are two baseline scenarios which are:
1. Baseline emissions BE1- without the proposed wastewater treatment system (or current
situation)
BEy(1)=BEww,discharge,y(1)SectionⅡ

Where:
BEy(1) = Baseline emissions in year y (t CO2e)
BEww,discharge,y = Baseline methane emissions from degradable organic carbon in treated wastewater
discharged into sea/river/lake in year y (t CO2e).
2. Baseline emissions BE2- withproposed wastewater treatment system but without CH4 capturesystem and power generator
BEy(2)=BEww,treatment,y+BEs,treatment,y+BEww,discharge,y+BEs,final,y+BEww,treatment,y(aerobic reactor) (2)SectionⅢ

Where:
BEy(2) = Baseline emissions in year y (t CO2e)
BEww,treatment,y = Baseline emissions of the anaerobic wastewater treatment systems affected by the project
activity, and not equipped with biogas recovery, in year y (t CO2e)
BEs,treatment,y = Baseline emissions of the sludge treatment systems affected by the project activity, and notequipped with biogas recovery, in year y (t CO2e)
BEww,discharge,y = Baseline emissions from degradable organic carbon in treated wastewater discharged into
sea/river/lake in year y (t CO2e)
BEs,final,y = Baseline emissions from anaerobic decay of the final sludge produced in year y (t CO2e)
BEww,treatment (aerobic reactor) = Baseline emissions during the biological aerobic treatment of wastewater (t CO2e).
Table 3: Results for baseline emissions
Factor68

Value(t CO2e)

BEww,discharge,y33.297

BEww,treatment,y133.189

Case study of NAMAs in the waste water sector of Vietnam - Van Phuc slaughterhouse

BEs,treatment,y28.154

BEww,discharge,y16.649BEs,final,y17.596

BEww,treatment (aerobic reactor)

19.630

Project emissions: Project boundary is the physical, geographical site where the wastewater andsludge treatment takes place in baseline and project situations. It covers all facilities affected byproject activities including sites where processing, transportation and application or disposal of waste
products as well as biogas take place. When a methane recovery system is added, recovered methane
is collected and combusted to generate electricity. Methane emissions will then become CO2 emissions.
Project emissions with the proposed wastewater treatment system, a CH4 capture system and a power
generator consist of:
PEy= PEfugitive+ PEc – EReg

(3)

SectionⅠ

Where:
PEy = Project emissions in the year y (t CO2e)
PEfugitive= Methane fugitive emissions due to inefficiencies in capture system (or emissions from CH4
release in capture systems) (t CO2e)
PEc = Emission due to methane combustion (t CO2e)
EReg = Emissions reduction equivalent to generated electricity from methane recovery (t CO2e);Table 4: Calculation results of factors for PE calculation

SectionⅡ

FactorValue (t CO2e)

PEfugitive

10.761PEc

22.490EReg

4.143
Source: Authors’own elaboration

Potential GHG emission reduction until 2020
SectionⅢ

Emissions reduction:
ER = BE – PE

(4)

It is assumed that Van Phuc slaughterhouse will not plan to increase its operational capacity in the nextten years. Therefore, there will be no change in wastewater volume in the period 2014-2020. Results
for the period 2014-2020 are shown in Table 5 below.
Table 5: Results of emission reductions (Unit: tCO2e)
Year

2014

2015

2016

2017

2018

2019

2020

Total

BE1

33.30

33.30

33.30

33.30

33.30

33.30

33.30

233.08BE2

215.22215.22215.22215.22215.22215.22215.221506.52

PE

29.11

29.11

29.11

29.11

29.11

29.11

29.11

203.76

ER1

4.19

4.19

4.19

4.19

4.19

4.19

4.19

29.32

ER2

186.11

186.11

186.11

186.11

186.11

186.11

186.111302.76

Source: Authors’own elaboration

69

Year
2014
BE1
33.30
BE2
215.22
PE
29.11
ER1
4.19
186.11
ER2
Source: Authors

2015
33.30
215.22
29.11
4.19
186.11

2016
33.30
215.22
29.11
4.19
186.11

2017
33.30
215.22
29.11
4.19
186.11

2018
33.30
215.22
29.11
4.19
186.11

2019
33.30
215.22
29.11
4.19
186.11

2020
33.30
215.22
29.11
4.19
186.11

Total
233.081506.52203.7629.32
1302.76

Figure4: Emission
reduction,baseline
baseline andand project
period2014-2020
Figure4. Emission
reduction,
projectemissions,emissions,period2014‐2020

250.00200.00t CO2e150.00BE1

100.00

PE

BE2

50.00

SectionⅠ

0.00

Source: Authors

2014 2015 2016 2017 2018 2019 2020
Year
Source: Authors’own elaboration

In this case study, there are two baseline emissions including: BE1- without a wastewater treatment
system; and BE2, a wastewater treatment system without a CH4 capture system and power generator.

Inauthors
this casestudy,
there aare
twoprojectbaselineemissionsBE1-technology
without aforwastewaterThe
havesuggested
NAMA
emission– PE –including:applying MBRsasystemwithout
and a power
The emission
wastewater
system,with CH, a wastewater
treatment
systema CHgenerator.
andtreatmenttreatment
system; andBE2combined
4 capture
4 capture system

reduction ER1 and ER2 for BE1 and BE2 respectively have been also calculated. The results show that

SectionⅡ

power generator. The authors have suggested a NAMA project emission – PE – applying
capture issystemMBRs
a 1wastewater
treatment
system,combinedwith CH
is freely released
into theenvironment.
However,
this4 scenario
notmostof thetechnology
wastewaterforin BE
consideredthebaseline
scenarioastheslaughtershouse
has
to
apply
the
wastewater
treatment
process
and a power generator. The emission reduction ER1 and ER2 for BE1 and BE2 respectively
according to regulations. Therefore, the baseline scenario in this casestudy is BE2 - a wastewater
have been also calculated. The results show that emissions from BE1 are slightly higher thantreatment system without a CH4 capture system and power generator. In this way, emission reductions
is because
most– ofthe wastewater in BE1 is freely
from tCO
PE 2(only
29.32tCO
2e).2Thise/yr or
1,302.8 tCO
e in theperiod 20142020.
willemissions
be up to 186.1
released into the environment. However, this scenario is not considered the baseline scenario
as the slaughtershouse has to apply the wastewater treatment process according to regulations.
Conclusions: Lessons learned and the way forward
Therefore, the baseline scenario in this casestudy is BE2 -- a wastewater treatment system

SectionⅢ

emissions from BE1 are slightly higher than emissions from PE (only 29.32tCO2e). This is because

With the current status of wastewater treatment at slaughterhouses in Vietnam, the paper has
analyzed GHG reduction potential with MBR technology in Van Phuc slaughterhouse. This process is
a combination of anaerobic and aerobic treatment, with
8 a CH4 capture system and a power generator.

The results indicate that the application of MBR technology combined with a biogas recovery systemand power generators in slaughterhouses could be a transformational NAMA. Success in applying MBR
technology will contribute to enabling either a significant evolution in terms of scope (e.g. scaling-up or
replication), or enabling a faster and/or a significant change in handling slaughterhouses’wastewater.
The pilot implementation of the NAMA will be a role model for applying large-scale treatment ofwastewater from slaughterhouses with gas-lifted MBR technology and biogas recovery and use. There
are more than 20,000 slaugherhouses in Vietnam. Most of them don’t have wastewater treatment
system which result in severe pollutions to the evironment and a huge source of greenhouse gases.
If the gaslift MBR could be upscale applied for the whole countries, that will benefit not only the GHG
emission reduction but also environment.

70

Case study of NAMAs in the waste water sector of Vietnam - Van Phuc slaughterhouse

Additionally, regarding social aspect, the NAMA could potentially contribute to job generation for local
residents in the project area, improvement in working-environment conditions, or in community capacity
in wastewater treatment. It would be much beneficial for the slauterhouse particularly in ensuring tomeet the requirements in standardized wastewater treatment, also for the private company that would
invest in developing technology and for some other relevant parties such as the third party involving to
the verification process after NAMA implementation.
Currently, there are some legal basis which would facilitate to this NAMA implementation, including
many policies related to wastewater management in Vietnam such as Decision No. 1930/QD-TTg on
approving the development orientation of urban drainage and Industrial Zone in Vietnam by 2025 with avision to 2050; Decree of the Government No. 67/2003/ND-CP on environmental protection charges for
wastewater or Decree No. 80/2014/ND-CP on wastewater drainage and treatment. In addition, a wide
range of programs, projects related to climate change mitigation in waste sector would also support the
NAMA, namely the National Target Program to Respond to Climate Change (NTP-RCC), Support Programto Respond to Climate Change (SP-RCC), National GHG inventory reports, Biennial Update Report 1(BUR1) of Vietnam, etc.

SectionⅠ

Although MBR technology has high efficiency in wastewater treatment with many advantages andthe application of the gaslift MBR configuration could be very promising, it is still facing several
challenges, especially in applying for developing countries like Vietnam such as high initial cost. Lack of
domestically produced technology, lack of experience, skills in technology application are several gaps
in this proposed NAMA as well. Therefore, the international support namely in capacity building as wellas technical and financial aspects should levarage the implementation of this NAMA. Further researchshould also be conducted for technical improvement in order to harmonize costs and benefits in applying
this technology in Vietnam wastewater treatment.

SectionⅡ

References
Data from the authors’survey at Van Phuc slaughterhouse, Van Phuc Commune, Thanh Tri district,Hanoi.
Dr. Do Tien Anh. 2015. Project:“Researching, applying and developing utilized advanced integrated
technological model and use of renewable energy to handle effectively, sustainably waste sources

SectionⅢof solid and liquid mixtures derived from centered slaughterhouses”under Program KC.08 / 1115: Research on science and technology serving disaster prevention, environmental protection andrational use of natural resources.
D.I. MASSÉ and L. MASSE. (2000),“Treatment of slaughterhouse wastewater in anaerobic sequencing
batch reactors”, CANADIAN AGRICULTURAL ENGINEERING. Vol. 42, No. 3.
United Nations Framework Convention on Climate Change (UNFCCC),“Clean Development Mechanism(CDM) methodologies”, https://cdm.unfccc.int/methodologies/index.html.
Yi Jing Chan, Mei Fong Chong, Chung Lim Law, D.G. Hassell. (2009),“A review on anaerobic–aerobic
treatment of industrial and municipal wastewater”, Chemical Engineering Journal.

71

Transformational change and NAMAs in the
agriculture, forestry and other land use sector

2.6
By

Mirella Salvatore, Kaisa Karttunen, Armine Avagyan and Rocío D. Cóndor-Golec
Food and Agriculture Organization of the United Nations (FAO)

Background
Agriculture needs to undertake substantial measures to adapt to climate change if it is to produce
enough food to meet current and future global demand. Today, nearly 795 million people are chronicallyundernourished (FAO et al., 2015). According to FAO estimates, by 2050 global food production will needto increase by 60 percent over 2005/2007 levels to feed the expanding population and meet changing
food consumption patterns (Alexandratos et al., 2012). Agriculture is highly vulnerable to changes inclimate. Climate change causes fluctuations in food supply and prices, damages infrastructure, createsfood safety hazards and reduces opportunities for agricultural communities to generate income andSectionⅠ

strengthen livelihoods.
The Agriculture, Forestry and Other Land Uses (AFOLU) sector is responsible for 22-24 percent of
total greenhouse gas (GHG) emissions. Agriculture accounts for 10-12 percent and forestry and otherland use for 12-14 percent. Over the last few decades, there has been a significant increase in global
GHG emissions from agriculture, while emissions from deforestation have been decreasing (IPCC,
2014). Population growth and changes in food consumption patterns (e.g. higher demand for milk andmeat products) will lead to a continued increase in GHG emissions from the agricultural sector unlesschanges are made in production systems. Methods need to be found to reduce the emission intensity ofSectionⅡ

agricultural outputs. In other words, it is necessary to generate fewer GHG emissions per kilogram or
litre of agricultural product. To reduce the emission intensity of agricultural products, a critical look must
be directed at agricultural systems and practices to identify opportunities for transforming the entire
agriculture sector and related value chains.
In principle, there are two options in agriculture for developing mitigation actions: reducing andremoving emissions. There are many options for reducing GHG emissions in agriculture, such as using
nitrogen fertilizers more efficiently, improving livestock health and feeding practices, reducing tillage
and drainage on organic soils, improving irrigation management and reducing deforestation and forest

SectionⅢ

degradation caused by expanding farmlands. Options for removing GHG emissions in the agricultural
sector include improved nutrient and waste management, improved pasture and rangeland management,
the adoption of agroforestry systems and crop rotation.

Status of AFOLU NAMAs
NAMAs can be useful vehicles for reducing net GHG emissions and transforming the agriculture sector,
as they are intended to achieve multiple objectives. NAMA development in agriculture has the potential
to simultaneously address climate change mitigation, productivity, food security and sustainable ruraldevelopment.
Until recently, there have been few NAMA concept notes and proposals prepared for the AFOLU sector.
However, the situation is changing. As of August 2015, 16 percent of the 101 NAMAS registered in the
NAMA registry are in the AFOLU sector.
NAMAs should clearly identify links between mitigation actions and sustainable development. It isparticularly important that NAMAs in the agriculture sector be connected to national agricultural72

Transformational change and NAMAs in the agriculture, forestry and other land use sector

development plans and strategies.
Table 1 presents some examples of AFOLU NAMAs that are being prepared or implemented in different
countries. They focus on emission reductions mostly from the livestock sector (e.g. Costa Rica andUganda) and the forestry sector (e.g. Georgia, Mali, Tajikistan and Uruguay). Several countries havealready obtained financing for their agriculture NAMAs. The financing has been used to conduct detailed
analyses of GHG mitigation potential and to design concrete implementation plans, and to develop
Measurement, Reporting, and Verification (MRV) systems.
Table 1: Examples of AFOLU NAMAs.
Country
Burkina Faso

Chile

Title

Timeframe

Financially supported by the InterAmerican Bank and NAMA Facility

Implementation of a National Forestry
and Climate Change Strategy,
including the development andimplementation of a Platform for the
Generation and trading of forest
carbon credits

4 years

Seeking support for implementation

Livestock NAMA

15 yearsFinancially supported by the InterAmerican Bank

Low carbon coffee *5 years

Financially supported by the InterAmerican Bank and NAMA Facility

Blue Carbon NAMA: Conserve andrestore mangroves

18 months

Seeking support for preparation

Reducing GHG emission in pig farms

15 years

Seeking support for implementation

Adaptive sustainable forest
management

Georgia

2 years

Financially supported by theGovernment of Austria

Forestry NAMA-

Tajikistan

Forestry NAMA*

6 years

Financially supported by the NAMA
Facility

UgandaDeveloping appropriate strategies
and techniques to reduce methane
emissions from livestock production

6 months

Seeking support for preparation

Expansion of electricity generationfrom sustainable forestry biomass byproducts

13 years

Seeking for recognition

Sustainable production with lowemission technologies in agriculture
and agroindustry production chains

24 months

Seeking support for preparation

Uruguay

Seeking support for preparation

SectionⅢ

Mali

SectionⅡ

5 years

SectionⅠ

Biomass Energy NAMA Support
Project*

Costa Rica

Dominican
Republic

Status

Source: Submitted NAMAs to the UNFCCC registry and NAMAs financed by the NAMA Facility*, as ofAugust 2015

In addition to substantially lowering GHG emissions, AFOLU NAMAs can provide significant socioeconomic benefits. For instance, the Low Carbon Coffee NAMA in Costa Rica, a sector-wide project
designed to bring about a climate-friendly transformation of the entire coffee value chain, has thepotential to reduce emissions by 1.85 million tonnes of carbon dioxide equivalent over 20 years. In
addition, it will also enable farmers and millers to develop sustainable livelihoods, potentially improving
the living standards of more than 400,000 people. By providing grants, loans and guarantees that will
enable coffee farmers and millers to use GHG-efficient fertilizer and adopt improved milling technologies,
the Costa Rica project offer incentives to the private sector to make investments in climate-friendly73innovations1.
The Forestry NAMA in Tajikistan is planned to sequester 2.01 million tonnes of carbon dioxide equivalentby 2030 and support biodiversity conservation, climate change adaptation and ecosystem services. The
Tajikistan NAMA will create new jobs and generate income, mobilize private sector finance, and catalyse
additional national funding2.

Barriers and challenges of transformational changes in AFOLU NAMAs
Transformational change is defined as“a structural change that alters the interplay of institutional,
cultural, technological, economic and ecological dimensions of a given system. It will unlock newdevelopment paths, including social practices and worldviews”(Mersmann et al., 2014).
The concept of transformational change gained increased attention with the launch of the Green Climate
Fund, which is intended to“In the context of sustainable development, […] promote the paradigm shift

SectionⅠ

towards low-emission and climate-resilient development pathways by providing support to developing
countries to limit or reduce their greenhouse gas emissions and to adapt to the impacts of climatechange, taking into account the needs of those developing countries particularly vulnerable to theadverse effects of climate change”(UNFCCC, 2011).
Transformational change is a concept that is expected to contribute to long-term sustainable
development. The concept is evolving as countries gain more knowledge and experience. Fosteringtransformational change has become an explicit ambition of international NAMA financing. Development

SectionⅢ

SectionⅡ

pathways are considered conducive to transformational change if they:•

contribute to the change of prevailing structures of a sector with high emissions;•allow for a significant shift from business-as-usual practices;•

propose an innovative approach and response;•

have a catalytic effect beyond a one-off project or programme investment;•

can be scaled up and replicated;•

are supported by local ownership and political commitment;•

engage the private sector;•

contribute to learning and generally increase knowledge; and•create an enabling environment for the long-term implementation.

Due to the complex nature of the AFOLU sector, there are several challenges that can be expected to
be encountered in meeting the requirements for transformational change.
The key to enabling transformational change in agriculture centers on enhancing productivity. Strategies
to increase the productivity and sustainability of agricultural practices must consider both the risks andsocio-economic costs and benefits for a large and diverse group of people living in landscapes withdifferent ecological conditions, and both the public and private sector interests.
The implementation of transformational change is a challenging undertaking in the AFOLU sector given
the limitations of land and trade-offs that need to be made to ensure the sustainable management offorests and natural resources. Furthermore, limited risk management mechanisms and uncertainty about
the likely benefits can discourage stakeholders from carrying out mitigation actions. To overcome thisbarrier, the provision of risk guarantees or insurance schemes are needed. To cover upfront investment741

http://www.nama-facility.org/projects/costa-rica.html

2

http://www.nama-facility.org/projects/tajikistan.html

Transformational change and NAMAs in the agriculture, forestry and other land use sector

and maintenance costs, stakeholders will need easy access to affordable capital. Generating tangible
co-benefits, such as increased productivity, can make NAMAs more attractive to stakeholders.
The high number of group and individual stakeholders in the AFOLU sector is a potentially limiting
factor for achieving sector-wide transformation. To reach this large number of people, substantialchanges at the policy level or in the operations of private companies will be required. The introductionof government subsidies or taxes supporting the adoption of climate-friendly agricultural practices, orthe decision of private companies to only purchase products produced in a carbon-neutral way, are two
examples of actions that can trigger transformational change in the AFOLU sector.
Identifying the stakeholders in the forestry sector can also be challenging. Access and ownershiprights are fundamental policy issues in multiple-use forestry. Good governance is crucial for achieving
sustainable development in this sector.
Because of the diversity of the ecosystems and production systems, and the extremely wide range of
agricultural and forestry activities and practices worldwide, there is a broad range of possible options
for AFOLU NAMAs. Thus, site-specific management practices should be tested and applied.
The formulation of NAMA strategies requires data and information on which to base the MRV systems.

SectionⅠ

Thus, countries should develop a national monitoring and reporting system capable of collecting all theinformation needed to assess the impact of NAMAs.

FAO support in the AFOLU NAMA process
FAO, through the Mitigation of Climate Change in Agriculture (MICCA) Programme, supports countries

SectionⅡin the preparation and development of NAMAs and MRV processes with a number of tools and capacity
development activities.
FAO is actively participating in the regional UNFCCC capacity development workshops on NAMAs. It
is fully engaged in the NAMA Partnership mainly contributing, among others, to the Compendium on
Baselines for Mitigation for the AFOLU sector.
The FAO“Learning tool on Nationally Appropriate Mitigation Actions in the agriculture, forestry and otherland use sector”has been launched recently to support countries in the identification, development andimplementation of mitigation actions in the context of national sustainable development.
Several workshops at regional and country level have been carried out to enhance capacity in data

SectionⅢ

collection and assessing emissions for the AFOLU sector that should serve both the national GHG
inventory and the MRV process.
Moreover, FAO has organized in-country workshops to start up NAMA processes in Viet Nam and
Kenya.

75

Box 1: A new NAMA in Kenya aims to transform the dairy sector
At the global scale, livestock supply chains emitted approximately 7.1 gigatons CO2-eq in 2005,
which represents 14.5 percent of all human induced greenhouse gases (GHG). Such emissions
originate from four main processes: enteric fermentation, manure management, feed productionand energy consumption. Emissions from the milk supply chain account for 20 percent of the total
livestock sector emissions. The technical mitigation potential in the livestock sector is estimated to
be around 30 percent, or about 1.8 gigatons CO2-eq, compared to the baseline scenario (Gerber etal., 2013).
In Kenya, the emissions from the livestock sector are approximately 30 percent of the total GHG
emissions (Stiebert 2012). Enteric fermentation accounts for over half of the livestock emissions,and approximately one quarter of the enteric fermentation emissions originate from milk production(FAOSTAT, 2015). The Kenyan Ministry of Agriculture, Livestock and Fisheries has initiated aprocess to make the dairy sector more efficient and climate-friendly through nationally appropriate
mitigation actions. FAO’s MICCA programme in collaboration with the CGIAR centers and theSectionⅠ

CGIAR Climate Change, Agriculture and Food Security Programme is supporting the Ministry in its
efforts.
The aim of the dairy NAMA in Kenya is to improve the productivity and efficiency of the sector in asustainable manner, which means producing and processing more milk with reduced emissions.
During the past four years FAO, through the MICCA pilot project in Western Kenya, collected
information for providing concrete evidence that milk yields can significantly increase if proper
management practices are put in place. Moreover, FAO together with partners developed a methodfor quantifying the GHG emissions from the dairy value chain. These results can support the dairy

SectionⅡ

NAMA development in Kenya.
The NAMA activities in Kenya will first focus on raising awareness and enhancing capacity among
the dairy sector stakeholders through a designated multi-stakeholder platform. This platform
will enable stakeholder engagement and the identification of jointly agreed mitigation options.
Additionally, the platform will facilitate discussion on institutional arrangements and potential
financing mechanisms to support the adoption of measures that will boost a sustainable increasein milk production. FAO’s Global Livestock Environmental Assessment Model (GLEAM) will support
the generation of national emission factors and identification of cost-effective mitigation actions for

SectionⅢ

the dairy sector. GLEAM will also support the development of a monitoring system tested at farm,cooperative, county and national level.
The dairy NAMA proposal is expected to be ready by mid-2016.

Conclusion
The AFOLU sector constitutes a substantial proportion of GDP and is an important source of employment
in developing countries. NAMAs provide developing countries with a flexible structure to integrate
the AFOLU sector into climate change mitigation actions and implement national sustainable ruraldevelopment plans that follow low-emission and climate-resilient development pathways.
Due to the complex nature of the AFOLU sector, there are barriers and challenges for designingand implementing appealing mitigation actions capable of bringing about transformational change.
Nevertheless, NAMAs do have the potential to be an instrument to support the transformation of the76Transformational change and NAMAs in the agriculture, forestry and other land use sector

AFOLU sector while at the same time reducing GHG emissions.
By capitalizing on synergies between national development plans and mitigation strategies, countries
can use the development of transformational AFOLU NAMAs to leverage climate financing that cancontribute to meeting national objectives related to food security and sustainable rural development.

References
Alexandratos, N. and J. Bruinsma. (2012),“World agriculture towards 2030/2050: the 2012 revision”,
ESA Working paper No. 12-03, Rome, FAO.
FAO, IFAD and WFP. (2015),“The State of Food Insecurity in the World 2015. Meeting the 2015
international hunger targets: taking stock of uneven progress”, Rome, FAO, 56 pp.
Gerber, P.J., Steinfeld, H., Henderson, B., Mottet, A., Opio, C., Dijkman, J., Falcucci, A. & Tempio, G. (2013),“Tackling climate change through livestock – A global assessment of emissions and mitigation

SectionⅠ

opportunities”, FAO, Rome, 115 pp.
IPCC 2014.“Agriculture, Forestry and Other Land Use (AFOLU)”, Chapter 11. In Climate Change 2014:
Mitigation of Climate Change. Contribution of Working Group III to the Fifth Assessment Reportof the Intergovernmental Panel on Climate Change [Edenhofer, O., R. Pichs-Madruga, Y. Sokona,
E. Farahani, S. Kadner, K. Seyboth, A. Adler, I. Baum, S. Brunner, P. Eickemeier, B. Kriemann, J.
Savolainen, S. Schlömer, C. von Stechow, T. Zwickel and J.C. Minx (Eds.)], Cambridge University
Press, Cambridge, United Kingdom and New York, NY, USA: 811-921.
Mersmann, F., Olsen K.H., Wehnert, T., Boodoo Z. (2014),“From theory to practice: Understanding

SectionⅡtransformational change in NAMAs. UNEP DTU Partnership”, Copenhagen, pp. 1-24 (http://epub.
wupperinst.org/frontdoor/index/index/docId/5700).
Mersmann, F., Wehnert, T., Göpel, M., Arens, S., Ujj, O. (2014),“Shifting Paradigms: Unpacking
Transformation for Climate Action”, A Guidebook for Climate Finance & Development Practitioners.
Berlin: Wuppertal Institute for Climate, Environment and Energy.
Olsen K.H., Fenhann J. (2015).“Transformational change for low carbon and sustainable development”,
UNEP DTU Partnership Copenhagen, pp. 1-112. (http://mitigationpartnership.net/sites/default/
files/21635_unep_transformational_-_web.pdf).

SectionⅢ

Stiebert, S. (2012),“Kenya’s Climate Change Action Plan: Mitigation”, Chapter 2: Preliminary
Greenhouse Gas Inventory. International Institute for Sustainable Development.
UNFCCC. (2011), Report of the Conference of the Parties on its seventeenth session, held in Durban
from 28 November to 11 December 2011, Launching the Green Climate Fund, Decision 3/CP.17,
Annex paragraph 2.

Web site references
FAO Mitigation of Climate Change in Agriculture Programme, http://www.fao.org/climatechange/micca
FAO Global Livestock Environmental Assessment Model, http://www.fao.org/gleam/en/
FAOSTAT, http://faostat3.fao.org/home/E
Green Climate Funds, http://www.gcfund.org
NAMA Facility, http://www.nama-facility.org
NAMA Registry, http://www4.unfccc.int/sites/nama/SitePages/Home.aspx

77

2.7
By

Case study Namibia – NAMA on rural development in
Namibia through electrification with renewable energies
Alexandra Soezer
United Nations Development Programme (UNDP)

A NAMA’s ability to achieve lasting results
The success of a NAMA to achieve lasting results will depend on its ability to facilitate transformativechange. The design of the NAMA paths the way for an effective and sustainable implementation of a
mitigation programme that can lead to green and sustainable growth.
The NAMA on Rural Development in Namibia through Electrification with Renewable Energies’overalltarget is to support Namibia in achieving the goal defined in the Off-Grid Energisation Master Plan

SectionⅠ(OGEMP), namely to provide access to appropriate energy technologies to everyone living or working in
off-grid areas. More specifically, the NAMA aims at giving access to electricity for regions, households
and companies which are currently without access to electricity, as well as improving the share of
renewable energies. The NAMA goes beyond its desired impact on GHG emission reductions to include
the achievement of significant sustainable development goals that can benefit the country and its
inhabitants as a whole.

SectionⅡ

The NAMA’s 10 key success factors to transform the sector andachieve sustainable development impacts are highlighted on thefollowing pages:
1. The NAMA will spur the development of an environment which facilitates transformativechange in the energy sector: An enticing regulatory and policy environment which incentivizes
the private sector will be created. Initial interventions will catalyse private sector development andthe creation of local jobs. The business models associated with the NAMA interventions will be easily

SectionⅢ

replicable in other communities across the country.
2. The NAMA is fully embedded in national development strategies and targets: Thetransformative change must occur in a fashion which is aligned with national development goals. The
overarching objectives and targets of Namibia as a country are defined in the Vision 2030. According
to this document, adopted in 2004, the target is to have“a prosperous and industrialized Namibia,
developed by her human resources, enjoying peace, harmony and political stability”by 2030 (NPC,
2004—Summary, p.15).
The NAMA objectives are designed to support Namibia in achieving its strategies for rural electrificationand to complement ongoing activities in this field:

78

Case study Namibia – NAMA on rural development in Namibia through electrification with renewable energies

SectionⅠ
SectionⅡ
3. The NAMA
concreteactions
toto
achieve
thepolicy
policytargets:
The NAMA
will be3.Thedetails
NAMA details
concreteactions
achieve thetargets:
The NAMA
will be operationalized
through 2

differentinterventions:
Under
Intervention A, mini
grids
will be establishedrural communities.
These mini grids
operationalized
through
2 different
interventions:
Under
Intervention
A, miniingrids
will be establishedgrids will
use renewableenergyThesourceshydro)
and will provide
thesources
following(solar,
services.
tourism projects,
such
as eco-lodges.
mini(solar,
gridswind,
will use
renewableenergywind,hydro) and will provide the following services.

Households: electricity for daily lighting (two lamps minimum), radio and phone charging will be
provided.
Households: electricity
for daily
lighting(two lamps
minimum),radio
and phonecharging
will centres),be
Public buildings:
electricity
for lighting
and internet(schools,
governmentbuildings,
healthprovided.
computers/printers, mobile charger stations and basic clinic instruments in health centres).
Public buildings:
electricity
lighting(schools,
buildings,
healthopportunities
centres), for
Rural
Productivityfor
Zones(RPZ):andThe internet
mini grid will
providegovernment
capacity for income
generation
computers/printers,
mobilechargerstationsbasic
clinicin healthcentres).
entrepreneurs andcommunity
projects.
The andconceptof theRPZinstruments
is based on theparadigm
of an integrated
Rural Productivity
Zones(RPZ):
The
mini
grid
will
providecapacity
forincomegeneration
approach to sustainable rural development. It consists of setting up an energy system and associatedopportunities
for entrepreneurs
andcommunity
concept
ofleadthe toRPZis basedon the andinfrastructure
in a rural area thatprovidespower projects.
for a rangeTheof activities
that
incomeenhancementsocialofdevelopment.
Theapproach
resulting economic
activities
generatemoney, whichin part goes
into paying
paradigm
an integrated
to sustainableruraldevelopment.
It consistsof setting
up for theinvestment,
andtheoperation
andmaintenanceoftheenergysystemandinfrastructure.
In
thismanneran energy system and associated infrastructure in a rural area that provides power for a range RPZs
increasethat
the leadabilitytoofincome
consumers
to make consumer
payments,
by allowingThefor more
community
level incomeof activities
enhancement
and social
development.
resultingeconomic
generation.
(UNDP,
2014b).
activities generate money, which in part goes into paying for the investment, and the operation andmaintenanceof the energy
systemofand
infrastructure.
In thisdevelopedmanner RPZs
increasetheability
Under Intervention
B, the concept
EnergyShops will be further
into Energy
Zones(EZs).
The of
OGEMP

definedconceptof Energy
Shops. Energy
Shops arefor
establishedwithin a reasonabledistanceof targeted
consumers
tothe
make
consumerpayments,
by allowing
more community
level income
generation.

communities and sell suitable, approved energy products and compatible appliances to consumers. Energy
Zones will promote new entrepreneurial activities by providing space and electricity for Internet cafes, sewing
workshops, ice-making, agro-processing, etc.;
79

SectionⅢ

will preferably
be inmini
the vicinityof schools
and potential
futuretourism
eco-lodges.
The mini
in rural communities.
These
grids will
preferably
be in thevicinityof projects,
schoolssuch
and aspotential
future(UNDP, 2014b).
Under Intervention B, the concept of Energy Shops will be further developed into Energy Zones (EZs).
The OGEMP defined the concept of Energy Shops. Energy Shops are established within a reasonabledistance of targeted communities and sell suitable, approved energy products and compatible appliances
to consumers. Energy Zones will promote new entrepreneurial activities by providing space andelectricity for Internet cafes, sewing workshops, ice-making, agro-processing, etc.;

eligibility
criteria
for participation
and receive
funding
are clearly
defined.
Any mini defined:– grid will Any
4.4.The
The NAMAs
NAMAs
eligibility
criteria
for participation
andreceivefunding
are clearly

SectionⅢ

SectionⅡ

SectionⅠneed
to meetfollowing
eligibility
criteria. eligibility criteria.
mini– gridwilltheneedto meetthe following

80

In order to be able to receive funding under the NAMA, an Energy Zone will have to meet also
certain eligibility criteria as outlined below:

Case study Namibia – NAMA on rural development in Namibia through electrification with renewable energies

In order to be able to receive funding under the NAMA, an Energy Zone will have to meet also certain
eligibility criteria as outlined below:

SectionⅠ

5.The NAMA is cost effective and provides best value for money: The method, which will be applied to selectmini
grids isisreversed
auctioning.andUnder
reversed auctioning,offersaccepted– startingfromthe cheapest
5.the
The
NAMA
cost effective
providesbest value
foraremoney:
The
method,whichwill be
offer
–
until
the
budgetavailableforthespecific
auction
is
used
up.
In
the
case
of
the
mini
grids,
auctioning
will
applied to select the mini grids is reversed auctioning. Under reversed auctioning, offers are accepted
be5.The
based
on
value
for
money.
Proposals
willberanked
by
their
Value
for
Money
Index
(VMI),
which
will
be
costcheapest
effective andbestbudget
value foravailable
money: The
whichauction
will be applied
to up.
select– startingNAMA
from istheofferprovides– until theformethod,
the specificis usedIn thecalculated
as “grant
supportauctioning.
requested(in N$)reversed
per one auctioning,
OGEMP Point
Score”.
the mini grids
is reversed
Under
offersare accepted – starting from the cheapest
case of the mini grids, auctioning will be based on value for money. Proposals will be ranked by their

The
point
scoreseach available
mini gridfor
applying
for funding
be based
thecasePoint
Score
Systemin the willoffer
– untilthe forbudgetthe specificauctionwill
is usedup. Inontheof themini
grids,usedauctioning

SectionⅡ

Value
fortoMoney
Index(VMI),forwhich
be
as“grant
support(inwill
N$)
per
OGEMP
determinepriorities
rollingwillouttheEnergy by
Shops(UNDP,
2007).
Therequested
same (VMI),
systembeusedfor
be basedon valueformoney.
Proposals
willbecalculated
rankedtheir
Value for
Money
Index
which
will
beone

OGEMP
Point
.
evaluatingtheEnergyZones.
In
addition (into theunder the OGEMP, points will be given
calculated
asScore”“grant support
requestedN$) scoring
per onesystem
OGEMPdeveloped
Point Score”.

forTheincomegenerating
activities.
The
point
scoreseach
minigrid
grid
applying
for funding
will
be based
the
Point
Score
Systempoint
scores forfor eachmini
applying
for funding
will bebasedon the on
Point
Score
Systemusedin the used into todeterminepriorities
for rollingout theout
Energy(UNDP,
2007).
The samesystembe usedfor will
theOGEMP
OGEMP
determinepriorities
for rolling
theShops
EnergyShops(UNDP,
2007).
Thewillsame
systemUsing the Point Scoring System, the Value for Money Index (VMI) will be calculated for each of the mini grids

evaluating
the Energy
Zones.
In addition
to thesystemdeveloped
thedeveloped
OGEMP, points
willthebe given
beapplying
used forevaluatingtheEnergyZones.
In scoring
additionto thescoring undersystemunder
OGEMP,
accordingto thefollowing
formula:for income generating activities.

points will be given for income generating activities.

Using
the
Point
System,theValue
for Money(VMI)
will be calculatedof the mini
Using
the
PointScoring
Scoring System,
the
Value
for Money
IndexIndex(VMI) will
be calculated
for each offor
theeachmini grids∑����� ��������� �� �� ���������� �

SectionⅢ������ ��� ���� ����applying
accordingto theto
following
formula:�����
grids
applying
accordingthe following
formula:∑ ����� ������ ��� ���� ����Mini grids will be ranked according
to their���� VMI in descending order. Proposals with higher VMIs will be given���������������� �������
priority over projects with lower VMIs. Projects
will receive
funding��
as long
as funds from the budget areavailable. This method overcomes the problem of setting the “right” percentage when providing grant funding
toMiniprojects.
thebepercentage
of grantto
funding
is settoo high, projects
receivewithmorefunding
grids Ifwill
ranked according
their VMI
in descendingorder. will
Proposals
higherVMIsthanwillrequired
be given
Mini
grids
will
be ranked
accordingtotheir
VMI provider.
in descendingorder. Proposals
withnohigherVMIs will
and
make
an
extra
profitattheexpense
of
the
grant
If
the
percentage
is
set
too
low,
project
priority over projects with lower VMIs. Projects will receive funding as long as funds from the budget arewill
for
grant
funding,asrevenue
expectations
will
not
be
met.
A
reverseauctioncanovercome
thisproblem.
beapply
given
priority
overprojects
with
lower
VMIs.
Projects
will
receivefunding
as
long
as
funds
from
available. This method overcomes the problem of setting the “right” percentage when providing grant funding

projects.
If thepercentage
of method
grant funding
is set toothe
high,projectsofwill
receivethemorefunding
than required
thetobudget
areavailable.
This
overcomes
problemsetting“right”
percentage
whenand makean extraprofitto
at projects.
the expenseof thegrant provider.
If the percentage
settootoo high,low, noproject will
providing
grantfunding
If thepercentage
of grant
funding is isset
projects
will

6.The
hasfunding,a robustas
approvalfor participatinginterventions
to ensureapplyNAMA
for grant
revenuestructure
expectations
will not be met.
A reverse auction
can transparent
overcome this problem.
disbursement of funds: The following approval process for intervention A – mini grids will be applied:

receive more funding than required and make an extra profit at the expense of the grant provider. If thepercentage is set too low, no project will apply for grant funding, as revenue expectations will not be
met.
A reverse
auctioncanovercome
this problem.
6.The
NAMA hasa robust
approval
structurefor participating interventions to ensure transparent

disbursement of funds: The following approval process for intervention A – mini grids will be applied:

6. The NAMA has a robust approval structure for participating interventions to ensuretransparent disbursement of funds: The following approval process for intervention A – mini grids will
be applied:

81

82

SectionⅢ

SectionⅡ

SectionⅠ

Case study Namibia – NAMA on rural development in Namibia through electrification with renewable energies

SectionⅠ

For intervention
B – Energy
Zones,
approvalprocessprocess isisdefinedasas
follows:
For intervention
B – Energy
Zones,
thetheapproval
definedfollows:
For intervention B – Energy Zones, the approval process is defined as follows:

SectionⅡ
SectionⅢ
83
6

SectionⅠ
SectionⅡ
SectionⅢ

7.The NAMA coordination and implementation structure is carefully designed to allow for a smooth

7. The NAMA
coordinationand implementation
structureis NAMA
carefully
designed
to allowfor
implementationof the NAMA.
The institutional structureof theis basedon the following
principles.
a smooth implementation of the NAMA: The institutional structure of the NAMA is based on the

Ensuring the strong involvement of national stakeholders to create country ownership and politicalcommitment.

following principles.

Using existing and experienced entities organizational systems which are already in place and allow for
prompt and smooth implementation of the NAMA.

Ensuring the strong involvement of national stakeholders to create country ownership and politicalcommitment.

Ensuring that the institutional structure is appropriate for the receipt of international private and/or

Using
existing
experienced entities organizational systems which are already in place andpublicdonorandfunding.
allow for prompt and smooth implementation of the NAMA.

The institutional
structure for the
NAMA shall
include the following
institutional
bodies at the country
Ensuringthat the institutional
structure
is appropriate
for the receipt
of international
privatelevel:
and/orpublic donora NAMA
funding.
Coordinating Authority (NCA);

a NAMA Implementing Entity (NIE);

The institutional NAMA
structure
for theNAMA
shall include the following institutional bodies at the country
Executing
Entities(NEEs).
level:- NAMA Coordinating Authority (NCA);

84

Case study Namibia – NAMA on rural development in Namibia through electrification with renewable energies- NAMA Implementing Entity (NIE);- NAMA Executing Entities (NEEs).

SectionⅠ
SectionⅡ

The NAMA Coordinating Authority (NCA) is the entity which coordinates the proposed NAMA on rural
electrification. In addition to the role as NAMA Approver and UNFCCC Focal Point, the Ministry ofEnvironment and Tourism will also acts as NAMA Coordinating Authority (NCA).
The NIE needs to have a strong background and good track record in financing. The Environmental
Investment Fund (EIF) will take the role of the NIE. The EIF was established by an act of parliament as a

SectionⅢ

statutory entity outside the public service. The EIF is run by a board of directors, which receives advice
from a technical advisory panel. The EIF offers grants, green soft loans and green concessional loans.
The EIF was accredited by the GCF in July 2015. The EIF will be supported by technical experts of the
Namibian Energy Institute (NEI). The NEI was launched in 2006 following the signing of a cooperationagreement between the Polytechnic of Namibia (technical university) and the Ministry of Mines andEnergy (MME).
The existing Namibia Climate Change Committee (NCCC) will act as the supervisory board for the NAMA.
The NCCC consists of relevant ministries and stakeholders (including the Ministry of Environment andTourism, the Ministry of Mines and Energy, and Nampower). The NCCC has the powers to establish
working groups and subcommittees as needed. It is recommended that a working group on the NAMA iscreated, which also includes additional key stakeholders (industry representatives, NGOs).
8. The NAMA’s intensive Capacity Development programme will facilitate transformativechange: The capacity development will build the robust basis for the successful implementation of theactivities and ensure lasting results beyond donor support.

85

The proposed NAMA capacity development programme will consist of two components:
Component 1 will target support for the launch and implementation (e.g. definition of laws andprocesses, preparation of documentation) of the NAMA and will provide capacity-building for the
involved (semi-) governmental entities (such as the NIE).
Component 2 will focus on the awareness raising, marketing side of the NAMA after
implementation and will provide general capacity development to create a common awareness for
the NAMA; as well as specific stakeholder-oriented capacity-building.
9. The NAMA’s financial management is a cornerstone of a NAMA: The focus of the NAMA isto build and integrate a reliable and transparent structure of financial governance into the NAMA andmanage the financial flows and the controls required to ensure a sustainable use of funds. The basis of
this NAMA is a co-financed effort between the Government of Namibia and international partners/NAMA
donors. Therefore, this NAMA considers two primary tracks of finance, national finance and international

SectionⅠ

finance.
National Finance: is defined as financial flows or capital directly influencing the interventions andincentives designed under the NAMA, and which are within the operational control of the national
Government.
International Finance: is defined as financial flows or capital directly influencing the interventions
designed under the NAMA and which originate from and are controlled by international partners(consisting of multilateral financing institutions and/or multilateral/bilateral programmes). The capitalprovided by international partners will be used only for direct investment grants in Interventions A and B.

SectionⅡ

The contributions will be channeled directly from the partners to the NIE (the Environmental InvestmentFund), which will then disseminate the funds to Executing Entities (EE) in both, Intervention A andIntervention B.
For each of the tracks, there are two components: 1) the management and governance of capital and2) the disbursement of funds. This means that there must be established bodies to provide for strategy,
oversight and governance, implementation and operation. Since the NAMA is based on the principle of
Output Based Aid (OBA), it is very important that the expectations of the NAMA stakeholders and their

SectionⅢ

outputs are clearly and realistically defined at the start of NAMA implementation.
10. The NAMA applies transparent and robust MRV for GHG Emission Reductions andSustainable Development Impacts: In order to determine the GHG emission reductions, the NAMA
builds on the CDM methodology AMS-I.L. and takes into consideration the issue of suppressed demand.
To take account of suppressed demand the parties to the UNFCCC asked the Executive Board of the
Clean Development Mechanism to explore the possibility of including in the baseline a scenario where
future anthropogenic emissions by sources are projected to rise above current levels, due to thespecific circumstances of the host party (UNFCCC, 2012). This principle can be specifically applied tothe methodology AMS-I.L.
The distinct emission factors for the different service levels of energy consumption (as defined in AMS-I.
L.) take into consideration the baseline technologies used to meet basic household lighting energy
needs, more extended household energy needs/micro enterprise needs, or public buildings and/or small,medium and micro enterprises (SMMEs). In light of the challenges for the NAMA actors of monitoring
electricity generation per facility, a simplified and conservative baseline emission factor is chosen. For
both interventions implemented under the NAMA framework, this will be 1.0 tCO2/MWh.

86methodology AMS-I.L. and takes into consideration the issue of suppressed demand. To take account ofsuppressed demand the parties to the UNFCCC asked the Executive Board of the Clean Development Mec
to explore the possibility of including in the baseline a scenario where future anthropogenic emissions bysources are projected to rise above current levels, due to the specific circumstances of the host party (UNF
2012). This principle can be specifically applied to the methodology AMS-I.L.

Case study Namibia – NAMA on rural development in Namibia through electrification with renewable energies

The distinct emission factors for the different service levels of energy consumption (as defined in AMS-I.L.)
into consideration the baseline technologies used to meet basic household lighting energy needs, more
extended household energy needs/micro enterprise needs, or public buildings and/or small, medium andenterprises (SMMEs). In light of the challenges for the NAMA actors of monitoring electricity generation pe
facility, a simplified and conservative baseline emission factor is chosen. For both interventions implement
under the NAMA framework, this will be 1.0 tCO2/MWh.
In addition to GHG emissions, the MRV system for this NAMA will monitor the impact of the NAMA

In addition to GHG emissions, the MRV system for this NAMA will monitor the impact of the NAMA interveinterventions on selected on
Sustainable
Development(SD) indicators.
In orderto todetermine
impacts,the NAMA asses
selected Sustainable
Development(SD) indicators.
In orderdeterminethethe SDSD impacts,

the NAMA assessed the shortfalls
in achieving
MDGgoals.
goals.
The
selected
SD indicatorsin thewill support th
the shortfalls
in achievingsome
someofof thethe MDG
The
selected
SD indicatorsin the NAMA

achievementofofthe
thenewly
newly definedgoals.
NAMA will support the achievement
definedSDG
SDG
goals.
Monitored SD parameters Monitored
for Intervention
A
SD parameters
for Intervention A

SectionⅠ

SD parameters
for Intervention B
Monitored SD parameters Monitored
for Intervention
B

SectionⅡ
The main responsibility forThethemain
MRV
system lies
thesystem
managing
institution,which
may delegate
some
responsibility
forwiththe MRV
lies withthe managing
institution,
which maydelegate some ofSectionⅢ

to the project
implementers(PPPs, grid
operators, equipmentof the tasks to the projecttasks
implementers(PPPs,
grid operators,
equipment
suppliers).suppliers).

The goal of verification is The
to haveanverification
independent
thirdanparty
auditor third
ensurethat
the NAMA
is operating
goal ofis to have
independent
party
auditorensure that
the NAMA is operating as
as planned and that the measuring
andreportingsystembeing implemented
asimplemented
planned. The
planned andthat
the measuring
andisreporting
system is being
as planned. The verification

ensuresthat emissions
reductions
andbenefits
SD benefits
arerealrealandand measurable.
verification also ensures thatemissions
reductions
and SDaremeasurable.

or under another
AuditorsshouldThey
be accredited
entities. They
can be entities
under
the CDM
Auditors should be accredited
entities.
can be entities
accredited
under accredited
the CDM orunderanotheraccreditation
systemacceptable
the Government
Namibia
and the NAMA donor(s).
accreditation system acceptable
to theGovernment
oftoNamibia
and the ofNAMA
donor(s).
Verification
every two years.
verification
Verification should occur every
two should
years.occur
The verification
willTheconsistof: will consist of:desk review of documents;
desk review of documents;

site visits/interviews of key stakeholders;site visits/interviews of key stakeholders;the drafting of the verification report;
the drafting of the verification report;

provision of feedback on the report by the NAMA Coordinating Authority;
finalization of verification report.

87

provision of feedback on the report by the NAMA Coordinating Authority;
finalization of verification report.

References
Ministry of Mines and Energy (MME). (2011),“OGEMP Solar Revolving Fund Fact Sheet”, Windhoek.
National Planning Commission (NPC), (2004),“Vision 2030”, www.npc.gov.na
UNDP, (2007),“Off-Grid Energisation Master Plan for Namibia”, Final Report, http://www.na.undp.
org/content/namibia/en/home/library/environment_energy/off-grid-energisation-master-plan-fornamibia.html
UNDP, (2014b),“Integrated Sustainable Rural Development. Renewable Energy Electrification and
Rural Productivity Zones”, Discussion Paper, http://www.undp.org/content/dam/undp/library/
Environment%20and%20Energy/MDG%20Carbon%20Facility/140901_Integrated%20Rurl%20

SectionⅠ

Electrification_FINAL.pdf
UNDP, (2015),“NAMA on Rural Development in Namibia through Electrification with Renewable
Energies”, http://www.undp.org/content/undp/en/home/librarypage/environment-energy/mdgcarbon/nama-on-rural-development-in-namibia-through-electrification-wit.html, retrieved on 28
September, 2015
UNFCCC, (2012),“Guidelines on the Consideration of Suppressed Demand in CDM Methodologies, v02.0,

SectionⅢ

SectionⅡhttps://cdm.unfccc.int/Reference/Guidclarif/meth/meth_guid41.pdf

88Section

Ⅲ

Results of a survey on NAMAs andconclusions

3.1
By

Preliminary results of a survey on NAMAs
Jiro Ogahara and Noboru Zama
Overseas Environmental Cooperation Center, Japan (OECC)

With the exception of few initiatives, it has been well documented that the number of projects
implementing Nationally Appropriate Mitigation Actions (NAMA) still remains small in comparison to thosethat had entered the planning stage. In this connection, OECC has started a small survey in some partnercountries, in order to find out the current state of NAMAs and what kind of issues those countries arefacing in the formulation and conduction of NAMAs.
Moreover, one of the aims is to determine if those countries are aware of the potential that NAMAs
have beyond the conduction of mitigation actions, and if their project proposals can be categorized as“transformational”. Although the sample is still very small and that our research is still on-going, OECC

SectionⅠ

expects that the results will bring some hints on how to design support for NAMAs in the future.
The questionnaire of the survey was sent to OECC partner countries in July-August, 2015 and wasanswered by 5 countries: Cambodia, Kenya, Mongolia, Thailand and Viet Nam. These countries are also
the JCM partner countries. The questionnaire was intended to put a spotlight on the issues developing
countries are facing to overcome the barrier of advancing from the planning stage to the implementation
stage of supported NAMAs. Although the sample is still small, through this survey, we expect to provide
hints on how international support can be better organized and provided to developing countries.

SectionⅡ

Among the 5 countries, we were able to see different features: Countries that are planning NAMAs but
are not yet implementing them and countries that are both planning and implementing NAMAs. Here
we would name the countries in the former and latter, group A and group B, respectively. Group A isconsisted by Cambodia and Kenya, and Group B by Mongolia, Thailand and Viet Nam. Both groups
included NAMAs in the planning stage and in the implementation stage, with a concentration in theenergy sector.

8%8%SectionⅢ

Fig. 1:1:NAMAs
stage
FigureNAMAsininthe
theplanningplanning
stage

EnergyConstruction

8%

Agriculture

15%

61%

Animal Farming
Waste Management

Fig.2:

NAMAs in the implementation stage89

Agriculture

15%

61%

Animal Farming
Waste Management

Fig.2: 2: NAMAs
FigureNAMAsininthe
theimplementation
implementationstage
stage

13%
12%

EnergyTransportation
PolicySectionⅠ

75%

Regardinggroup A,no financial
supportand veryfewfew
supportother
thanfinance
For
Regardinggroup
A, no financial
supportand very
supportother
thanfinancewere
were offered.
offered. For

domestic institutional arrangement to implement NAMAs, some coordination system/structure between

domestic institutional arrangement to implement NAMAs, some coordination system/structure

central government and line ministries are established, although there is an impression that this remains

between central government and line ministries are established, although there is an impression thatto be weak. This group is expressing the need of stronger financial support and enhancement of

SectionⅡ

this remains
to be ofweak.
groupandis expressing
the forneedof stronger
financial support andknowledge
and capacity
line This
ministries
stakeholders
capacitybuilding.
enhancement of knowledge and capacity of line ministries and stakeholders for capacity building.
All of the NAMA projects in the implementation stage of group B were funded either from domestic orinternational
Thereis evencountry which stage
all of of
their
NAMA
projects
the from
planning
stage
All of donors.
the NAMA
projects
in theaimplementationgroup
B werefunded ineitherdomestica pilot study
increasescales.onWhatmade abuilding
big difference
waslessons
the institutionalarrangementof thewere funded,and toreceivesupportcapacity
to sharelearnt andto implementaor international donors. There is even a country which all of their NAMA projects in the planningcountries
of groupscales.
B. All Whatcountries
had
existing
sectoralstrategies
for NAMAs
and they wereallpilot study
to increase
made
a big
difference
wasthe institutionalarrangementof thestage were funded, and receive support on capacity building to share lessons learnt and to implement

countries
of group
B. All countries
existingAlthough
sectoralan
strategies
for NAMAs
and theythe
were
all included
includedin roadmaps,
plans andhad
strategies.
enhancement
is still necessary,
existencein roadmaps,
plans and strategies.
Although between
an enhancement
still necessary,of atoof a coordination
system/structure
central isgovernment
and thelineexistenceministries2
propose/implement NAMAs were well organized.

SectionⅢ

coordination system/structure between central government and line ministries to propose/implement
NAMAs were well organized.

FigureSourcesofoffinancial
financial support
support (per(per project)
Figure3: 3:Sources
project)
Cambodia
Kenya
Mongloia
Thailand
Viet Nam
0%

20%

40%

60%

Domestic

International

80%
Both

Figure 4: Source of other type of support (per project)

90
Cambodia100%

Mongloia
Thailand
Viet Nam0%

Preliminary results of a survey on NAMAs
60%
80%
100%

20%

40%

Domestic

International

Both

Figure4:4:Source
Source ofof other
Figureother type
type ofofsupport
support(per(perproject)
project)
Cambodia
Kenya
Mongolia
Thailand
Viet Nam
0%

20%

40%

60%

Domestic

International

80%

100%

Both

SectionⅠ

The foundations for national MRV system exists, however, the national MRV system for NAMAs has not

The foundations for national MRV system exists, however, the national MRV system for NAMAs has

been established yet. The system for implementing GHG inventory and national communication was not

not been established yet. The system for implementing GHG inventory and national communication

officially created1.

was not officially created1.

Key elements regarding challenges that countries are facing to move forward from the planning stage tothe implementation
stageof NAMAs,and challenges
to channel
supportKey elements
regardingchallenges
that countries
are facinginternational
to move forward
fromarethesummarizedplanning in
Table 1.

SectionⅡ1

1: List ofchallenges
described
in the survey
As part of this survey andTablein cooperation
with
IGES, interviews
will be conductedfocusing on MRV systems andsectoral NAMAs.
Country

Cambodia

Challenges to move forward- Knowledge and capacity of line ministries/
3
stakeholders needs to be enhanced- Budget for preparation and implementation of
NAMA needs to be increased- Clear national/internal procedure/guideline for
NAMA development is necessary

Challenges to channel international support- Capacity building of NAMAs should beenhanced- Cooperation with international institutions
to enhance technical/financial assistance isneededMongolia- Domestic financial mechanism to implement
NAMAs needs to be established- Clarification of financial resources at the
beginning stage is needed- Enhancement of capacity building is necessary- Participation of stakeholders is essential

Thailand (1)- Improving allocation of national budget isnecessary- Expansion of the accessibility of international
support is needed- Matching the needs among international
donors and host countries are crucial- Planning at early stage is important

Thailand (2)2

- Focusing on existing policies is a key tosuccess- Capacity building and financial support isnecessary1

As part of this survey and in cooperation with IGES, interviews will be conducted focusing on MRV systems and sectoral NAMAs.

2

2 questionnaires were received from Thailand. To distinguish the two, we decided to put a number.

SectionⅢ- Advice on kind/type of NAMA that can attract
funding at the international level is required

Kenya

91

Viet Nam

- Number of Staffs needs to be increased- Financial resource for the implementation of
NAMAs needs to be enhanced- Access to climate change information needs tobe improved- Policy framework/legal documents related to
NAMAs needs to be established- Support for development of mechanisms andpolicies is required- Enhancement of capacity building is necessary- Financial mobilization from donors are needed- Long term planning is important- MRV needs to be enhanced

From the survey, we have observed that there were not many NAMAs in the planning stage and lessin the implementation stage. Also, one of the challenges affecting most of the countries are the lack ofeffective communications between ministries, which indicates the importance of conducting meetings
between stakeholders but mainly capacity building activities.
Most of the challenges seen in group A were not seen in group B. Although group B countries recognizedthat they have experienced those challenges in the early stage of NAMA planning and implementation.

SectionⅠ

It was suggested that sharing lessons learnt and good practices should help the countries in group A to
overcome their challenges.
As for sources of financing, we considered important to highlight the potential of one of the sources
which is the Joint Crediting Mechanism (JCM). Although JCM was not designed specifically to conduct
NAMAs3 but mitigation actions, some countries such as Vietnam and Mongolia understood the similarities,
and in the case of the former, they have officially announced the conduction of NAMAs with the support

SectionⅡof the JCM. In other words, JCM is part of their NAMA strategy.
The focus of the JCM does not rely on purely the financial support. Rather, it would be better recognized
if it is taken as a mechanism that facilitates diffusion of leading low carbon technologies, products,
systems, services, and infrastructure. However, we believe that the understanding of the potential of themechanism can vary from country to country. This will be another aspect our research will be putting
attention to, in our on-going research.
The team working in this survey is aware that since the number of samples are not sufficient, is difficult

SectionⅢ

to provide some generalizations. Increasing the number of samples is necessary to pick up the actual
situation of each country and to bring out practical and realistic countermeasures. An increase in thesample and conduction of further interviews are expected to continue until the end of fiscal year 2015.
Finally, through this article, we would like to thank Cambodia, Kenya, Mongolia, Thailand and Viet Nam
for kindly cooperating with this survey4.

92

3

OECC (2015). The NAMA Guidebook. 2nd Edition. Published by OECC, Japan; pp. 21-22

4

Contents of the survey do not represent the official position of the country.

Conclusions and key messages

3.2
By

Conclusions and key messages
Jiro Ogahara and Noboru Zama
Overseas Environmental Cooperation Center, Japan (OECC)

Transitioning NAMAs from planning to implementation-

NAMA activities have increased in the last few years. Although, many of these projects are notregistered in any platform.

-

There are less supported NAMAs in the implementation stage. This may be due to insufficientfinancial support.

-

To successfully secure international financial support, a detailed analysis of the plannedintervention and a robust implementation plan is required. Also, a close integration of the process ofdesigning NAMA finance schemes with existing international financial cooperation processes should-

SectionⅠ

be important.
Since awareness on NAMAs has increased, design of emerging types of technical and financial
support have been increased as well.

Facilitating transformative change for resilient and inclusive growth-

NAMAs are being evaluated from the point of view of how much transformative change is produced.
Some exemplary NAMAs show that they produce a transformative change for resilient and inclusive
growth, through clear outcomes such as energy access, rural development, and income generation.
MRV is crucial in the success of the NAMAs. By applying a tool that allows a precise andSectionⅡ-transparent MRV of sustainable development impacts will allow policy makers to monitor the
progress of SDGs at national level , improve the ability of a NAMA to contribute to a country’s
national sustainable development priorities and encourage NAMA implementers to put an emphasize
on green growth and development.
-

NAMAs must provide direction to policy formulation taking into account limited resources, but also
an opportunity to access efficient, clean, and resilient growth.

-

SectionⅢ

NAMA integrated“MRV + M&E”system to track transformational impacts for
NAMA implementation
A transformational NAMA is a NAMA that will bring a paradigm shift and a radical transition tolower-carbon technologies and practices. These NAMAs should also bring additional positive
impacts, usually referred as co-benefits.
-

Due to different perceptions, the identification of NAMA co-benefits and who will benefit from themshould be undertaken at early stages of NAMA design, and these beneficiaries should be involved
into NAMA development and supporting its implementation since the first steps.

-

A comprehensive, ambitious yet realistic NAMA that wants to achieve a transformational change
in the sector in which it will be developed should have an integrated measuring, reporting andverification plus a monitoring and evaluation (MRV+M&E) system with a set of defined key
performance indicators (KPIs)/metrics to track GHG emission and other impacts.

CTCN Technical Assistance as one of supporting schemes for NAMA
implementation – a case study and prospect of further development-

The CTCN promotes the accelerated transfer of environmentally sound technologies for low carbon

93and climate resilient development at the request of developing countries. In this sense, the CTCN
has been designed to take into account NAMAs for the provision of technical assistance.
-

Broader and deeper recognition of NAMAs should be better raised in developing countries. Also
there should be stronger consideration on their NAMAs in the identification phase of the requests
to the CTCN. These could be addressed with enhanced coordination among the NDEs and National
Focal Points for NAMAs in developing countries as suggested by the CTCN.

Updates of the Joint Crediting Mechanism-

Increase in the number of signatory countries and project formulation under the JCM demonstrates
the importance of this mechanism as an alternative to implement mitigation actions. Although it isstill in an embryonic stage, registration of projects has already started.

-

The Japanese government has conducted several efforts to in the form of financial, technical, andcapacity building support, in order to materialize real GHG emissions reduction and to boost theimplementation stage.

SectionⅠ

Recent Development of NAMAs in Mongolian Energy Sector-

The Mongolian government is putting a lot of effort in the development of NAMAs conducive to
reduction of GHG emissions and to accelerate a green transition. By considering its potential, JCM
projects are among the ones under study and also support from ADB has been obtained.

-

Mongolia identified that they can replace appropriate 1,000 units of aging and less energy efficientsilicon steel transformers (SST) which are currently developed in power distribution network in
Ulanbaatar city with Amorphous Core Transformers (ACT) which are advanced energy energy
efficient transformers.

SectionⅡ-

Compared to ACT with ac crystalline allayed atomic structure with thick steel, amorphous core hasa random and non –crystalline structure with around the one-tenth thinner metal core. Such uniquefeature of ACT improves inductance and resilience, and reduces energy loss u to approximately
75% in non-load loss and 21% in load loss.

Thailand’s Nationally Appropriate Mitigation Actions (in Energy Sector andTransport Sector) and Its MRV system-

Thailand has been working towards developing a solid policy framework as well as at its

SectionⅢ

institutions, to fully utilize benefits accompanying implementation of NAMAs, due to its growing
population and its respective challenges.
-

The methodology of developing of Thailand’s NAMAs is based on a bottom-up modeling tool called“AIM/Enduse”model.

-

Thailand Greenhouse Gas Management Organization (TGO) in collaboration with relevant academic
and governmental agencies decided that energy and transport are the most important sector toeffectively and significantly reduce GHG emissions. The project was divided into: Step I: Primary
Data Analysis, Step II: Public participation, Step III: Evaluation and Conclusion.

-

The Ministry of Energy in cooperation with the Ministry of Natural Resources and Environment
recognize the importance of developing NAMAs and have developed the MRV system for the
implementation of Domestically Supported NAMAs from the Renewable Energy and Energy
Conservation Measures. The MRV system was developed by the principles of the MRV General
Guidelines in accordance with decision 21/CP.19, which aims to be practical, appropriate andconsistent with conditions in such areas.

-

Thailand and other developing countries need capacity building in preparing CO2 countermeasures
under NAMAs. Developed should support developing countries in terms of capacity buildings,

94

Conclusions and key messages

technology transfers of CO2 and CMs, and financial support in order to overcome barriers toaccelerate transforming the country into a low carbon society.

Case study of NAMAs in the waste water sector of Vietnam - Van Phucslaughterhouse-

NAMAs have been considered as one potential solution to solve the problem of wastewater comingfrom slaughterhouses.

-

Due to the number of contaminants from the wastewater, it has been determined that biologicaltreatment can be a promising alternative, since not only provides treatment of wastewater but also
can provide methane to be utilized as renewable energy.

-

In light of the number of slaughterhouses and the potential of emissions reduction, by applying MBR
technology combines with biogas recovery systems and power generators, this project can becomea transformational NAMA.

-

SectionⅠ

Transformational change and NAMAs in the Agriculture, Forestry and Other Land
Use sector
There used to be only a few NAMA concept notes and proposals prepared for the AFOLU sector,
however as of August 2015, 16 percent of the 101 NAMAs registered in the NAMA registry are in
the AFOLU sector.
-

NAMAs are recognized as useful vehicles for reducing net GHG emissions and transforming the
agricultural sector, as they can achieve multiple objectives, and also integrate the AFOLU sector
into climate change mitigation actions conducive to achieve sustainable rural development.

-

Barriers and challenges of transformational changes in AFOLU NAMAs are as follows:
Considering both the risks and socio-economic costs and benefits for a large and diverse

SectionⅡgroup of people living in landscapes with different ecological conditions, and both the public
and private sector interestsGiven the limitations of land and trade-offs that need to be made to ensure the sustainable
management of forests and natural resources

The high number of group and individual stakeholders in the AFOU sector is a potentiallylimiting factor

FAO supports AFOLU NAMA process through: Learning tool on Nationally Appropriate Mitigation

SectionⅢ-

Identifying the stakeholders in the forestry sector

Actions in the agriculture, forestry and other land use sector, workshops at regional and country
level, and in-country workshops to start up NAMA process (done in Viet Nam and Kenya).

Case Study Namibia – NAMA on Rural Development in Namibia throughElectrification with Renewable Energies-

UNDP has identified 10 key success factors of NAMA on Rural Development in Namibia throughElectrification with Renewable Energies are as follows:

The NAMA will sour the development of an environment which facilitates transformativechange

The NAMA is fully embedded in national development planning and targets



The NAMA details concrete actions to achieve the policy targets



The NAMAs eligibility criteria for participation and receive funding are clearly defined

The NAMA is cost effective and provides best value for money

The NAMA has a robust approval structure for participating interventions to ensuretransparent disbursement of funds95The NAMA coordination and implementation structure is carefully designed to allow for asmooth implementation of the NAMAThe NAMA’s intensive Capacity Development programme will facilitate transformative change

The NAMA’s financial management is a cornerstone of a NAMAThe NAMA applies transparent and robust MRV for GHG Emission Reductions and Sustainable
Development Impacts-

The overall target of this NAMA is to support Namibia in achieving the country’s goals ofenergization by providing access to appropriate energy technologies for everyone living in offgrid areas. In this sense, the NAMA represents an opportunity for mitigation but also for achieving

SectionⅢ

SectionⅡ

SectionⅠ

sustainable development in Namibia.

96Third Edition

NAMA Guidebook ─ Third Edition

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 2015 by the Ministry of the Environment, Japan (MOEJ)

NAMA Guidebook
Manual for practitioners
working with mitigation actions