Good Practice Guidance on TNA – a background paper

Prepared by: E.Fida & R. Nayamuth

UNFCCC workshop: “Sharing Good Practice in Conducting TNAs”Bangkok, 27-29 June, 2007

Content

Background Why this background paper on GPG on TNA? Objectives; Scope; TNA under the UNFCCC* Targeted audience; Approach. Status of the TNA

Synthesis of GPG of TNA by steps: Conducting TNAs Reporting TNAs Implementing* Cross-cutting issues*

Next steps…

Why the background paper?

Mandated by: SBSTA 25: UNFCCC sec in collaboration with

EGTT to prepare a background paper on GP on TNAs

SBSTA 25: UNFCCC to organize a workshop on sharing GPs of NA1 in conducting TNAs in Bangkok, 27-29 June, 2007

SBSTA 26: UNFCCC to organize a workshop on GP and experiences in conducting NCs in Cairo, 20-22 September, 2007

SBSTA 26: UNFCCC make the paper available to SBSTA 27 for its consideration and to Parties along with synthesis report, newly completed TNAs and other relevant info.

Objectives of the paper

The overall objective of the paper is to: Compile and synthesize good practices from the

TNAs completed so far; Inspire the discussions and serve as source of

information for the participants of the workshop. Help countries find ways of encouraging

technology transfer through GP and lessons learned from those that are more advanced with this process.

The paper could be used to form the basis for preparing a technical paper on this matter at a latter stage.

Scope of the paper Covers 34 TNA reports completed,

funded mainly by GEF Additional Financing for phase II/top-ups

Overview of “How?” did countries carry out the TNA process: overview of guidance on conducting, reporting and

implementing; experiences, lessons learned and challenges that have

emerged from the TNA process; Build upon the existing work:

UNFCCC, EGTT, UNDP, UNEP, CTI, etc Provides a “How to” guidance for improving TNA process.

One size does not fit all but generic issues are addressed Case studies provided.

TNA reports covered

Targeted audience

Participants of Bangkok workshop on sharing GP in TNAs;

Climate change teams of NA1 that are/will be conducting the TNA process;

Stakeholders involved in the TNA process International organization and/or donor

countries that are interested in the process of the technology transfer to NA1 countries.

Participants of the Cairo workshop on sharing GP in conducting NCs

Approach Build upon a synthesis of the information through:

In-desk review of the 34 TNA reports, Workshop presentations on country experiences and lessons

learnt and breakout sessions discussions; Questionnaire survey on best/good practices in TNAs during the

Bangkok workshop.• The questionnaire includes a set of 48 questions aiming to further

clarify issues that could not be clarified by the in-desk review of the TNA

Interviews with coordinators of the TNA • In the course of workshop, and follow ups have been made by e-mails.

Inputs from stakeholders are key: Comments and feedback on the draft paper from the participants of both workshops

Build upon a working definition on “Good Practice” Paper is structured under an activity/step-wise approach:

Conducting, reporting and implementing. Each step: current guidance; generic issues in country

performances, GP, case study. Consider both similarities and differences between mitigation and

adaptation

TNA process: main activities

MitigationMitigation AdaptationAdaptation

Activity 2: Identify technology criteria for assessment

Activity 3: Prioritize sectors and select key technology(ies)

Activity 4: Identify barriers and policy needs*

Activity 6: Prepare a synthesis report

Review GHG inventory for

mitigation potential

Identify key sectors and characteristics

Review national plans in identified

sectors

Review available vulnerabili ty studies

Identify vulnerable sectors

Review national plans in vulnerable

sectors

Review technology options and resources

Prepare lis t of sectors with

mitigation potential

Develop criteria to apply to vulnerable

sectors

Compile a lis t of prioritized mitigation technologies and

key sectors

Prioritize vulnerable sectors

Identify characteris tics of prioritized sectors

Compile responses to address

vulnerabili ty

Activity 5: Define and select options

Conduct env iron-mental technology impact assessment

Assess capacity to use mitigation technologies

Conduct env iron-mental technology impact assessment

Assess capacity to use adaptation technologies

Implementation actions

Rank and select prioritized mitigation technologies and

key sectors

Identify practical options for priority

sectors

Identify responses and technologies

Rank and prioritize applicable

technologies

Assess adequacy of financial resources Ensure transparency Identify potential

synergiesIdentify ways to reduce barriers

Continue s takeholder involvement

Revise plans as needed

Activity 1: Prepare a preliminary overview of the sectors

Cross-cutting issues

(Stakeholder engagement and barrier analysis)

Full report (including a description of the stakeholder process adopted, an evaluation of sectoral needs and opportunities…, a statement of data gaps, project concepts/proposals, potential sources of funding)Summary report in NC

Input from NC, NAPAs, national development plans

Output to NC, NAPAs national development plans

Communicate TNA findings

MitigationMitigation AdaptationAdaptation

Activity 2: Identify technology criteria for assessment

Activity 3: Prioritize sectors and select key technology(ies)

Activity 4: Identify barriers and policy needs*

Activity 6: Prepare a synthesis report

Review GHG inventory for

mitigation potential

Identify key sectors and characteristics

Review national plans in identified

sectors

Review available vulnerabili ty studies

Identify vulnerable sectors

Review national plans in vulnerable

sectors

Review technology options and resources

Prepare lis t of sectors with

mitigation potential

Develop criteria to apply to vulnerable

sectors

Compile a lis t of prioritized mitigation technologies and

key sectors

Prioritize vulnerable sectors

Identify characteris tics of prioritized sectors

Compile responses to address

vulnerabili ty

Activity 5: Define and select options

Conduct env iron-mental technology impact assessment

Assess capacity to use mitigation technologies

Conduct env iron-mental technology impact assessment

Assess capacity to use adaptation technologies

Implementation actions

Rank and select prioritized mitigation technologies and

key sectors

Identify practical options for priority

sectors

Identify responses and technologies

Rank and prioritize applicable

technologies

Assess adequacy of financial resources Ensure transparency Identify potential

synergiesIdentify ways to reduce barriers

Continue s takeholder involvement

Revise plans as needed

Activity 1: Prepare a preliminary overview of the sectors

Cross-cutting issues

(Stakeholder engagement and barrier analysis)

Full report (including a description of the stakeholder process adopted, an evaluation of sectoral needs and opportunities…, a statement of data gaps, project concepts/proposals, potential sources of funding)Summary report in NC

Input from NC, NAPAs, national development plans

Output to NC, NAPAs national development plans

Communicate TNA findings

Good Practice (GP) – a definition

Good Practice has been previously used but no definition as part of KM system of UNFCCC: Workshop report on “GP in P&M in A1P” held in Copenhagen, April

2000: • Countries may approach GP in international and national context • Countries agreed that:

• “Good Practice” more appropriate in international setting• “Best Practice” is at a large extend country specific

Good Practice [Wikipedia] as a management idea which asserts that there is a technique,

method, process, activity, incentive or reward that is more effective at delivering a particular outcome than any other technique, method, process, etc

Good practice in the TNA process: the most efficient (least amount of effort) and effective (best

results) way of conducting a TNA, reporting and implementing its results, based on repeatable procedures that have proven themselves over time for large numbers of users.

Good Practice involve a set of evaluation criteria Methodology, priority area/sector covered, links to dev goals,

stakeholder involvement, barriers addressed, potential for follow-up, reporting, resorce utilization, replicability etc.

CONDUCTING: Managing the TNA process

Findings from TNAs Management process not properly described

• Countries did not report on institutional arrangements for conducting TNAs

• A few countries indicate scoping workshops, ToRs.

Lack of a proper focus (mitigation vs adaptation; key sectors, key technologies) of some TNAs leads to the conclusion that they lacked a proper strategic management of the process.

Good Practice:

Nominate the right person as coordinator of the TNA

Set up a national team of experts with people previously involved in the national communication process.

Set up a stakeholders group with the involvement of high-level representatives from key relevant institutions.

Develop a detailed work-plan with clear objectives, outputs and activities and deliverables and validate it with stakeholders an the team.

Develop rules and procedures for write-ups and final deliverables.

Hold an inception workshop to present the objectives and expected deliverables and refine any arrangements, if needed.

CONDUCTING: Managing the TNA process

….

International advisors and stakeholders

International technical expertsDonor representativesDeveloped country government officialsInternational businesses and finance organizations Developing and transition country experts and offic ials

Government agency steering committeeEnvironmentEnergy Agriculture, Forestry , Water, Transportation, etc.

Technology area 1Businesses Trade organizationsTechnical InstitutionsFinance organizationsNGOsCommunity groupsOthersRelevant government agencies

Technology area 3Businesses Trade organizationsTechnical InstitutionsFinance organizationsNGOsCommunity groupsOthersRelevant government agencies

Technology-specific sub-teams

Lead technical institution

….

International advisors and stakeholders

International technical expertsDonor representativesDeveloped country government officialsInternational businesses and finance organizations Developing and transition country experts and offic ials

Government agency steering committeeEnvironmentEnergy Agriculture, Forestry , Water, Transportation, etc.

Technology area 1Businesses Trade organizationsTechnical InstitutionsFinance organizationsNGOsCommunity groupsOthersRelevant government agencies

Technology area 3Businesses Trade organizationsTechnical InstitutionsFinance organizationsNGOsCommunity groupsOthersRelevant government agencies

Technology-specific sub-teams

Lead technical institution

CONDUCTING: Managing the TNA process

CONDUCTING: Methodological aspects

Findings from TNAs Most of the TNAs were conducted before the

completion and publication of the UNDP Handbook All countries followed a process similar to that of

UNDP handbook because:• Used other available guidance (CTI, UNEP, IPCC)• UNDP Handbook preparation draw upon existing resources • Methods used by countries served as reference point for

the UNDP handbook (workshops, feedback, inputs) In most of the cases stakeholders were involved

either through an inception/scoping workshop or questionnaire survey.

Majority of TNAs do not quote the methodology used.

•

CONDUCTING: Methodological aspects

Good practice: Use the most current updated guidance as a

methodological approach for conducting the TNA study

Draw upon disseminated good practices and lessons learnt by other countries who conduced the TNA studies

Adopt/accommodate the selected methodological guidance in accordance to the national circumstances. There is no “one –size- fits- all” type of guidance.

CONDUCTING: Areas and sectors covered

Findings from the TNAs All countries have passed through a preliminary

assessment All focused their TNAs on sectors already identified

under their FNCs• for their potential for GHG reduction and/or addressing

vulnerability to climate change. All countries (except of one) covered mitigation with

focus on energy sector Adaptation not covered at the same range as

mitigation Most of them lack the explanations on why do they

focus on a certain area.• When providing explanations on highlight national

circumstances, reference to the INC and availability of resources

CONDUCTING: Areas and sectors covered

Good practice Conduct a preliminary assessment and prioritize

sectors. Conduct an overview of data sources, information

sources and data gaps Conduct a scoping exercise (it might be a workshop)

to define the scope of work and design TORs for each sector in the light of available resources;

Involve stakeholders from the inception phase of the TNA (scoping phase);

Consider national circumstances and development needs in the prioritization of sectors.

CONDUCTING: Areas and sectors covered

Case Study (ALBANIA)

Mitigation Overview of the sector:

• Sector profile, • Legal framework;

Policy framework. Overview of the work done under the Albania’s FNC:

• GHG inventory;• GHG mitigation.

Take the stock of the technologies currently in use Overview of technology options

Adaptation Profile of the targeted area (Coastal area):

• Overview of the vulnerability studies in the targeted area• Overview of national plans/programs in the targeted area

Overview of the work done under the Albania’s FNC with a focus on coastal area:

• Vulnerability and adaptation section. Take the stock of the technologies currently in use Overview of technology options

CONDUCTING: Methodologies for selection / prioritization

Findings from the TNAs In most of TNAs technologies were identified on basis of

three factors (Development goals, contribution to CC, market potential)

• A preliminary list of technologies has been identified through expert judgement and stakeholder consultation.

In some cases, priority technologies were simply listed by sector and sub-sector without any explanation.

Some countries provided detailed information on the selection process, criteria and methods.

Tools used by countries involve:• Multi criteria analysis; CB & RB; Analytical hierarchy, survey

questionnaire; etc• Weight and scoring

Those countries that did both mitigation and adaptation used the same selection / prioritization method

Explanations on the how stakeholders are involved under this step are missing in most of the cases.

CONDUCTING: Methodologies for selection / prioritization

Good practice Set clear criteria for selection which must be at least

compatible with development objectives, contribute to climate change mitigation and have market potential.

Apply an inclusive process for criteria setting by involving expert judgment, policy makers judgment, and stakeholder consultation.

Decide on the tool of prioritization in accordance to the national circumstances.

Use a wide range of criteria, identify a small number of key sectors.

Build up a ranking matrix to evaluate technologies. Conduct a barrier analysis for the selected/prioritized

technologies. Make plans to revisit the selected technologies in the light of

future development and change.

CONDUCTING: Methodologies for selection / prioritization

Case Study: (CHINA)

Environmental concern: global and local GHGs mitigation; Improvement of local environmental quality

Technological concern Mature degree of technologies; Advancement degree of technologies; Reliability of technologies; Penetration of technology application; and Easiness of wider use of technology.

Economic concern Internal Return Rate (IRR) and the effect of pricing and fiscal policies on the

IRR Payback period Mitigation and adaptation costs

Social concern Social efficiency: necessity of T&T Broader links with other sectors and groups Employment and poverty alleviation

CONDUCTING: Methodologies for selection / prioritization

Case Study: (CHINA)

High efficiency boilers Large thermal power generation (300-600 MW) Cogeneration High efficiency electric motors Green lighting Energy saving buildings Coal-bed methane recovery and utilization Biomass gasification Wind energy Solar thermal heat Biogas Waste heat and energy recovery Village hybrid renewable energy (wind & PV) High efficiency cook stoves Alternative fuel transportation for urban regions Small-scale hydropower Combined cycle natural gas power generation Central heating Waste gas recovery

Key technology needs

•Thermal power generation,•High efficiency motors, •High efficiency boilers, •Wind energy and •Coal bed methane recovery.

CONDUCTING: Methodologies for selection / prioritization

Case Study: (CROATIA)

Development benefits Job creation Capacity building (production, know-how) Economic structure change according to croatia export orientation Agriculture security

Implementation potential Marginal cost Commercial readiness Technology availability Measure applicability

Contribution to climate change response goals GHG emission reduction potential / enhancement of CO2 sinks Indirect effect on the other air pollutants emission reduction Conservation of energy

Key technology needs

• Wind power plants• Biomass in heating plants• Energy efficiency in buildings• Biomass in cogeneration plants• Increase in bio-diesel use

CONDUCTING: Next steps

Findings from the TNAs: Next steps, as from the identification of technologies,

were not always covered by Countries . Next steps reported varied among Countries.

Those who reported presented general actions such as:• improving access to information on these technologies,• awareness raising• improving human capacity.

Other Parties still proposed next steps for the respective technologies in the form of:

• implementation plans, • recommendations, • project proposals.

In some reports, it was difficult to distinguish between barrier removal and next steps.

CONDUCTING: Next steps

Good practice: Next steps could aim at analyzing successful

implementation of the TNA results. Draw implementation plans to address the

barriers identified. This could be done by formulating complete

detailed project proposals for the transfer of the selected technologies.

CONDUCTING: Develop project proposals

Findings from TNAs: Only a restricted number of Parties

developed and included project proposals in their TNAs.

The proposals differed mainly in quality;• did not include the same information

The remaining Parties presented project concepts or ideas ONLY

CONDUCTING: Develop project proposals

Good practice: Set-up a multidisciplinary team to write up a

detailed project proposal. Adopt the UNFCCC practitioner’s guidebook

A good project proposal must reply to the questions:• What is being proposed?• Where will be implemented?• Who will champion the proposal who else get involved?• How will be implemented? • Why is it important (financial, social, environmental

return)?• What if things do not go as planned?• To Whom is he proposal addressed?

REPORTING

Findings from TNAs All countries produced TNA reports although they either

completely lacked or had partial guidance on it; GEF Operational Procedures for top-ups do consider TNA as

follow-up of the NC but do not ask for an official submission of the reports to the UNFCCC;

TNA reports have been collected and analysed through the GEF Implementing Agencies Available in their web pages and TT: CLEAR

Most of the reports consist on a step-by-step description involving national circumstances and cross-cutting issues but the level of detail is different. Countries used charts, tables, matrixes as part of reporting the

TNA findings Majority of countries do not explain the institutional

arrangements and methodological approach.

REPORTING

What a TNA report MUST contain:

Objective of the TNA Methodological approach A description of the institutional arrangements An overview of sectors, including GHG emissions and the potential for

their reduction and/or adaptation to climate change; A preliminary summary of climate change technologies A statement on data gaps and constraints, and measures adopted to

correct them; Description of criteria and process for technology evaluation An overview of the assessment of technologies according to the

agreed priorities; List of priority sectors and key technologies for preliminary action; A review of key barriers and steps to overcome them, A description of follow-up arrangements (in the form of a

implementation plan if appropriate or project ideas/ notes/concepts/proposals);

A list of stakeholders and programme for continued stakeholder engagement. Matrices of evaluation.

Next steps…

Strategies for improvement of the TNA process

Integrating feedback from this workshop Integrating feedback from the UNFCCC

sec and EGTT Draft final in mid-August, 2007

Thank you!