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CAI-Asia Strategy
2005-2007
I. Introduction
1. Deteriorating air quality continues to be a serious concern in Asia. The combined
impacts of population growth, urbanization, motorization and increased energy use act
as drivers for an increase in emissions. As a consequence, the health of a large part of
the urban population in Asia continues to be at risk.
2. The Clean Air Initiative for Asian Cities (CAI-Asia), established in 2001 as an
initiative of the Asian Development Bank, the World Bank and the United States Asia
Environmental Partnership has been successful in bringing air quality management
(AQM) stakeholders from a range of different backgrounds together. CAI-Asia now has
123 organizational members representing cities, national governments, nongoverment
organizations (NGOs), academe, private sector and development agencies. CAI-Asia
coordinates actively with other regional programs and initiatives working on AQM.1
3. The first phase of CAI-Asia came to an end in December 2004. An evaluation
survey was carried out among the members and cooperating partners of CAI-Asia. The
full report is available online.2 The purposes of the evaluation were: (i) to assess the
satisfaction of CAI-Asia members and others with the activities of CAI-Asia, (ii) to assess
the impact of CAI-Asia activities and (iii) to determine priorities for phase 2 of CAI-Asia.
Active use has been made of the results of the evaluation study. In addition, the CAI-
Asia Secretariat conducted discussions with key members of CAI-Asia as well as
important cooperating partners on their view regarding the structure and activities of
CAI-Asia in phase 2. A report on the results of these discussions will be available in May
2005 on the CAI-Asia website.
II. Air Quality Management Challenges in Asia for 2005-2007
4. Most countries and cities in Asia have started to respond to the problem of air
pollution. Several have undertaken comprehensive and systematic approaches to AQM,
while others have acted in a more limited and ad hoc manner.3
5. In the next several years, the combined impacts of population growth,
urbanization, rapid growth in motorization, and energy use will act as drivers for an
1
See http://www.cleanairnet.org/caiasia/1412/article-58567.html for a compendium of air quality
programs and initiatives which CAI-Asia is cooperating with.
2
See http://www.cleanairnet.org/caiasia/1412/article-59290.html
3
Huizenga, C. et. al. Air Quality Management Capabilities in Asia Cities. 2004
(http://www.cleanairnet.org/caiasia/1412/article-59072.html)
1
increase in harmful emissions in Asia. AQM efforts in Asia during these years will have
to take into account a number of key challenges:
i. Pollutants of Concern. AQM programs in many Asian countries have
until now focused on the management of a limited number of pollutants such as
carbon monoxide, total suspended particles and sulfur dioxide. In the future,
more attention needs to be given to the control of fine particulate matter (PM2.5),
which in many of the Asian cities is the main pollutant of concern. The rapid
growth in motorization has already resulted in an increase in emissions of
nitrogen oxides (NOx), which together with volatile organic compounds (VOCs),
form ozone during hot weather. It is important that other pollutants such as
carbon dioxide, methane, and mercury are addressed. Environmental regulators
will have to expand air quality monitoring as well as prevention and control
strategies to accommodate these pollutants of concern.
ii. Poverty and Air Pollution. There is emerging evidence that economic
deprivation increases the magnitude of air pollution-related morbidity and
mortality. The poor are subject to higher exposures of air pollution, and/or may
be more susceptible to air pollution due to poorer nutrition, access to medical
care, and other factors. At the same time, air pollution could exacerbate the
conditions of poverty. It is expected that the poor will not seek medical assistance
quickly, nor might they be able to afford medicines and treatment. Several of
CAI-Asia's members are development organizations that have a mandate to fight
poverty. It is important to establish with scientific evidence that the poor indeed
bear a disproportionate burden of the health and economic aspects of air
pollution.
iii. Strengthen Implementation of Air Quality Management. A large part
of the urban population of Asia live without adequate AQM systems, or no
systems at all. Many cities do not even use analytical frameworks to determine
AQM priorities. In the years to come AQM will need to be rolled-out to many
more cities in Asia. The expansion of AQM might require a re-assessment of
institutional frameworks for AQM, resulting in devolution of mandates and
associated resources and capacity for air quality monitoring and management
from the national government level to the local government level (although
certain functions must remain at the national level). Apart from the expansion of
AQM to cities, some of which currently do not have AQM systems, there is also a
need to intensify implementation of air quality efforts in cities that have already
developed AQM strategies. The successful implementation of AQM in Asia
requires identifying and addressing obstacles and constraints that have
hampered air quality efforts until now. Some of these constraints are related to
weak policies, lack of capacity, or inefficient resource allocation for AQM.
iv. Balance Clean Up and Prevention. For Asian cities to be able to meet
air quality guidelines it will be important, apart from reducing the emissions from
existing sources, to put policies and measures into place which either reduce the
absolute number of emission sources or which reduce the growth in the number
of sources. Land-use plans, energy and transportation policies will need to
combine prevention of pollution with an optimal use of available technology to
minimize air pollution. Such preventive measures and market-based economic
incentives/instruments -- when supported by reporting requirements -- can
2
complement, and in some cases, be more effective than, command-and-control
systems.
v. Transboundary Air Pollution. Increasing evidence is becoming
available on the linkage between local, national, regional and global levels of air
pollution.4 Emissions from so-called regional air pollutants such as sulfur oxides,
nitrogen oxides, ammonia, tropospheric ozone, heavy metals, black carbon, and
persistent organic pollutants give rise both to local impacts and also regional
effects after long-range transport. It is encouraging to know that there are efforts
underway, coordinated by UNEP, to develop regional approaches and
agreements to prevent or reduce transboundary air pollution. It is important to
fully optimize the potential linkages between efforts to reduce regional air quality
problems and local urban air quality problems.
vi. Co-benefits. Climate change is becoming a very important topic and is
increasingly linked to conventional air pollution concerns. Discussions have
started on the follow-up to the Kyoto protocol. Greenhouse gases and local air
pollutants in many cases have common drivers such as motorization and
increased energy use. Many of the conventional pollutants such as CO and black
carbon increase both urban air pollution and global warming. By adopting a co-
benefits approach which emphasizes the combined benefits of reducing
greenhouse gas emissions and local urban air pollution, additional resources and
greater acceptance can be obtained for AQM policies and measures. Decision-
makers need to be made more aware of the co-benefits which result from
reducing conventional urban air pollutants. This can also lead to additional
financial resources for AQM.
III. Evolution of CAI-Asia Identity
6. The first phase of CAI-Asia was characterized by the efforts to set up its
organizational structure, and undertake activities mostly aimed at knowledge
management, capacity building and advocacy of the need to develop and implement
integrated AQM strategies. A substantive start was made with a number of pilot
programs aimed at generating new knowledge on air pollution, its impacts and its
management.
7. In the second phase, CAI-Asia will build on the successes of the first phase. It
will continue to strengthen the AQM community in Asia. It aims to act as the leading
regional resource on AQM in Asia. It is expected that CAI-Asia will continue to take on a
lead role in strengthening the coordination and cooperation of urban AQM programs and
initiatives in Asia. The ad hoc arrangements for coordination in phase 1 will be gradually
replaced by more structured coordination mechanisms. CAI-Asia will work closely with
UNEP and other regional or sub-regional organizations such as ASEAN which also have
a mandate and/or interest in coordination. This will be done through periodic meetings to
discuss mutual AQM agendas and by planning and implementing joint activities.
8. CAI-Asia’s approach to building the AQM community will continue to be inclusive
and facilitating. While the direct focus of CAI-Asia is on urban AQM it will actively involve
other stakeholders at the regional and national level that have a direct mandate and role
4
WPR/ICP/HSE/4.3/001/EHH(1)2004.18 Regional Air Pollution (UNEP).
3
in urban AQM. The emphasis for CAI-Asia is to ensure that member organizations are
increasingly motivated, empowered and actively involved in concrete AQM activities. To
enable CAI-Asia to continue to grow in relevance and impact, it will actively nurture local
champions in Asian countries and cities who can help to ensure more and better AQM
activities.
9. CAI-Asia will evolve from an organization with an emphasis on awareness raising
and advocacy to an organization with a stronger focus on ensuring that appropriate AQM
policies are developed and actually implemented. To ensure this, CAI-Asia will
strengthen its local structures in the different countries and cities. It will also develop
funding mechanisms to help its developing country members to actively engage in AQM
activities.
10. CAI-Asia is still a young organization and it is expected that it will take at least 5-
10 years to ensure that AQM is absorbed in regular regional, national and local
institutional structures. It is then that a decision can be made on the organizational future
of CAI-Asia. To ensure that such a transformation can be accomplished in 5-10 years, it
will be important for CAI-Asia to monitor on a continuous basis what tasks it needs to
carry out itself and which tasks are better taken on by its members or cooperating
organizations. Prior to the end of phase 2 of CAI-Asia, a “transformation” strategy will be
drafted which will document how CAI-Asia’s work on AQM can be sustained. Such a
strategy would outline how dependence on ADB and the World Bank can be reduced
and how CAI-Asia can continue to strengthen local networks in Asia, possibly integrating
some of its functions with UNEP, and making AQM an issue in its own right which will be
taken up by a range of organizations as part of their natural mandate. It is too early to
predict now whether there will be a continued need for CAI-Asia under such conditions
and what the mandate of such a “transformed” CAI-Asia would be.
11. CAI-Asia will continue to have as its main focus improving air quality in major
Asian cities. In line with the challenges outlined above it will address the need for
effective AQM in megacities but also in what is known as secondary cities with a
population of 100,000 and above. CAI-Asia will have activities aimed at reducing
pollution from mobile sources but will also address stationary and area sources.
Addressing indoor air quality, though not a direct focus of CAI-Asia, will be coordinated
with the Partnership for Clean Indoor Air.5
12. CAI-Asia in the second phase will have a stronger orientation towards regional
and transboundary air pollution as well as to climate change control; however, such
activities will need to have a direct relationship with urban AQM. CAI-Asia does not have
the resources to engage in transboundary air pollution issues per se. It is expected that
UNEP will continue to play a lead role in addressing transboundary air pollution in Asia.
13. The main geographical focus of CAI-Asia will be mainland Asia. Participation of
cities and countries in the Pacific and Central Asia will be on a case-by-case basis. CAI-
Asia currently operates mostly independently from the Clean Air Initiatives for Latin
American Cities (CAI-LAC) and Sub-Saharan Africa (CAI-SSA). This occasionally results
5
See http://www.cleanairnet.org/caiasia/1412/article-58688.html for a description of the
Partnership for Clean Indoor Air. Several of CAI-Asia’s members are also a member of this
partnership and it is expected that they will channel their work on indoor air quality through this
partnership.
4
in duplication of efforts but more importantly prevents the development of joint policies.
In the second phase of CAI-Asia, there will be stronger coordination with CAI-SSA and
CAI-LAC, which may include the development of formal cooperation agreements.
IV. Goals, Results and Components
A. Goals
14. The second phase of CAI-Asia will run from January 2005 to December 2007.
CAI-Asia will pursue three goals during the second phase. The first goal is more of an
organizational nature and to a larger extent under the control of CAI-Asia:
i) Regional coordination and cooperation in Asia on AQM firmly established
The two other goals relate to the impact of CAI-Asia’s activities. There will be many
different organizations, initiatives and programs that will make a contribution towards
these two goals. They are included as goals in this strategy for CAI-Asia because they
determine best whether CAI-Asia as an initiative, together with its members, have been
able to realize an impact.
ii) Asian countries and CAI-Asia member cities’ ability to manage air quality
is improved (based on indicators used by the Benchmarking Study for
AQM Capabilities in Asian Cities)
iii) Air quality in CAI-Asia member cities is improved (i.e., overall trends on a
pollutant-by-pollutant and city-by-city basis)
B. Results
15. Through its regular activities on information management, capacity building,
regional dialogues, and pilot programs CAI-Asia will in its second phase aim to
accomplish four main results. For each of the four results a number of bullet points are
listed to indicate potential activities to be undertaken to achieve the results.
Result 1: Improved Scientific Understanding of Air Pollution in Asia
Quality assurance of air quality monitoring
Health impacts of air pollution
Linkage poverty and air pollution
Cost impacts of air pollution
Emission inventories and source apportionment
Emission factors
Regional and transboundary air pollution and impact on urban air
quality
Linkage of greenhouse gasses and urban air pollutants
Although CAI-Asia does not focus on indoor air pollution, it will
continue to document this issue in its website
Result 2: Better Policies for Air Quality Management in Asia
Medium-term control strategies at national and city level
5
Integration of air quality dimension in energy, transport and land-
use policies and strategies
Policy instruments
Preventive vs. command-and-control measures, including
economic incentives
Co-benefit strategies
Regional policies to manage air quality
Result 3: Strengthened Air Quality Governance in Asia
Decentralized mandates for AQM
Access to information
Effective enforcement
Sustained funding for AQM
Regional or sub-regional air quality governance structures
Capacity building at several institutional levels
Medium-term sustainability of CAI-Asia assured
Result 4: Improved implementation of Air Quality Management Policies and
Programs
Networking of stakeholders
Public-private partnerships
Improved interface between regional, national and local level
initiatives
Enhanced capacity for monitoring and data assessment
C. Components
16. CAI-Asia will continue to structure its activities into the same main components
as in phase 1. These components when taken together are instrumental in attaining
targeted results, which in turn will make a significant contribution to CAI-Asia's three
main goals.
Improved Scientific Regional coordination
Understanding of Air and cooperation in Asia
Knowledge management Pollution in Asia on AQM firmly
established
Capacity building Better Policies for AQM
in Asia
Regional dialogue and
harmonization of standards Asian countries and
cities ability to manage
National and City-based AQM Strengthened AQ air quality is improved
Strategies Governance in Asia
Pilot Programs
Improved implementation Air Quality in major Asian
Workshops of AQM Policies and cities is improved
Programs
6
Knowledge Management: Activities in phase 2 will focus on improving content
and navigation of the CAI-Asia website and the development of user-friendly
interactive tools to complement or replace the current CAI-Asia Listserv. The
Benchmarking of AQM capabilities, started in phase 1 will continue in phase 2
through the setting up of an Air Management Information System (AMIS). This
will be done in coordination with the Air Pollution in Megacities of Asia (APMA)
Program. AMIS will cover AQM capabilities and actual air quality data.
Capacity Building: Increased efforts will be made in phase 2 to broaden the
coverage of the Clean Air Training Network for Asia (CATNet-Asia) and to
increase its organizational effectiveness. A stronger integration of traditional
CATNet-Asia activities with the World Bank-coordinated Distance Learning
Course on Urban AQM is planned. In addition, CATNet-Asia will benefit from a
major new European Union-funded AQM training program for lesser developed
countries which will be implemented by the Stockholm Environment Institute and
the Pollution Control Department in Thailand.
Regional Dialogue and Harmonization of Standards: CAI-Asia in the second
phase will continue the CAI-Asia - Oil Industry Dialogue on Cleaner Fuels in Asia.
In doing so, it will work with the Partnership for Clean Fuels and Vehicles. CAI-
Asia will continue to work with regulators in Asian countries to adopt increasingly
stringent vehicle emission standards and cleaner fuel standards. CAI-Asia will
continue the annual dialogues with regional air quality programs and initiatives
with the aim to come to: (i) a consensus on air quality goals and priorities for Asia,
and (ii) increased operational coordination. In the second phase, CAI-Asia will
actively support efforts led by UNEP or other mandated organizations to develop
or strengthen regional or sub-regional agreements on AQM. Where possible,
harmonization of standards will be pursued within a regional framework. CAI-Asia,
together with UNEP, will explore the possibility of organizing the First
Governmental Meeting on Urban Air Quality Management in Asia in conjunction
with Better Air Quality 2006.
Formulation and Implementation of National- and City-Based Air Quality
Management Strategies: The responsibility for the formulation and
implementation of AQM strategies rests with the national and local governments
in Asia. Individual CAI-Asia members from the development community can
provide active support and financial resources for the formulation and
implementation of individual projects and programs. The role of CAI-Asia will be
to improve the prospects for effective implementation. It will do so through
increased emphasis on the development of national CAI-Asia networks and the
setting up of a small grants program to assist local champions to catalyze the
formulation and implementation of AQM strategies.
Pilot Programs: CAI-Asia will continue the implementation of three major pilot
programs started in phase 1. This includes the Public Health and Air Pollution in
Asia (PAPA) Program, implemented by the Health Effects Institute under the
CAI-Asia umbrella. It is expected that the PAPA Program will be expanded with a
component on “Poverty and Air Pollution,” for which a pilot study will be
implemented in Ho Chi Minh City. The second pilot program, which will be
continued is the Developing Integrated Emission Strategies for Existing Land
Transport (DIESEL) program, implemented by Pollution Control Department,
7
Department of Land Transport, The World Bank, USAID/USAEP. In the second
phase the scope of DIESEL will be expanded to other cities in the region in
addition to Bangkok where the program is now located. Discussions have started
on a second phase of the Partnership for Sustainable Urban Transport (PSUTA)
which includes among other things, bus rapid transit systems, travel demand
management, and non-motorized transport options. CAI-Asia will also explore the
potential of transport demand management (TDM) strategies which consist of a
coherent body of interventions and measures aimed at reducing the growth of
polluting modes of transport, e.g., enhanced walking and cycling facilities,
improved bus services, BRT, road pricing, etc. It is envisaged that in a second
phase additional international organizations will join to increase the intellectual
and financial capital for PSUTA. In addition, local Asia-based resource
organizations will be invited to join PSUTA to strengthen the local participation in
PSUTA. Priority will be given to the development of at least two additional pilot
programs, one dealing with local emission factors and one on stationary sources
of pollution. The real test of a pilot program is to extract valuable lessons/best
practices, and CAI-Asia will find ways to deploy successful programs in a broader
context. Successful pilot programs can contribute to changes in policy as well as
changes in the priorities of investment decisions. Increased focus will be made
on preventive aspects and cost effective solutions, including small-scale
pedestrian, NMT, and bicycle-oriented demonstration projects around the region,
especially in large cities.
Workshops: CAI-Asia will continue to organize workshops, which directly
support the Goals and desired Results for phase 2 of CAI-Asia. The Better Air
Quality Conference, which until BAQ 2004 was an annual conference will be
organized as a conference held every two years.
V. Governance and Organization
17. No direct substantive changes are planned in the governance and structure of
CAI-Asia in the period 2005-2007 and the current CAI-Asia Charter will remain the
guiding document in terms of structure and governance. 6 CAI-Asia will continue to
function as a membership-based organization. Further attention will be given to whether
CAI-Asia should develop a separate legal identity. Considering the complexity of the
issue it is not expected that this will result in concrete changes in the short term.
18. The Executive Council will continue to be the main decision-making body in CAI-
Asia. The composition and mandate of the current Coordinating Council will be reviewed
and possibly be restructured to improve the organizational efficiency of CAI-Asia. One
option under consideration is the transformation of the Coordinating Council into a
Financial Support Group (see VI. Financing).
19. CAI-Asia does not have the ambition to grow substantively in terms of the
number of members. The emphasis will be on ensuring an active participation by its
members. Based on this it is expected that the growth of the number of institutional
members will be limited to 25%. To accomplish an increased participation by CAI-Asia
6
Possible exception to this would be a more formal coordination and cooperation of CAI-Asia
with CAI-LAC and CAI-SSA, which would probably require changes in the structure of CAI-Asia.
8
members it is expected that inactive members will drop out and be replaced by more
active members.
20. National networks will be the most important for CAI-Asia in terms of maintaining
a dialogue with local members in Asian countries and cities. It is not feasible for CAI-
Asia to work on a day-to-day basis with all its members or city networks.7 The current
institutional reality where national governments still have a much larger mandate for
AQM than cities justifies a national focus in networking for CAI-Asia to achieve policy
changes to empower cities to take on a larger role in AQM. The primary responsibility for
establishing national networks will rest with CAI-Asia members and other local
stakeholders. CAI-Asia will, on a selective basis, make available partial funding for the
establishment and operation of national networks where required. It is important that the
local and city networks ultimately raise funds for their own operations. The CAI-Asia
Secretariat will undertake capacity building measures for national level networks. This
can include capacity-building in project formulation, communication strategies, fund
raising. CAI-Asia will continue to make space available for all interested networks on the
CAI-Asia website.
21. Closer contacts and cooperation with regional bodies is foreseen to develop
robust regional AQM institutions in the region. CAI-Asia will continue the periodic
regional coordination meetings among urban AQM initiatives.
22. The CAI-Asia Secretariat will continue to be hosted by Asian Development Bank
and the World Bank. In the second phase, the Secretariat will have a stronger focus on a
limited number of core tasks and limit its involvement to the detailed implementation of
programs and projects implemented under the CAI-Asia umbrella. These core tasks
include:
(i) Facilitate the establishment of, and in selective cases, oversee
national networks to ensure deliverables as agreed with donors
for those specific local networks;8
(ii) Knowledge management including the maintenance of the CAI-
Asia website and Listserv as well as other initiatives such as
benchmarking of air quality and best practices;
(iii) Facilitate the functioning of CATNet-Asia and other capacity
building efforts, but not the actual implementation of the training
programs;
(iv) Development of regional policies and discussions on standards,
this in coordination with UNEP, ASEAN and other inter-
governmental groups that have the natural mandate for inter-
governmental policies and discussions on harmonization of
standards;
(v) Contributing towards the development of pilot projects, but not the
actual implementation;
(vi) Fund raising for CAI-Asia; and
(vii) Organize workshops, especially the Better Air Quality workshop.
7
As of March 2005, CAI-Asia has 123 institutional members of which 29 are cities.
8
This will apply to China, where CAI-Asia will have a dedicated secretariat to support the China
CAI-Asia network and possibly India where the establishment of a local secretariat is under
consideration.
9
23. ADB and World Bank will review the administrative modalities under which the
Secretariat operates. This will include administrative procedures in place for CAI-Asia
fundraising through ADB and World Bank. Towards the end of the second phase, a re-
assessment will be made on whether the Secretariat should continue to be located
within ADB and World Bank.
VI. Financing
24. CAI-Asia will continue to be financed through a combination of annual
membership fees and dedicated projects funded by CAI-Asia members or cooperating
organizations. This approach to financing CAI-Asia activities, while complex to
administer and record, allows an optimal decentralization in the implementation of the
CAI-Asia Business Plans and reduces the chances that CAI-Asia develops into a
bureaucracy of its own.
25. To further optimize fund raising and the financial sustainability of CAI-Asia,
consideration will be given to the establishment of a Financial Support Group (FSG).
The objective of the FSG is to generate funds for: (i) maintaining the CAI-Asia
Secretariat and its activities; and (ii) implementing AQM activities by CAI-Asia members.
In parallel, the feasibility of establishing a CAI-Asia trust fund will be studied.9 The trust
fund will help support all CAI-Asia activities including pilot projects, workshops and
capacity building activities, and knowledge management.
26. CAI-Asia, has until now, been mainly a recipient of grants. It is planned that,
contingent on the availability of funding, CAI-Asia will develop a grants program which
will enable its local CAI-Asia members and potential cooperation groups to make a more
active contribution towards the implementation of the CAI-Asia Goals and Results for
phase 2.
VII. Detailed Planning and Evaluation
27. The operational planning of activities will be carried out through the formulation of
periodic Business Plans which will cover more than one year. To a greater degree
compared to phase 1, other groups will be more involved in the formulation and
monitoring of CAI-Asia activities. This applies especially to CAI-Asia pilot programs such
as the Public Health and Air Pollution in Asia (PAPA) Program and the Developing
Integrated Emission Strategies for Existing Land Transport (DIESEL) Program, which
are implemented under the CAI-Asia umbrella by a combination of CAI-Asia members.
This approach is expected to contribute to a better dissemination and integration of the
results of these pilot programs throughout the CAI-Asia membership.
28. CAI-Asia will monitor the goals set for the 2005-2007 Strategy. Progress made
towards the implementation of the first goal: Regional coordination and cooperation in
Asia on air quality management firmly established will be evaluated through a dedicated
survey among regional stakeholders. To evaluate the second goal: Asian countries and
cities ability to manage air quality an updated benchmarking survey will be conducted
9
The setting up of a trust fund is planned to streamline fund raising and to reduce the
administrative burden for ADB and World Bank in administrating funds raised on behalf of CAI-
Asia.
10
covering 20-25 CAI-Asia member cities and other important cities in Asia. The same
sample of cities will also be used to track the development in air quality levels to
ascertain whether progress is being made in the implementation of the third goal: Air
quality in major Asian cities is improved. In addition, CAI-Asia will continue to monitor its
activities implemented under the CAI-Asia Business Plans.
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