Clean Air Initiative for Asian Cities (CAI-Asia) Center Business Plan
Updated – November 2007
July 2007 – December 20081
Table of Contents
I. II. III. A. B. C. D. E. IV. INTRODUCTION ..............................................................................................................................................2 MISSION AND CONTEXT ..........................................................................................................................2 OUTPUTS .......................................................................................................................................................4 ORGANIZATIONAL DEVELOPMENT ....................................................................................................................5 KNOWLEDGE MANAGEMENT.............................................................................................................................9 CAPACITY BUILDING ....................................................................................................................................... 10 NETWORKING AND POLICY DEVELOPMENT..................................................................................................... 11 INVESTMENT AND IMPLEMENTATION FACILITATION ....................................................................................... 14 CAI-ASIA RESOURCE MOBILIZATION ............................................................................................... 14
ANNEX A - MEMBERSHIP CAI-ASIA CENTER ............................................................................................... 19 ANNEX B - ORGANOGRAM AND CAI-ASIA CENTER STAFFING .............................................................. 20 ANNEX C – SUMMARY OF PROJECTS .............................................................................................................. 22 ANNEX D – SUMMARY OF LOCAL NETWORK ACTIVITIES ...................................................................... 26
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The Business Plan was updated in November 2007
CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
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I.
INTRODUCTION
1. The Clean Air Initiative for Asian Cities (CAI-Asia) Center (www.cleanairnet.org/center) was established in June 2007 as a non-stock, non-profit corporation in the Philippines. The CAIAsia Center incorporates the earlier CAI-Asia Secretariat located in the Asian Development Bank (ADB). The CAI-Asia Center acts as the Secretariat to the CAI-Asia Partnership (www.cleanairnet.org/Partnership). The CAI-Asia Center is governed by its Articles of Incorporation and By-laws approved by its Board of Trustees (BoT).2 2. The By-laws of the CAI-Asia Center call for the development of a two-year Business Plan. The CAI-Asia Center Business Plan aims to contribute to the implementation of the CAIAsia Partnership Strategy, which covers the period 2007-2010.3 It should be realized, however, that many of the other member organizations of the CAI-Asia Partnership will also undertake activities to support the implementation of the Partnership Strategy. 3. The Business Plan proposed in this document covers the period July 2007January – December 2008. It is an update of the Business Plan June 2007 – December 2008, which was prepared by the CAI-Asia Center in consultation with CAI-Asia Local Networks and takes into account the contents of major CAI-Asia Center programs and projects for the period 2007-2008 which have already been approved or which have been submitted to funding agencies (see Annex C). 4. Preparation for the second Business Plan covering the period January 2009 – December 2010 will commence in the second half of 2008. The CAI-Asia Center Business Plan also forms the basis for the budget of the CAI-Asia Center for 2008, which is described in Section V. B.
II.
MISSION AND CONTEXT
5. CAI-Asia’s mission is to promote and demonstrate innovative ways to improve the air quality of Asian cities through partnerships and sharing experiences. 6. The work of the CAI-Asia Center fits in a broader context of AQM developments in Asia. In addition to general AQM developments in Asia, as described in the CAI-Asia Partnership Strategy, there are two key developments to be considered by the Center: the Long Term Vision on Urban Air Quality in Asia and co-benefits. 7. The CAI-Asia Center works together with UNEP on the development of the Long Term Vision on Urban Air Quality for Asian Cities (LTV) for 2030, which will describe the desired state of urban air quality management in Asian cities and can help inspire Asian cities and countries in the development of their air quality management (AQM) policies and programs. The Yogyakarta Summary that was prepared following the first Governmental Meeting on Urban Air
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See http://www.cleanairnet.org/caiasia/1412/articles-71258_incorp.pdf for the Articles of Incorporation and http://www.cleanairnet.org/caiasia/1412/articles-71258_bylaws.pdf for the By-laws of the CAI-Asia Center. See http://www.cleanairnet.org/caiasia/1412/propertyvalue-26889.html#h2_2 for overview of the Trustees of the CAIAsia Center See http://www.cleanairnet.org/caiasia/1412/articles-71771_strategy.doc for the CAI-Asia Partnership Strategy 2007-2010.
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Quality in Asia in December 2006 will provide an important starting point for the LTV, as well as the CAI-Asia Partnership Strategy. A draft LTV will be discussed at the second Governmental Meeting no Urban Air Quality in Bangkok in June 2008, It is envisaged that this vision will also become the backbone of the focus and activities of CAI-Asia (Center, Partnership and Local Networks) for the foreseeable future. 8. Asian cities and countries will need guidance in how to achieve the objectives outlined in the LTV. The CAI-Asia Center, together with its Local Networks and its partners, aims to provide guidance through: Analysis, i.e. data and information are needed to understand and measure the problem (e.g. through emissions inventories and apportionment), including monitoring of changes in time. The Air Quality Database (AQ Database) will be established by the Center to collect and share this data and information. Regulation, i.e. standards (ambient air quality standards, emission standards for mobile and stationery sources, fuel quality standards), legislation (e.g. clean air act) and policies (e.g. AQM plans). The bi-annual Country Synthesis Reports on air quality management (CSR-AQM) will provide overviews of existing regulation. Implementation, i.e. technologies, fuel types (e.g. use of cleaner or renewable energies), pilot projects, training courses, programs (e.g. vehicle inspection programs) other ways that assist the actual improvement of urban air quality. The Compendium of AQM organizations, projects/programs and training courses will collect this information through a regional survey.
9. The Governmental Meetings on Urban Air Quality and the bi-annual Better Air Quality (BAQ) workshop in 2008 (CAI-Asia’s flagship event) will play a central role. It is proposed that the main purpose of the Governmental Meeting on Urban Air Quality in June 2008 is to review and approve the LTV, and that subsequent meetings are used to monitor progress in achieving the AS Vision’s objectives, and highlight successes, challenges, and possible solutions. 10. The BAQ 2008 workshop can be used to present the baseline of where Asian cities are at in relation to the LTV and discuss concrete ways in which Asian cities can implement the vision. Subsequent BAQ workshops will present progress against the baseline and will continue to be the event where concrete initiatives to improve urban air quality in support of the LTV are discussed. The CAI-Asia Center plays a key role in monitoring this progress and preparing a biannual report in time for BAQ. This report would draw on info from the Governmental Meetings, AQM Database, CSR-AQM and Compendium. 11. Asian cities will need to act on Climate Change now that it is increasingly clear that Asian countries and cities will be seriously affected both by the long term AND the short term impacts of climate change. An integrated approach to managing climate change, energy and air pollution makes sense and can offer multiple benefits (“co-benefits”) in the form of reduced air emissions and associated health and climate change risks, improved energy security and large cost reductions. 4 This co-benefits approach is increasingly considered by policy makers, businesses and development agencies in their decisions that are relevant to AQM. In line with the ongoing discussions at the global and the regional level, and in line with the recommendations of the Fourth Assessment report of the IPCC, co-benefits will be a key consideration in the development of the Long Term Vision document. Asian cities may prioritize air quality and energy security above climate change, for development agencies and bi-lateral
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See http://www.cleanairnet.org/caiasia/1412/article-71843.html for a more in depth explanation of the co-benefits approach and an analysis of the status of the co-benefits approach in Asia.
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donors, climate change is a first priority. Hence the CAI-Asia Center, through applying the cobenefits approach can help to contextualize climate change mitigation in the Asian region, and at the same time help achieve air quality improvements. The emphasis on co-benefits is also expected to contribute to the scaling up of efforts to improve air quality management. Over the last years technologies and policies have been developed and implemented which have a demonstrated capacity to reduce energy consumption and improve air quality. It is expected that the momentum created by the climate discussions will help to mainstream such policies and technologies.
III.
OUTPUTS
12. The activities of the CAI-Asia Center in the period up to December 2008 will have two common themes: 1. Consolidation of prior CAI-Asia strengths under the new CAI-Asia Center. Many of the activities will be a continuation of activities already started prior to the formal establishment of the CAI-Asia Center. These activities will help to establish the role and reputation of the CAI-Asia Center as the main regional convener on urban air quality which the CAI-Asia Secretariat had built up since 2001; 2. Co-benefits of urban air quality management, energy management and climate change mitigation. The CAI-Asia Center’s immediate focus will be on improving urban air quality management in Asia. However, the CAI-Asia Center will, in most of its activities, seek synergies with efforts to improve energy management and the mitigation of climate change. 13. The activities of the CAI-Asia Center will be implemented efficiently and effectively by adhering to the following: Activities to be linked as much as possible to ensure synergy and avoid duplication; Contributing to the implementation of the LTV on urban air quality; Extent of real improvements in air quality or reductions in GHG emissions Focus on gaps and emerging trends and priorities rather than duplicating existing work Focus on countries where a CAI-Asia Local Network exists or will be established Preference towards large projects and avoidance of projects with a value of less than $ 50,000 (unless these are strategic)
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The activities and outputs of the CAI-Asia Center are classified under 5 components: 1. 2. 3. 4. 5. Organizational Development Knowledge Management Capacity Building Networking and Policy Development Investment and Implementation Facilitation
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A. Organizational Development
Performance Indicator: The CAI-Asia Center established as an independent legal entity (i.e., all administrative and financial procedures are functioning smoothly, ensuring its sustainability)
1. Keeping old friends and making new ones
a. Regional Organizations 15. The CAI-Asia Center is in the transition from being a program hosted by ADB to becoming an independent organization. The success and sustainability of a small-scale organization like the CAI-Asia Center will depend, amongst others, on the manner in which it will be able to develop alliances and linkages with important strategic partners. The choice of partners should reflect the strategic priorities of the CAI-Asia Center. It is important to maintain and strengthen the linkages with the ADB, World Bank, United States Environmental Protection Agency (US EPA), United Nations Environment Programme (UNEP), United Nations Centre for Regional Development (UNCRD), and AQM-related regional non-governmental organizations (NGOs) in Asia such as the World Conservation Union (IUCN). 16. The CAI-Asia Center should aim to establish or improve linkages with other regional organizations which CAI-Asia has had relatively less contact with so far. These include but are not limited to: United Nations Economic and Social Commission for Asia and the Pacific (UNESCAP), United Nations Framework Convention on Climate Change (UNFCCC), United Nations Human Settlements Programme (UN–HABITAT), Association of Southeast Asian Nations (ASEAN), and South Asian Association for Regional Cooperation (SAARC). 17. The CAI-Asia Center aims to develop Letters of Intent (LOIs) with these organizations to establish a structured coordination and cooperation which goes beyond ad hoc coordination and cooperation. LOIs serve as umbrella agreements with these organizations, while subsequent Letters of Agreement (LOAs) can be signed for specific projects or activities that involve financial contributions. Such organizations can also opt for a voting or non-voting membership of the CAI-Asia Center.5 b. Bilateral development organizations and international foundations 18. The CAI-Asia Center will continue to maintain and expand ties with bilateral development agencies. These include, but are not limited to the German Technical Cooperation (GTZ), the Norway Government (represented by NORAD or Norwegian embassies), the Swedish International Development Cooperation Agency (Sida), the US EPA and United States Agency for International Development (USAID). Important international foundations that the CAI-Asia Center will attempt to maintain relationships with include the Clinton Foundation, the Energy Foundation, and the Hewlett Foundation. The relationship with these organizations can be structured through LOIs and/or LOAs or in some cases a voting or non-voting membership in the CAI-Asia Center. c. Private sector organizations
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To become a voting member of the CAI-Asia Center, a minimum annual contribution is required of US$ 150,000. To become a non-voting member a minimum contribution of US$ 15,000 is required.
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19. Private sector organizations can be an important resource for the CAI-Asia Center. The CAI-Asia Center targets four categories of private sector organizations: (a) Motor vehicle manufacturers and motor fuel providers with an interest in air emissions generated by motor vehicles; (b) Regulated companies whose emissions from operating processes require government permits and who have an interest in urban air quality; (c) Companies with an indirect interest in air quality, such as health insurers, banks, pharmaceutical companies; (d) Companies with an interest in assisting NGOs from a corporate social responsibility angle or because they want to build a track record with NGOs to win work with larger NGOs or development agencies in the future. 20. Private sector companies can contribute in four different ways: (a) as a voting or nonvoting member 6 ; (b) as a sponsor of BAQ workshops 7 ; (c) through providing a grant for a specific activity or project; and (d) by providing services to the CAI-Asia Center on a pro bono basis8. In addition to the financial contribution the knowledge transfer from such companies is as important... d. National government agencies and City governments. 21. The CAI-Asia Center faces the challenge of maintaining and expanding the ties that have been made with national government agencies and city governments during the period 2001 – 2007 under CAI-Asia. The NGO status of the CAI-Asia Center may make it difficult for some government agencies to establish formal links with the CAI-Asia Center. The CAI-Asia Center encourages these organizations to join the CAI-Asia Partnership as a member. In some cases, especially where the CAI-Asia Center will have direct project implementation activities involving specific national or city government agencies, the CAI-Asia Center will enter into separate agreements, usually in the form of an LOI or Memorandum of Understanding (MOU) in which both organizations agree to cooperate on specific activities.
2. Governance
a. Status of the organization 22. The CAI-Asia Center is registered as a non-stock, non-profit organization in the Philippines. To increase its relevance, to facilitate its work with national and city governments and to increase its fund raising capacity, the CAI-Asia Center will study the options of evolving into a regional NGO which continues to be based either in the Philippines or will move in the medium term (3-5 years to another country in Asia In 2008 the CAI-Asia Center intends to establish representative offices in China and India. b. Membership 23. Annex A gives an overview of the current membership of the CAI-Asia Center. It is expected that the current membership of seven members can increase if some of the previous
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Private sector members will be acknowledged on the CAI-Asia website and in all major printed public relations materials of the CAI-Asia Center. The level of coverage will be linked to the level of funding. Current private sector members include Asian Clean Fuels Association (ACFA), Corning, and Shell 7 BAQ sponsored will be acknowledged on the BAQ website and in all major printed materials of the BAQ event, will be provided with an exhibition booth during the 3-day workshop, and will receive preferential registration rates. 8 This is only allowed for services that do not require the service provider to be independent, e.g. auditing services are excluded CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
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CAI-Asia private sector members, as well as donor organizations of the CAI-Asia Center, decide to join the CAI-Asia Center as a voting or a non-voting member9. c. Board of Trustees 24. The Board of Trustees (BoT) of the CAI-Asia Center currently consists of seven persons and will be increased to eight persons as of January 2008. 10 In order to increase the engagement of strategic partners in the CAI-Asia Center, the number of members of the Board of Trustees could be increased. At the BoT meeting in July 2008, the BoT will decide whether there is a need to increase the number of Trustees. d. Operational Manual 25. The Administrative and Financial procedures for the CAI-Asia Center are documented in the Operational Manual (OM).11 The OM became operational in July 2007 and it is expected that changes will be required in the OM to ensure that it is relevant and practical. Major changes, where and when required, will be made by the CAI-Asia Center and submitted to the BoT for approval.
3. Reporting
a. Reporting to Board of Trustees 26. The CAI-Asia Center will submit narrative Quarterly Reports on progress against the Business Plan and Quarterly Financial Reports covering overall finances of the CAI-Asia Center. After approval of the reports by the BoT, reports will be posted on the CAI-Asia website. b. Reporting to Members 27. The CAI-Asia Center prepares an annual narrative report on progress against the Business Plan, and an audited financial report. In addition, the Business Plan is updated each year and will include an updated budget for subsequent years. After approval by the BoT and sign-off by the external auditor these reports and Business Plan will be posted on the CAI-Asia website. c. Reporting to donor organizations 28. The CAI-Asia Center will submit narrative and financial reports as specified in the Letter of Agreements or contracts with the concerned donors. In most cases this will be based on project specific log-frame and project budgets. Approval will be sought from the donor organizations that the narrative reports for projects implemented by the CAI-Asia Center are posted on the CAI-Asia website on special web-pages created for these projects.
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Sida has already indicated its interest to join as a voting member based on its contribution to the SUMA project, which is implemented by the CAI-Asia Center through a Letter of Agreement with ADB. 10 This to ensure that at least 50 per cent of board members reside in the Philippines as required under Philippine law See http://www.cleanairnet.org/caiasia/1412/propertyvalue-26889.html#h2_2 for an overview of the BoT members. 11 See http://www.cleanairnet.org/caiasia/1412/article-71912.html for the online version of the OM CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
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4. CAI-Asia Local Networks
29. Prior to incorporation of the CAI-Asia Center, CAI-Asia used to have seven Local Networks in seven countries: China, Indonesia, Nepal, Pakistan, Philippines, Sri Lanka and Viet Nam. The CAI-Asia Partnership Council has acknowledged these Local Networks as they meet the criteria outlined in the Partnership Operating Guidelines.12 30. The CAI-Asia Center has developed a Local Network strategy which outlines how the CAI-Asia Center will work with the Local Networks in implementing the CAI-Asia Center Business Plan. In addition, Local Networks prepare an Annual Report, which includes a report on achievements during the past year and a work plan for activities planned for the following year. Each year, a Local Network Summit is held to discuss the Annual Reports and to decide on future directions and joint activities. 31. The CAI-Asia Center will support the creation of additional Local Networks to be established in 2007-2008 in India, Mongolia and possibly Thailand and Bangladesh. , 32. Local Networks are expected to (ultimately) function as separate networks. They are supported by a secretariat which in most cases will be provided by a local organization. In the cases of India and China it is planned that the representative office of the CAI-Asia Center will act as the Secretariat of the local networks. MoUs and LoIs are being developed with the host organizations who provide Secretariat functions. 33. The CAI-Asia Center is expected to provide limited financial assistance to branch or representative offices and to organizations it has concluded a MoU with. Usually, such financial assistance will be contingent on the local contribution of funds. In addition, the CAI-Asia Center assists Local Networks with raising their own funds for activities in their countries.
5. CAI-Asia Center staffing and management
34. The CAI-Asia Center as of January 2008 consists of 9 full-time staff, see Annex B for an overview of staffing and the organizational structure of the CAI-Asia Center. The staffing can expand to about 15, either through the recruitment of permanent staff or temporary consultants, during the period 2007-2008 in case new programs and projects to be implemented by the CAIAsia Center are approved and implementation starts. 35. The CAI-Asia Center is managed on a day-to-day basis by the Deputy Executive Director, while the overall management will be exercised by the Executive Director. Periodic evaluations will be carried out with the aim to facilitate a taking over of the tasks of the Executive Director by the Deputy Executive Directors by or before July 2009. The CAI-Asia Center will review its internal organizational structure in 2008 with the aim to increase efficiency and effectiveness. A proposal will be submitted to the BoT. 36. The CAI-Asia Center is outsourcing certain functions, or is planning to do so. This includes accounting and payroll services, media and legal services. 37. The CAI-Asia Center staff is the single most important resource of the organization and efforts will be made to further develop this resource. This includes annual staff plans (including
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See http://www.cleanairnet.org/caiasia/1412/articles-71193_guidelines.pdf
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performance and development activities and targets) and regular performance evaluations. Staff will be able to undertaken short-term training as part of their jobs, and collective training activities may also be organized. The CAI-Asia Center management will develop and implement a strategy to strengthen the management capacities of Division Heads. Increasing their management capacities is the most immediate way of increasing the implementation capacity of the organization and ensure its future sustainability.
B. Knowledge Management
Performance Indicator: The CAI-Asia Center is accepted as an authoritative, knowledge base on urban air quality in Asia
38. The KM activities of the CAI-Asia Center in 2008 will be based on the Knowledge Management (KM) Strategy that was developed in 2007. The KM strategy covers the activities of CAI-Asia, i.e. the CAI-Asia Partnership, the CAI-Asia Center and the Local Networks. (see www. 39. The KM strategy defines the following KM products for 2008: Website: AQM information will continue to be disseminated primarily through the CAIAsia website. This is the public face of the CAI-Asia Partnership and Center. However, the current status of the website has not always been able to effectively transfer the knowledge to stakeholders. The CAI-Asia Center will revamp the website not only in terms of structure and design, but also the content management system (see Section 4.4). The BAQ13 and SUMA14 websites will also be maintained by the Center; and, the possibility of developing a new website on a different platform is being considered for the medium or long term. A web style guide will also be created in line with the principle of consistency. AQM Database. To strengthen its role as an authoritative source of AQM knowledge in the region, the CAI-Asia Center, in cooperation with the Global Atmospheric Pollution Forum (GAPF), will develop an online AQM database to provide users with comprehensive, quantitative data on a wide range of parameters including country and city demographics, air quality levels and trends, GHG emissions and trends, and impacts of air pollution. This database will make use quality assured data sets from other organizations. Users will be able to use the data sets to generate graphs and analyses for use in reports. Such as database would increase user traffic to the CAI-Asia website and websites of partner organizations where more extensive information can be found. Listserv: The Lyris listserv has over 1,250 members. CAI-Asia Center will give greater attention to increasing the number of its listserv subscribers, and explore possibility of
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Better Air Quality, e.g. www.baq2006.org Sustainable Mobility in Asia (SUMA) project: www.cleanairnet.org/suma
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upgrading the technology so that messages are archived better and digests are more readable. Air Calendar: The CAI-Asia Center will continue to post events on AQM in Asia on its calendar of events. The goal is to be as comprehensive, but as relevant, as possible. The SUMA section has its own calendar of events that displays only events relevant to sustainable urban transport; as part of the website revamp, the other main topics will also have this feature. Country Synthesis Reports: The CSRs on urban air quality will be converted into a true online publication that can be updated faster than its current printable format. Shorter iteration periods will allow each CSR to make faster improvements in both substance and style. AQM Compendium (Projects, Studies, Training Courses): Like the CSRs, this would be more effective as a virtual online publication; it would be easier to disseminate and saves paper. The Compendium may also be made available in CD format. The current Compendium features programs/projects; a Compendium of Studies and Training courses is planned for 2008. Webinars: The CAI-Asia Center is discussing with other organizations (e.g., Air and Waste Management Association) on the possibility of hosting online “webinars.” Through the use of ICT, participants from around Asia can watch and listen to live presentations without leaving their country. This cost effective method also reduces the need for international travel, printing materials, hotel accommodations, etc.
C. Capacity Building
Performance Indicator: The CAI-Asia Center is able to contribute to the generation of adequate capacity for effective urban AQM in Asia
40. of:
The capacity building activities of the CAI-Asia Center up to December 2008 will consist
Documentation of capacity building materials on the CAI-Asia website. It is envisaged that the over the years this will serve as the main online depository of AQM related training materials. An important source of training materials will be the 2008 Compendium, which will also include a compendium of AQM and sustainable urban transport (SUT) training courses. Provision of training courses: i. Continuation of basic air quality management training courses in cooperation with CAI-Asia local networks in Philippines, Viet Nam, and Pakistan, and possibly in other countries 10
CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
ii. As part of the SUMA program with an emphasis on SUT in China and India. The scope of training will be increased by partnering with large GEF programs in China and India iii. Participation in training courses and programs organized by other organizations on AQM, Co-benefits and SUT The development of the Chinese Improved Training System on Air Quality Management in China. (CITSAM). This program which will integrate contributions by various donors aims to set up a national system on AQM training rather than provide ad-hoc training courses. The CAI-Asia Center has initiated the CITSAM program and will continue to act as a facilitator and convener in the development and implementation of the program together with SEPA.
41. The CAI-Asia Center itself does not have an extensive training capacity and will, as much as possible, work with other organizations in the facilitation and delivery of AQM training. Considering the wide range of topics where training is required the CAI-Asia Center will also not be able to develop such capacity.
D. Networking and Policy Development
Performance Indicator: The CAI-Asia Center is able to expand its role as convener of AQM-related policy forums and support the development of policies at the regional, national and local levels
1. Networking
42. Participation in forums and networks has been a main strength for CAI-Asia in the past and should also be a main strength of the CAI-Asia Center. The CAI-Asia Center will focus on the following main forums and networks: a. Regional Forum on Environment and Health.15 The CAI-Asia Center will help to facilitate the sub-group on urban air quality management in the thematic working group on air quality management, in this initiative focusing on East and South-East Asia, which is coordinated by UNEP and the World Health Organization (WHO). b. Climate Policy Network. This is a new regional network which is being established by UNEP to strengthen the participation of Asian countries in formal and informal negotiations and discussions on Climate Change. The input of the CAI-Asia Center will be in the areas of knowledge management and capacity building and will focus on the co-benefits approach. c. Global Atmospheric Pollution Forum (GAPF). 16 CAI-Asia is one of the main partners in this forum, together with UNEP, the Stockholm Environmental Institute, the International Union of Air Pollution Prevention Associations (IUAPPA), and the Secretariat of the Convention on Long Range Transport of Air Pollutants (LRTAP). The CAI-Asia Center represents the urban scale of air pollution in Asia and its role
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Read more about the Regional Forum on Environment and Health at http://www.cleanairnet.org/caiasia/1412/article-71511.html 16 Read more about GAPF at http://www.cleanairnet.org/caiasia/1412/article-59659.html CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
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focuses on the development and facilitation of a policy consensus on urban air quality management in Asia and possibly on certain knowledge management activities. d. Regional Initiative on Sustainable Urban Transport in Asia (RISUTA). Under SUMA and in cooperation with UNCRD's Environmentally Sustainable Transport Forum, the CAI-Asia Center will continue to assess the feasibility of establishing a regional initiative focusing on intensifying efforts to promote sustainable urban transportation in Asia. Discussions with other organizations like the ADB, World Bank, and UN ESCAP are ongoing in developing this initiative. The concept note on the establishment of such an initiative or organization is found in Appendix X. e. ASEAN SUT initiative. Following the success of the CIVITAS program in the European Union which has brought 40 cities together on urban transport, the senior transport officials of ASEAN have agreed to develop a similar program. The CAI-Asia Center has advised ASEAN on the design of the program and will continue to act as an advisor. It is also in the process to mobilize resources to assist in the implementation of demonstration projects which are a key element of the CIVITAS approach. 43. The CAI-Asia Center will also coordinate with other regional or global partnerships. This includes but is not limited to: the Asian Clean Fuels Association, the City Development in Asia Initiative, the Global Transport Knowledge Partnership, the Methane to Markets Partnership, The Partnership for Clean Fuels and Vehicles, the Partnership for Clean In-door Air.17 45. The CAI-Asia Center will also help to organize various workshops and meetings at the national and city levels. In the majority of cases, CAI-Asia Local Networks or other organizations will take the lead and the CAI-Asia Center will be a co-organizer or supporter. These workshops and meetings as well as the regional workshops and meetings will be documented at http://www.cleanairnet.org/calendar. 46. The CAI-Asia Center is invited on a regular basis to speak at workshops and conferences. This offers a good opportunity for networking and to disseminate information on the activities of the CAI-Asia Partnership and CAI-Asia Center. The CAI-Asia Center will coordinate the participation of the Chairperson of the CAI-Asia Partnership, the Board of Trustees of the CAI-Asia Center and staff of the CAI-Asia Center in various workshops. The CAI-Asia Center will also help prepare the presentations to be delivered at workshops and conferences on behalf of the CAI-Asia Partnership and the CAI-Asia Center.
2.
Policy Development
47. The CAI-Asia Center will support efforts to develop a policy consensus at the regional, national and the local levels. Considering its status as a NGO it can not take on the responsibility for formal policy development and it will seek active cooperation with organizations at the regional, national and local level that do have a formal policy mandate. 48. The CAI-Asia Center will organize the following policy dialogues in the period up to December 2008:
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See http://www.acfa.org.sg/, , http://www.gtkp.com/, http://www.methanetomarkets.org/, http://www.unep.org/pcfv/, http://www.pciaonline.org/ for the all the partnerships and initiatives mentioned CAI-Asia Center Business Plan 2007-2008 Draft 28 November, 2007
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Regional Dialogue with the donor community active in Asia (January 2008). The purpose of this meeting is to improve coordination among organizations and programs on AQM and Climate Change mitigation at the regional level in Asia Development Partners Meetings are held in each country where a local network exists, and which involve government agencies, donors and NGOs. The aim is to exchange information and improve coordination Second Government Meeting on Urban Air Quality (June 2008). At the meeting in June 2008, the draft Long-Term Vision on Urban Air Quality will be discussed.
49. The CAI-Asia Center also assists in the formulation of national- or city-based AQM policies and strategies. The CAI-Asia Center and the Viet Nam Local Network will work with the Vietnamese authorities on the development of (a) Clean Air Act for Viet Nam; (b) integrated AQM Action plan for Hanoi; and (c) State of Environment Report for Viet Nam. 50. Under SUMA, policy guidelines will be developed on (i) the integration of 2 wheelers in urban transport in Asia; (ii) construction of infrastructure for 2-3 wheelers as part of overall transport infrastructure; and (iii) social impact assessment guidelines for sustainable urban transport projects. 51. It is likely that the CAI-Asia Center will become engaged in other policy initiatives at the national or local level. The CAI-Asia Center, in its decision whether to become involved in such national or city level policy and strategy formulation, will assess the learning effect for the CAIAsia Center and the Asian region and the extent to which the CAI-Asia Center will be able to integrate its core message of co-benefits.
3.
Better Air Quality (BAQ) 2008 workshop
52. The Better Air Quality event in 2008 (BAQ 2008) has been the CAI-Asia Center’s flagship event since 2000, and is the largest AQM event in Asia. BAQ 2008 will be held in Bangkok, Thailand, from 12-14 November 2008, and between 800-1000 participants are expected. BAQ 2008 will be hosted by the Bangkok Metropolitan Administration (BMA), and will be co-organized by the CAI-Asia Center, the Pollution Control Department (PCD) and the BMA, in cooperation with United Nations Environment Programme (UNEP) and United Nations Economic and Social Commission for Asia and the Pacific (UNESCAP). 53. The proposed theme for BAQ 2008 is directly related to the observed need to intensify efforts on urban air quality management and the IPCC recommendation to link air quality management with climate change mitigation: “Scaling up Win-Win Solutions for Urban Air Quality Management and Climate Change Mitigation in Asia”. 54. The BAQ 2008 consists of four components (a) Pre-events (Monday and Tuesday); (b) Workshop (Wednesday – Friday); (c) Exhibition and poster session; and social events. A special mention is the Kong Ha Award for Excellence in Air Quality Management. This award has been established by the CAI-Asia Partnership in memory of Kong Ha, the third chairperson of CAIAsia who died in April 2007. The award, which will be awarded once every two years, during the closing session of the BAQ workshops will honor persons or organizations that have made special contributions to the cause of AQM in Asia.
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55. The BAQ 2008 workshop will be used to present the baseline of where Asian cities are at in relation to the LTV and discuss concrete ways in which Asian cities can implement the vision. Specific objectives are to (a) Analyze current and future trends on urban air quality in Asia; (b) Identify new policies and mitigation measures that address urban air quality and climate change in Asia; (c) Strengthen networking on urban air quality in Asia.
E. Investment and Implementation Facilitation
Performance Indicator: The CAI-Asia Center has contributed to the identification of financing models for effective urban AQM in Asia and has assisted in raising funds for the development and implementation of AQM programs and projects
56. The Compendium of AQM-related organizations, programs,/projects, and training courses in Asia will include an analysis of the financing of programs/projects and training courses. 57. Subject to the availability of extra funds under the SUMA program, the CAI-Asia Center will undertake a study to assess how Asian countries finance the implementation sustainable urban transportation and urban AQM policies and identify best practices from Asia and elsewhere on how to effectively finance these policies. Such a study is needed because although there are various financing models and schemes that can be used in support of urban air quality management, in Asia there is no documentation on how the countries and/or cities finance urban air quality management. It can only be assumed that several countries depend on the traditional appropriation of resources from the national and/or local levels, and that the use of market incentives, pricing, and taxation are underutilized. 58. The CAI-Asia Center will also work actively with its Local Networks and members of the CAI-Asia Partnership to identify and develop project proposals which will then be implemented by these Local Networks and Partnership members. In support of this objective the CAI-Asia Center will develop and maintain an overview of funding opportunities on the CAI-Asia website.
IV.
CAI-ASIA RESOURCE MOBILIZATION
A. Funding of CAI-Asia Center 1) Program and Project Funding
59. The bulk of funding for the CAI-Asia Center comes from programs and projects which are considered as “green” projects, i.e. guaranteed/highly probably projects and “yellow” projects, i.e. project proposals currently under development based on concrete requests for proposals by donors. Table 2 gives an overview of the funding from these projects.
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Table 2 Project Funding for the CAI-Asia Center Name project A. “Green” Projects
Sustainable Urban Mobility in Asia (SUMA) Air Pollution, Poverty and Health Effects in Ho Chi Minh City (APPH) AQM Database Long Term Vision on Urban Air Quality in Asia Transport and GhG State of Environment Vietnam Climate Change Implementation Framework Total ADB-Sida 3 years $2,000,000 $915,000 Approved, under implementation Approved, for implementation
Donor
Duration
Total Funding
Funds for 2008
Status
ADB
4 months
$100,000
$80,000
GAPF UNEP
1 year 3 years
$45,000 $60,000
$35,000 $35,000
Approved, for implementation Approved, for implementation Proposal submitted Approved, for implementation Proposal submitted
ADB SVCAP ADB-GMS
4 months 2 months 2 years
$36,000 $15,000 $100,000
$36,000 $10,500 $50,000
$2,356,000
$1,161,500
B. “Yellow” Projects
AQM Workshop Mongolia State of Environment Vietnam II KnowledgeAir Co-benefits China World Bank SVCAP Korea via ADB NILU via Norway Embassy 4 months 1 year 2 years 3 years $50,000 $100,000 $500,000 $400,000 $50,000 $100,000 $350,000 $150,000 Under development Under development Under development Under development
Total
$1,050,000
$650,000
60. Under these projects, especially the larger ones, funds will be passed on by the CAIAsia Center as sub-grants to other organizations that are involved with the implementation of the project. Under the SUMA project, for example, there are at least 5 sub-grants with a total projected disbursement of $ 1,149,000 ($ 474,500 for 2008). 61. The CAI-Asia Center charges an administrative fee for project implementation, which in most cases is 15% of funds covering activities directly implemented by the CAI-Asia Center and 5% for sub-grants passing through the CAI-Asia Center.
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2)
Membership fees from Private Sector and other organizations
62. The CAI-Asia Center also has income from private sector and other members. Currently these include: a. b. c. Shell, $ 50,000 per year Corning, $ 12,500 per year ACFA, $ 15,000 per year
63. In the past CAI-Asia was supported by a larger number of private sector members and efforts will be made to increase the number of private sector members again now that the organizational restructuring of CAI-Asia has been completed. B. 64. Budget January – December 2008
The CAI-Asia Center prepared two budget versions for 2008 based on (see Table 3): Version 1 (see Table 3). “Green” projects and memberships, i.e. guaranteed and probable income through project grants and private sector membership. Version 2 (see Table 4). “Green” and “yellow” projects and memberships. Yellow projects and memberships refers to anticipated funding through project proposals currently under development based on concrete requests for proposals by donors, and two additional private sector members ($15,000 each in 2008).
In Version 1, the budgeted income is $1,242,732 and budgeted expenses are $ 1,536,639, resulting in a shortfall of $ 293,907. This is reduced to $ 206,364 if the positive cash balance from 2007 is considered. It is noted that the cash flow will only be negative in the final quarter of 2008, therefore leaving adequate time for the CAI-Asia Center to obtain new project and private sector grants to compensate for an eventual shortfall. In Version 2, the budgeted income is $ 1,926,466 and budgeted expenses are $ 1,942,521, resulting in a shortfall of $ 16,056. This shortfall becomes an excess of $ 71,487 if the positive cash balance from 2007 is considered.
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Table 3 CAI-Asia Center Budget (draft) January – December 2008 18
Version 1 * Income Grants Private Sector Members Investment Income Foreign Exchange Gain or Loss US $ 1,161,500 77,500 3,732 -
Version 2 ** US $ 1,811,500 107,500 7,466 -
Total Income
Expenses Remuneration Staff Consultants Travel & Per Diem Training, Workshops, Meetings and Seminars Equipment Subgrants Support to Local Networks Miscellaneous Office Rental & Utilities Third Party Services Misc Admin Costs
1,242,732
618,114 485,250 132,864 86,000 126,418 55,250 474,500 23,354 153,003 58,346 57,557 37,100
1,926,466
836,496 485,250 351,246 119,000 210,918 125,250 474,500 23,354 153,003 58,346 57,557 37,100
Total Expenses Excess of Income over Expenses Cash Balance at Beginning of year Cash Balance at End of month/year
1,536,639 (293,907) 87,543 (206,364)
1,942,521 (16,056) 87,543 71,487
* Version 1 only includes guaranteed and probably projects and existing private sector memberships. ** Version 2 includes the same projects and membership as Version 1, plus anticipated funding through project proposals currently under development and two assumed additional private sector members.
65. The CAI-Asia Center will adopt a system of a rolling budget framework. This will ensure that the CAI-Asia Center always has a budgeting horizon of at least 18 months. In December 2007 the budget was updated. In June 2008, the budget will be revised as required but the running time of the budget will extended up to December 2009
18
Version 1 only includes guaranteed and probably projects and existing private sector memberships. Version 2 includes the same projects and membership as Version 1, plus anticipated funding through project proposals currently under development and two assumed additional private sector members.
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In December 2008, the budget will be updated and the running time will be extended to December 2010.
66. CAI-Asia Center will in addition to the two year budget also provide on a regular basis a forecast of available resources beyond the two year budget horizon. This to monitor the medium term financial sustainability of the organization. C. Resource mobilization
67. The expected funding level for 2008 is about $ 1,536,639 and $ 1,942,521 for Budget Version 1 and 2, respectively, (of which amounts $ 474,500 are sub-grants to cooperating organizations). For the CAI-Asia Center to grow in a sustainable manner it is planned to have a growth of about 15-20% per year, while ensuring that at least 40% of the budget is allocated to sub-grants. To achieve the planned growth of 15-20% additional projects will have to be generated during 2008. 68. Other indicators for the financial health of the CAI-Asia Center are: The number of projects implemented by the CAI-Asia Center by December 2008 should be in the range of 5-7, with at least 3 projects of a budget over $250,000. The number of members from the private sector and other organizations paying an annual membership fee is expected to be 3 for the coming 12 months. This should be increased to 5-7. The emphasis in soliciting membership fees will be on multi-year commitments and untied funds. The possibility of endowments will be considered and proposed to possible funding organizations.
69. The sustainability of CAI-Asia Center will be determined by the level of funding it will be able to generate for its Local Networks. To ensure that this is monitored it will become reported in the Quarterly Reports to the BoT. Fundraising for projects implemented through Local Networks will be conducted jointly with the Local Networks. In 2007 and 2008 fundraising activities will focus on India and on some of the smaller Local Networks. 70. The Better Air Quality (BAQ) 2008 workshop is considered as separate project in the CAI-Asia Center accounts and calls for separate fund raising activities19. The tentative budget, based on previous workshops and initial assessment of indicative costs of BAQ 2008 in Bangkok is about $ 500,000 - $ 665,000. Thai government has indicated possible funding of $300,000, UN-ESCAP a possible contribution of $ 50,000, CAI-Asia Center cash and in-kind contribution of $100,000. The CAI-Asia Center, in coordination with the BAQ partners are planning to raise another $ 215,000 through sponsorships and contributions through other projects, and registration fees.
19
The BAQ 2008 workshop will be included in the CAI-Asia Center budget in the December 2007 revision.
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ANNEX A - MEMBERSHIP CAI-ASIA CENTER
CAI-Asia Center Members (as per 15 July 2007) Name Jiming Hao Charles Melhuish Cornelius R.H.M. Huizenga Elisea Gozun Daniel Greenbaum Francis Estrada Shreekant Gupta Members Sida Asian Clean Fuels Association (ACFA) Shell Corning Incorporated Designation Chairperson, BoT Treasurer Executive Director CAI-Asia Center Member, BoT Member, BoT Member, BoT Member, BoT
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ANNEX B - ORGANOGRAM AND CAI-ASIA CENTER STAFFING
2 A. Organogram
(as per 15 July 2007)
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2 B. CAI-Asia Center Staffing List20
Name Designation
Management Cornie Huizenga Interim Executive Director Sophie Punte Deputy Executive Director Finance Administrative Services Division Art Docena Head Gianina Panopio Administrative Assistant To be determined Administrative Assistant Jerey Estrada21 Accounts Strategic Linkages Division Glynda Bathan Head Strategic Linkages/Capacity Building Division Knowledge Management Division Michael Co Head Knowledge Management Division Service Delivery Division Air Quality Management Unit May Antoinette Ajero Head Air Quality Management Unit Transport Unit Herbert Fabian Head Transport Unit Aurora Ables Transport Specialist
20 21
Excluding temporary staff and consultants This position is part of the contract with the external accounting firm
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ANNEX C – SUMMARY OF PROJECTS
The table below provides an overview of projects included in the Business Plan 2008 of the CAI-Asia Center. “Green” projects are guaranteed and probable projects. “Yellow” projects are anticipated projects through project proposals currently under development based on concrete requests for proposals by donors.
Name project GREEN PROJECTS Sustainable Urban Mobility in Asia (SUMA)
Objectives
Donor
Partners
Duration
Total Funding
Funds for 2008
Status
Air Pollution, Poverty and Health Effects in Ho Chi Minh City (APPH) AQM Database (GAPF)
Assist Asian countries and cities to strengthen the formulation and implementation of sustainable transport policies by Improving urban air quality Improving road safety Reducing transport’s contribution to climate change. Studying the linkages between air pollution, health impacts and poverty in Ho Chi Minh City, Viet Nam To provide a free online resource of up-to-date, measurable, quantitative air quality and transport related data for researchers and policy makers To provide an online application that allows users to analyze data and generate reports and graphs making use of the data included in the database
ADB and Sida
ITDP EMBARQWRI GTZ-SUTP I-ce
3 years
$2,000,000
$915,000
Approved, under implementation
ADB
Health Effects Institute (HEI)
4 months
$100,000
$80,000
Approved, for implementation
GAPF
-
1 year
$45,000
$35,000
Approved, for implementation
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Name project
Objectives To develop a process wherein the database is constantly and effectively kept up to date ensuring the quality and integrity of the data by developing partnerships with external organizations that have or will collect relevant data-sets Develop a “Long Term Vision on Urban Air Quality in Asia”. Assist UNEP in consulting the governments on the draft document during the Second Governmental Meeting on Urban Air Quality in Asia Collect and collate information on current and estimate future energy use and GhG emissions in the transport sector Asia and the Pacific, thus providing credible information on which to base sustainable, clean and efficient transport solutions Support the development of a National State of Environment Report (SOE-R) on Urban Air Quality under SVCAP Phase I Assess the impact of Climate change as well as regional air pollution on biodiversity, agricultural productivity, food security, forest productivity and water resources
Donor
Partners
Duration
Total Funding
Funds for 2008
Status
Long Term Vision on Urban Air Quality in Asia
UNEP
-
3 years
$60,000
$35,000
Approved, for implementation
Transport and GhG
ADB
International transport consultant
4 months
$36,000
$36,000
Proposal submitted
State of Environment Vietnam Climate Change Implementation Framework
SVCAP
-
2 months
$15,000
$10,500
Approved, for implementation
ADBGMS
Murdoch University, Australia Stockholm Environmenta l Institute
2 years
$100,000
$50,000
Proposal submitted
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Name project YELLOW PROJECTS AQM Workshop Mongolia
Objectives
Donor
Partners
Duration
Total Funding
Funds for 2008
Status
State of Environment Vietnam II KnowledgeAir
Bring together stakeholders from Ulaanbaatar, representatives from organizations in Mongolia and international agencies to share AQM experiences in Ulaanbaatar Raise awareness on the impacts of air pollution, and Present and discuss tested cleaner technology options, policy options, and/or institutional arrangements for AQM appropriate for Ulaanbaatar City to consider Support the development of a National State of Environment Report (SOE-R) on Urban Air Quality under SVCAP Phase II ensure that policy makers and the stakeholders who influence their decisions in Asia have better access to, and more effectively use, AQM knowledge management to further their policy development activities through Implementation of an AQM knowledge transfer platform in Asia; Creation of a regional AQM community of practice (CoP) ranging from academe to
World Bank
-
4 months
$50,000
$50,000
Under development
SVCAP
-
1 year
$100,000
$100,000
Under development
Korea via ADB
-
2 years
$500,000
$350,000
Under development
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Name project
Objectives practitioners for sharing best practices and innovative solutions; and Implementation of three case studies to build capacity of AQM policy makers at the regional, national and local levels Develop training modules on energy and air quality management Conduct co-benefits pilot activities in selected Western China cities/provinces Develop an Air Quality Action Plan for Western China
Donor
Partners
Duration
Total Funding
Funds for 2008
Status
Co-benefits China
NILU via Norway Embassy
NILU CICERO ECON SFT
3 years
$400,000
$150,000
Under development
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ANNEX D – SUMMARY OF LOCAL NETWORK ACTIVITIES
[TO BE COMPLETED FOLLOWING THE LOCAL NETWORK SUMMIT 6-7 DECEMBER 2007]
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