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AV/2.10.02 MISSION REPORT Dates: 29 August – 13 September 2002 Countries: Bolivia, Ecuador, Guatemala Project: Capacity Development for CDM Mission team: A. Villavicencio (UCC), Daniel Bouille and Osvaldo Girardin (Bariloche Foundation - FB) Objectives: i) Work with national senior counterpart officials to define the institutional frame for the CDM project and designate the agency responsible for the project implementation. ii) Define a workplan for the preparatory phase of the CDM project (September – December 2002). iii) Establish the criteria and guidelines for project activities in the year 2003 and identify a broad set of activities for years 2004/05. iv) Identify technical assistance requirements and interventions from UCC / FB. Main findings and conclusions: A summary of CDM institutional issues, ongoing CDM-related activities, and the status of the project implementation in the three countries is presented in the next sections. The following pharagraphs highlight some of the main topics addressed during the meetigs held with local authorities. Bolivia and Ecuador have already established bureaucratic structures to deal with CDM issues. They vary mainly in the legal structure and responsibilities with which they are entrusted. While in Bolivia, a fully governmental organisation has been established to deal with both the regulation and promotion of CDM projects, in Ecuador these functions have been assigned to different entities: the Climate Change Unit under the Ministry for Environment and CORDELIM, a semi-public organisation dedicated to the promotion, capacity building and technical support to CDM projects. Guatemala is in the process of defining an institutional structure for the CDM. It is likely that CDM structure will result in an institutional arrangement inbetween of the corresponding entities in Bolivia and Ecuador: an independent institution with public and private participation. Discussions held in the three countries highlighted the need of maintaining CDM focal points as minimals structures focused on a managable set of shortterm objectives. As these strucutures gain momentum, the consolidation of 1 more stable organisations will emerge as result of the accumulated experience and the codification of rules and procedures. This strategy will also allow for gradually accomodating local structures to the evolving rules and modalities of the CDM. The long-term viability of CDM offices was an important topic addressed during the discussions with local authorities. It is expected that government support together with revenues from levies on CDM projects will in the longterm cover the administrative costs of CDM focal points. However, public funding constraints as well as the uncertainties affecting the carbon market limit the sources of funding CDM entitites. A temporary solution consists in using the project resources allocated to local contracts to partially support the functioning of the CDM offices. In the first year (2003), up to 40 percent of the total budget will be allocated to support both technical staff and administrative costs. As the government support is expected to increase, this porcentage will gradually decrease in the next two years. It was stressed during the discussions the need of orienting the project activities, at least in its initial stage, towards a dialogue and consultation process aimed at achieving a supportive coalition for the national participation in the CDM. This process is meant to serve several purposes: (i) a channel for information dissemination; (ii) assess the policy and legal framework within which CDM related activities are taking place; (iii) identify political trends including ongoing reforms that will affect CDM projects; (iv) uncover informal rules and norms that shape institutional links and relationships. Additionally, the process of dialogue and consultation will provide the capacity development with a strong sense of project ownership. Project stakeholders will perceive the assumptions and nature of the ‘problems to be solved’, the means to be employed, and the degree of innovation required not as being externally imposed but as the outcome of their participation and consultation. It was also recognised the existence of both overlaps and potential synergies between the CDM project and other activities being undertaken in the contex of ongoing or planned studies and projects, in particular with the national strategy studies supported by the World Bank. Avoinding duplicative efforts and exploiting potential synergies will be important criteria for defining specific activities under the CDM project. The issue on sustainable development attributes of CDM projects requires a closer examination. There is a danger of paying too much attention to the ‘technicalities’ of CDM projects – a carbon centric attitude, without careful assessment of the noncarbon impacts. If the CDM is to achieve its dual objective, a comprehensive assessment of project noncarbon attributes must be the focus of training and capacity building activities. 2 BOLIVIA Institutional Arrangements The National Climate Change Programme (NCCP), a unit within the Ministry for Sustainable Development, is in charge of implementing technical commitments under the UNFCCC. The Interinstitutional Council on Climate Change (CICC) is an interministerial committee established to formulate government climate change policy and strategy. The National Joint Implementation Programme (PRONIC) was established as mixed institution with representatives from the private and public sector to address the AIJ pilot phase. A technical unit was also designed to provide technical support to the Programme on joint implementation. Actually, the PRONIC has never been operational and with the creation of the Office for CDM (see below) the idea of an independent unit to deal with CDM issues has been abandoned. Ongoing Activities The NCCP is about to start the Second National Communication. Final administrative arrangements with UNDP are going on and related activities are expected to start off in the coming weeks. The study on the National Strategy for the country participation in the CDM has been accomplished under the World Bank National Strategy Studies Programme. The study was undertaken by the NCCP. CDM Institutional setup Bolivia has decided not to proceed with the creation of an independent entity to deal with the CDM, but rather to incorporate the functions into an existing government agency. A unit, the Office for Clean Development (ODL), has been established within the National Climate Change Programme. While the National Authority for the CDM resides within the Vice-Ministry for Environment and Natural Resources, the ODL is meant to provide technical support and advice on the regulation process for CDM projects evaluation and approval. The ODL is at the moment in the structuring phase. The unit is staffed by two proffesionals full time assigned to defininig the ODL mandates as well as to establishing rules and procedures for CDM project cycle management. 3 National Programme for Joint Implementation PRONIC (Executive Board) Ministry for Sustainable Development Council on Climate Change ICCC Vice- ministry for Environment And Nat. Res. PRONIC Technical Unit National Climate Change Programme NCCP Inventories and Mitigation Unit Vulnerability and Adaptation Unit Clean Development Unit ODL Capacity Development for CDM a) Definition Phase The contract for the execution of the Definition Phase of the project has been signed with the Vice/ministry for Environment and Natural Resources. The NCCP is the executing agency. Financial resources under the contract will partially be allocated to support new ODL staff. The UNDP Office in La Paz will manage the financial resources under the contract. A detailed working plan of the activities scheduled under the Definition Phase of the CDM Project are summarised in the Annex A. The national workshop is scheduled the 14 November. b) Working Plan for year 2003 Make operational the Office for Clean Development. This includes: i) define the ODL mission and objectives; ii) establish links with the rest of units and institutions involved in climate change policies and strategies; iii) attain broad stakeholder participation in the ODL activities; and iv) secure financial and non-financial resources. Analysis of the legal framework for CDM project investments. This includes: i) review of norms and procedures adopted by other Latin American countries and that could be applied into the Bolivian context; ii) review of the national legislation regarding foreign investment (remission of profits, tax incentives, 4 incentives for renewable energy projects, regulations and rules concerning exploitation of natural resources, water in particular, import duties, power sector reforms); and iii) assessment on how foreign investment rules could affect (positively and negatively) CDM projects. Establishment of the enabling regulatory frame for evaluating and approval of CDM projects. This includes: i) develop national criteria and respective information requirements to ensure a coherent, justifiable and transparent assessment of CDM projects in accordance with the CDM Executive Board’s decisions; ii) ensure the compliance of CDM projects with relevant policy and regulatory national regimes; and iii) elaboration of guidelines and procedures for project approval. Formulate and start off a training programme. c) Project management Through a MOU between the Vice-ministry for Environment and UCC, the Ministry for Enviroment endorses the project execution to the National Programme on Climate Change (PNCC). The PNCC will coordinate execution of the project. The PNCC will act as a local counterpart for project definition and management issues. The Office for Clean Development under the PNCC will be the technical unit for implementing the project activities. The PNUD Office will administrate the resources allocated to local contracts. 5 ECUADOR Institutional Arrangements The National Committee on Climate Change (NCCC) is the national entity encharged of climate change policy and strategy formulation. The NCCC, chaired by the minister for environment and managed by the Meteorological Institute, is an ad-hoc committee under the National Council for Sustainable Develepment. It comprises representatives from the national government (ministries for Foreign Affairs, Energy, and Africulture), the Entreprenurial Association, and NGOs (acting as an umbrella group). The main role of the NCCC is to harmonise climate change policies with the national development objectives. The Unit for Climate Change, a unit within the Ministry for Sustainable Development, is in charge of implementing technical commitments under the UNFCCC and the Kyoto Protocol. Main tasks of the unit are: i) prepare the national communications; ii) coordinate the activities of the NCCC; and iii) act as a technical unit for CDM isues. National Council for Sustainable Development NCSD National Committee For Climate Change NCCC Ministry for Environment Unit for Climate Change CCU Coordination with NCCC GGH Inventories And National Communication MDL National Authority Ongoing Activities The Ministry for Environment is finalising administrative arrangements with the UNDP Office in Quito in order to start the elaboration of the Second National Communication. Preliminary talks are goin on between the Unit for Climate Change and World Bank National Strategy Studies programme in order to undertake a national strategy study in Ecuador. The study is expected to start off early next year. 6 A project on Institutional Support to the Corporation for the Clean Development Mechanism – CORDELIM (see below) is in progress. The project is supported by the Andean Corporation for Development – CAF under its Latin American Carbon Programme. Activities under the project include: i) the establishment of national information system on CDM; ii) one-week training seminar conducted by the Andean Centre for CDM; iii) support to CDM project formulation; and iv) elaboration of strategic planning studies to support CDM activities. Total resources allocated to the project amounto to US$ 67.000 and the project is expected to finalise early next year. Four project information notes (PIN) have been summitted by private investors to the Prototype Carbon Fund. The PINs are being considered by the PCF. CDM Institutional setup In addition to the Unit for Climate Change at the Ministry for Environment, the Corporation for Clean Development has been established with the main responsibility of promotion, building capacity and, at the request of project developers, to provide technical support to project development and formulation. According to this institutional setting, regulation functions (evaluation and approval of projects) resides on the Ministry for Environment (Climate Change Unit), while activities related to dissemination of information, capacity building and project promotion have been asigned to a separate institution. This separation of functions respond to the concern of avoinding possible conflicts of interest in the process of project formulation and approval. CORDELIM is meant to work in close collaboration with the CCU in developing the criteria required for project evaluation and approval. In the same line, CORDELIM will provide CCU with technical support on the formulation of CDM related policies and strategy. CORDELIM shares its Board of Directors with the National Committee on Climate Change. At the moment CODELIM is staffed by one profesional supported by the Ministry for Environment and full-time assigned to the CORDELIM. Additional support to limited training and information dissemination is being provided by the CAF within the context of the Latin American Carbon Programme. Unit for Climate Change CDM National Authority CORDELIM Project approval criteria: • baselines • sustainability Promotion and diffusion CDM policy formulation and strategy Evaluation and approval Capacity building Monitoring verification 7 Technical support Despite its short period of being operational, CORDELIM has managed to draw attention from a relatively broad spectrum of stakeholders potentially involved in CDM issues. CORDELIM has clearly defined its mission and objectives and promising links with government units (CCU) and private sector are being developed. At the moment the Ministry for Environment supports CORDELIM with basic personnel and office facilities, however the long-term support and funding remains an open question. Capacity Development for CDM a) Definition Phase It was agreed that no contract was necessary to undertake the activities envisaged in the preparation phase. It was also agreed that the funds allocated to this phase would be used to support the project activities expected in the next year. A detailed working plan of the activities scheduled under the Definition Phase of the CDM Project are summarised in the Annex B. The national workshop is scheduled to take place 27 November. CORDELIM and the Climate Change Unit will host the first regional workshop (28-29 November). b) Working Plan for year 2003 Given: i) the relatively degree of institutional consolidation for CDM issues; ii) the local authorities’ commitment to support CDM activities; and iii) the private sector interest on participating in CDM projects, the project activities in the next year will be focused on the following tasks: Facilitate the access to and dissemination of information through the establishment of an information system on CDM related topics. The information system is seeing as a crucial mechanism for promoting a broad participation in the CDM. Since the rules and procedures for CDM are still being negotiated, it is important to provide stakeholders with updated information on the latest CDM developments. The information system will include data on i) Executive Board rules and procedures for CDM; ii) internal procedures for project evaluation and approval; iii) status of CDM projects submitted for evaluation and approval; iv) potential CDM projects; v) roster of local institutions and consultants; and vi) ongoing national activities on CDM. Establishment of the enabling regulatory frame for evaluating and approval of CDM projects. This includes: i) develop national criteria and respective information requirements to ensure a coherent, justifiable and transparent assessment of CDM projects in accordance with the CDM Executive Board’s decisions; ii) ensure the compliance of CDM projects with relevant policy and 8 regulatory national regimes; and iii) elaboration of guidelines and procedures for project approval. c) Analysis of the legal framework for CDM project investments. This includes: i) review of norms and procedures adopted by other Latin American countries and that could be applied into the Ecuadorian context; ii) review of the national legislation regarding foreign investment (remission of profits, tax incentives, incentives for renewable energy projects, regulations and rules concerning exploitation of natural resources, water in particular, import duties, power sector reforms); and iii) assessment on how foreign investment rules could affect (positively and negatively) CDM projects. Project management Through a MOU between the Vice-ministry for Environment and UCC, the Ministry for Enviroment endorses the project execution to the CORDELIM. CORDELIM in close collaboration with the Climate Change Unit will be the technical unit for coordinating and implementing the project. Therefore, CORDELIM is the local counterpart in the execution of the project. The Unit for Project Management (UPM) will manage the financial resources of the project. UPM is an independent unit within the Ministry for Environment established to administrate externally supported projects. The unit has proved to be an effective mechanism for managing resources of a number of projects, in particular the World Bank funded projects. 9 GUATEMALA Institutional Arrangements The Permanent Council for Climate Variability and Change (CVCC) is the national entity encharged of climate change policy and strategy formulation. The CVCC includes representatives from the national government (seven ministries plus the Secretariat for Planning – SEGEPLAN, the National Councel for Protected Areas and the Institute for Forestry), the Entreprenurial Associations, and the academic sector. The main objective of the CVCC is to formulate policies and strategies to reduce the country’s vulnerability to climate change. The Council is supported by a technical unit. The National Climate Change Programme (NCCP), a unit within the Ministry for Environment and Natural Resources, is in charge of implementing technical commitments under the UNFCCC. The National Comission for Joint Implementation (OGIC) was established as mixed institution with representatives from the private and public sector to address the AIJ pilot phase. A technical unit – OGIC (Office for Joint Implementation) was also designed to provide technical support to the Comission. At its inception the OGIC was supported by FUNDESA, a NGO established by the private sector to promote development projects. At the present the OGIC is managed by an academic institution (Universidad del Valle). Ongoing Activities The NCCP is finalising administrative procedures with the UNDP office in Guatemala in order to initiate the second national communication. The study on the National Strategy for the country participation in the CDM is beeing jointly executed by the the OGIC and the OGIC. The market assessment of renewable energy technologies in power generation is carried out by the Directorate for Energy at the Ministry for Energy and Mines. The study is part of the PLANER project under the EU SYNERGY Programme. The Directorate for Forestry is involved in a FAO regional project on forestry and climate change. The project is focused on defining a common regulatory framework for CDM projects among the countries in the region. Six Central american countries are participating in the project under the coordination of EcoSecurities. The Governments of Guatemala and the Netherlands have signed an MOU for negotiating up to 10 million tons of carbon in the context of CDM. 10 CDM Institutional setup Guatemala is the process of designating an appropiate focal point agency that will cooordinate CDM activities. Two options are at the moment envisaged by local authorities: either to convert the existing OGIC structure into an office for CDM issues or to endorse CDM related fuctions to Programme on Climate Change under the Ministry for Environment and Natural Resources. Despite the comptetition for leadership among these two institutions, it is likely that the the first option will materialise. It worth to note that in addition to the possibility of benefiting from the carbon offset market, the government interest in climate change responds to the increansingly concern on the country’s vulnerability to climate change and variability. Capacity Development for CDM a) Definition Phase Both the OGIC and the National Climate Change Programme are working together on identifying and designing the action plan for the year 2003. A detailed working plan of the activities scheduled under the Definition Phase of the CDM Project are summarised in the Annex C. The national workshop is scheduled the 25 November. b) Working Plan for year 2003 Since Guatemala is in the process of building up institutional structures for the CDM, the main concern during the first project year will be focused on hand on determining the organisational structure of the focal point agency, and on the other on defining the regulatory frame for project development. The guidelines for defining the project workplan are as follows: Make operational the Office for Clean Development. This includes: i) define the ODL mission and objectives; ii) establish links with the rest of units and institutions involved in climate change policies and strategies; iii) attain broad stakeholder participation in the ODL activities; and iv) secure financial and non-financial resources. Establishment of the enabling regulatory frame for evaluating and approval of CDM projects. This includes: i) develop national criteria and respective information requirements to ensure a coherent, justifiable and transparent assessment of CDM projects in accordance with the CDM Executive Board’s decisions; ii) ensure the compliance of CDM projects with relevant policy and regulatory national regimes; and iii) elaboration of guidelines and procedures for project approval. 11 c) Project management Through a MOU between the Vice-ministry for Environment and UCC, the Ministry for Enviroment endorses the project execution to the National Focal Point. The Focal point will coordinate execution of the project and will act as a local counterpart for project definition and management issues. The PNUD Office will administrate the resources allocated to local contracts. 12 CAPACITY DEVELOPMENT FOR THE CDM – PROJECT DEFINITION PHASE ANNEX A BOLIVIA September (week) Activities Responsibility 37 38 October (week) 39 Working Plan 2003 – 2005: first draft ODL Review an comments to the first draft of the Working Plan I Identification of themes and activities for UCC/FB support to the local team UCC / FB Definition of UCC/FB technical assistance UCC/FB, ODL Final draft of the Working Plan UCC/ FB, ODL Preparation of the national workshop ODL National workshop (14 November) UCC/FB, ODL Regional workshop (28-29 November) UCC/FB, ODL Incorporation of workshops’ conclusions and recommendations into the Working Plan UCC/ FB, ODL ODL UCC – NCCP agreement on the project execution UCC, NCCP NCCP – UNDP agreement on project management NCCP, UNDP 13 40 41 42 November (week) 43 45 46 47 December (week) 48 49 50 CAPACITY DEVELOPMENT FOR THE CDM – PROJECT DEFINITION PHASE ANNEX B ECUADOR September (week) Activities October (week) November (week) December (week) Responsibility 37 Working Plan 2003 – 2005: first draft CORDELIM Review an comments to the first draft of the Working Plan UCC / FB Identification of themes and activities for UCC/FB support to the local team CORDELIM Definition of UCC/FB technical assistance UCC/FB, CORDELIM Final draft of the Working Plan UCC/FB, CORDELIM Preparation of the national workshop CORDELIM National Workshop (27 November) UCC / FB, CORDELIM Regional workshop arrangements (agenda, participants, logistic) UCC / FB, CORDELIM Regional workshop UCC / FB, CORDELIM Incorporation of workshops’ conclusions and recommendations into the Working Plan UCC / FB- CORDELIM UCC – CORDELIM agreement on the project execution UCC, CORDELIM 38 39 40 14 41 42 43 45 46 47 48 49 50 CAPACITY DEVELOPMENT FOR THE CDM – PROJECT DEFINITION PHASE ANNEX C GUATEMALA September (week) Activities Responsibility Working Plan 2003 – 2005: first draft CCU / OGIC Review an comments to the first draft of the Working Plan I Identification of themes and activities for UCC/FB support to the local team UCC / FB Definition of UCC/FB technical assistance UCC/FB, CCU Final draft of the Working Plan UCC/ FB, CCU Preparation of the national workshop CCU / OGIC National workshop (14 November) UCC/FB, CCU / OGIC Regional workshop (28-29 November) UCC/FB, CCU / OGIC Incorporation of workshops’ conclusions and recommendations into the Working Plan UCC/ FB UCC – MARN (?) agreement on the project execution UCC, MARN MARN (?) – UNDP agreement on project management UNDP, MARN 37 38 October (week) 39 CCU / OGIC 15 40 41 42 November (week) 43 45 46 47 December (week) 48 49 50 16