1. Preparing Technology Action Plans (TAPs)
Technology Needs Assessment Project
Second Capacity Building Workshop
UNEP DTU Partnership

2. Overview Introductory remarks What is a Technology Action Plan?
Steps in preparing a Technology Action Plan
TAP report template

3. Introductory remarks
Builds to a large extent on the work from TNA report and Barrier and Enabling Frameworks report
Available guidance:
Technology Needs Assessments: Preparing a Technology Action Plan
TAP report template

4. TAP in the TNA process

5. Why a TAP? Introductory remarks
translates the TNA and BAEF reports into implementable actions
mainstreaming in national development plans
building a bridge between national climate change policy and sectoral development plans
funding
implementation

6. Audience (target group)
Introductory remarks
Audience (target group)
Policy makers
National stakeholders, public and private sectors
International funding institutions
Content
Short, comprehensive description of the action plan for adaptation or mitigation technologies, which can be read and understood as a stand alone document
Main elements
Very brief summary and conclusions of the TNA report and the Barrier Analysis and Enabling Framework report.
Result of the 'political process' that led to a selection of the possible measures described in the BAEF Report

7. What is a TAP?
A TAP is a concise plan for the transfer of the prioritized technologies that will contribute to the country’s social, environmental and economic development and to climate change mitigation and adaptation.
larger scale transfer of a technology, i.e., implementation of multiple units of a technology in the country instead of one single technology project
single projects can be among the actions in a TAP, such as for demonstration of a new technology within the country context.
A TAP can focus on actions for implementation of a single technology with larger-scale potential within a country or sector, or on a portfolio of technologies for which common actions apply (e.g. a bus-rapid-transit system together with cycling lanes and pedestrian footpaths). Based on the portfolio of priority technologies within sectors and/or the barriers and enablers analysis, the TNA team may conclude whether or not commonalities exist across multiple prioritised technologies, and whether these justify a multi-technology TAP approach.

8. TAP Process

9. Step 1 – Ambition, Barriers and Measures to overcome Barriers
determination of the scale and context for technology deployment and diffusion (“ambition”),
reporting on the identified barriers to deployment and diffusion (“barriers”)
reporting on the identified measures to overcome these barriers (“measures”)
determination of the scale and context for technology deployment and diffusion (“ambition”),
the scale of envisaged technology uptake in the country is discussed/revisited. Earlier in the TNA, when the technology was prioritised, scale aspects may have been considered by stakeholders and, in this step, these considerations can either be revisited or copied
reporting on the identified barriers to deployment and diffusion (“barriers”)
based on the work in the Barrier Analysis, barriers to reach the desired scale of technology uptake
reporting on the identified measures to overcome these barriers (“measures”)
based on the work in the Barrier Analysis, measures to overcome the identified barriers to reach the desired scale of technology uptake

10. Step 2 – Identify Actions and Activities to include in the TAP
This step covers: decisions about measures to be included as Actions in the TAP and identification of Activities for implementation of these actions.
Selection of Actions
which measures should be included as actions in a TAP and which should not
the final choice of one set of measures to overcome barriers for transfer and diffusion of a technology over another is a country driven issue.
Before selecting the final set of measures to be presented in the TAP, the proposed set of measures should be
discussed, negotiated and agreed upon by relevant stakeholders,
effectiveness, efficiency, interactions with other (policy) measures, Suitability, benefits and costs
consistent with domestic objectives,
discussed at the highest level in the ministries involved
With stakeholders, in a participatory setting, measures can are discussed using, for example, the following considerations:
Considered effectiveness of the measures toward technology implementation,
Considered efficiency of the action to achieve this effectiveness (does the action enable implementation with lowest resources?),
Possible positive or negative interactions (or compatibility) with other (policy) measures in the sector or county, which could affect the measure’s effectiveness and efficiency (or those of other measures in the economy).
Suitability of the action within the country or sector context (for instance, based on good practice examples the action can be effective, but local acceptance of the action in the country may be lower than in the cases of the examples).
Benefits and costs of the measures as identified in the TNA Deliverable ‘Barrier Analysis and Enabling Framework’ titled “Assessing measures and sets of measures to be included in the Technology Action Plan” (section 6.3 of Barrier guidebook). In this assessment, effects of measures have been assessed, as well as societal benefits of the measures and costs.  
It is noted that these considerations only serve as examples and that TNA country stakeholders can identify own considerations. The short listing of measures using the above approach is also a means of achieving sufficient buy-in from the stakeholders and therefore a good consultation at this stage can help in successful implementation of actions.
In order to organise the discussion, stakeholders can use a simple ranking of measures based on the discussion within and priorities of the group, For further guidance, see Rogat, J. (ed.), Identification and Engagement of Stakeholders in the TNA Process – a Guide for National TNA Teams (in English and Spanish),
For these interactions, the stakeholders can refer to the TNA Deliverable ‘Barrier Analysis and Enabling Framework’ which contains participatory analyses of relevant value chains and market maps for the technologies, which show how actors collaborate and compete. This enables an analysis of how these actors are targeted by other (policy) measures and how this combined exposure to multiple measures could affect effectiveness of individual measures.

11. Step 2 – Identify Actions and Activities to include in the TAP - cont'
Identification of Activities for Implementation of Selected Actions
Identification of Activities within Actions
Elaboration of Activities: Timing, Required Resources, Responsible Parties, Stakeholders, Reporting Plans etc.
Summarize the Required ACTIONS into succinct categories
Identification and Description of Actions and Activities for Action Implementation
Action #1
Expand Access to Finance through the identification of commercial, near-commercial and non-commercial / donor resources available to implement support activities, projects and other initiatives; organize specific risk management and mitigation tools to enable implementation; bring together finance providers and developers; and, undertake to-be-determined activities in response to the identification of implementation gaps.
Action #2
Improve Access to Products and Services through business to business engagement; expanding technical advisors; open source information sharing on products and services; and, other to-be-determined activities as additional needs are identified.
Action #3
Improve Policy and Enabling Environment through new legislation; improved “one stop-approvals; marketing opening for products and services; and, access to finance.
Action #4
Expand Capacity Building Initiatives and Collaboration through workshops targeted to specific supports sectors; developer awareness workshops to stimulate interest; development and management of open source information sharing; and, consideration of to-be-determined activities as needs are identified.
Action #5

12. Step 2 – Identify Actions and Activities to include in the TAP - cont'
Actions to be implemented as Project Ideas
Implementation of selected Actions can be further supported by formulating Project Ideas for them
Selection of Actions to be considered as Project Ideas remains the decision of the country’s TNA stakeholders.
Possibly, implementation of (some of the) Actions can be further supported by formulating Project Ideas for them. For example, when an identified Action is to demonstrate a new prioritised technology within the country context, a demonstration project could be designed for that as a Project Idea. Alternatively, if an identified Action is focussed on implementing a small-scale technology in the rural areas of the country, in a Project Idea the number of technology units needed, stakeholders to be involved, timing of activities and corresponding costs could be identified, using the guidance in the next Steps. Which Actions will be considered as Project Ideas to be derived from a TAP remains the decision of the country’s TNA stakeholders.

13. Step 3 – Identify stakeholders and determine timelines: Who and When?
This step covers: the identification of stakeholders to be involved in the implementation of the Actions in the TAP and scheduling and sequencing of specific Activities.
Who? - Identification of Stakeholders for the implementation of the TAP
For each Activity, one institution should have primary responsibility.
ideally one person from the institution should be identified as 'champion' (lead)
the responsibility should be defined as clearly and as early as possible during the TAP process
An important aspect of the TAP preparation process is the outlining of institutional and individual participants in this process, the responsibilities they have in achieving national objectives, and clear next steps for each actor.
it is recommended to include potential – national and international – funders as early as possible in the process

14. Step 3 – Identify stakeholders and determine timelines: Who and When
Step 3 – Identify stakeholders and determine timelines: Who and When? - cont'
When? - Scheduling and sequencing of specific activities
For each activity, starting dates and completion dates need to be decided, considering
Sequence
Availability
The nature (and scale) of the action and activities
Sub-programme requirements
In such an example, the Action may require that, instead of implementing all technologies in one go, sub-programmes are formulated which are implemented region by region. In total, the timeline for the Action and implementing activities may be, for example, 15 years, covering three sub-programmes of 5 years each.
Sequence: will activities be implemented at the same time or can an activity only start when an earlier activity has been completed?
Availability: Whether the technology is available in the short run so that actions and implementing activities focus on short-term implementation of the technology.
The nature (and scale) of the action and activities: an infrastructure support action may require that implementation activities may require a relatively long timeline, whereas setting up a supply line via hardware stores for low-emission household appliances could be arranged in a relatively short period of time.
Sub-programme requirements: Whether an Action and its implementing activities are aimed at supporting a larger scale (national or regional) programme with diffusion of several small-scale technologies.

15. Estimating Costs of Actions and Activities
Step 4 – Estimate Resources Needed for Actions and Activities: how much?   
This step covers: capacity building as well as financial, technical assistance and other requirements to implement enabling environment actions and activities.
Capacity Building
skills and tools needed to implement Actions and Activities
Estimating Costs of Actions and Activities
identify and estimate cost items for implementing actions and activities
economic assessment of sets of measures from Barrier Analysis report
Determining the resources needed is a sequential and building block process. In order to estimate the cost of Actions and Activities that improve the enabling environment, stakeholders require the capacity to do so. They must have the training, support services, hardware and software that empower such estimating.
CB: By this step in the process consultants and stakeholders in the TAP preparation process are keenly aware of the work that needs to be accomplished in the time ahead. They are likely also keenly aware of the skills and tools needed to succeed at that work and which need to be known when estimating cost
Estimating costs: an important aspect of TAP is on estimating costs, and which may be additional to the “Barrier Analysis and Enabling Framework” cost estimates. in addition it specifically considers costs related to developing and processing an investment, programme or project proposal, as part of the overall cost estimate for the TAP.

16. Step 5 - Management Planning
This step covers: risks, contingencies and next steps and summarization.
Identify risks for each activity
Cost Risks
An activity costs more than originally planned
Scheduling Risks
An activity takes longer to complete than originally planned
Performance Risks
A technology or human resource does not perform as planned
Identify Contingency actions for each of the identified risks
Whether an Activity encompasses regulatory change, capacity building, infrastructure investment or a programme to develop a market, deploy new products or services, there is always a need for project management, monitoring, evaluation, course corrections and additional contingency planning. With these risks and contingencies defined, and processes harmonized between country-level standard procedures and broadly understood “best practices”, it is possible to plan the “Next Steps” for a TAP and project idea
Cost Risks
An activity costs more than originally planned
contingency action: In estimating creating a line item for “contingencies” after consulting with experts in the respective field. This might involve adding 25% to a construction estimate or 15% to the estimate for the cost of running a meeting of the public and private sectors in-country to discuss how to improve “doing business conditions”
Scheduling Risks
An activity takes longer to complete than originally planned
contingency action: Allow for step-by-step schedule slippage. Identify critical path items, whose delay stalls all progress on an Activity or even and Action Item
Performance Risks
A technology or human resource does not perform as planned
contingency action: This is the most difficult contingency to plan for, and a wise colleague once said “Have Plan A, Plan B and Plan C… then have a backup plan.” Realistically Performance Risk can be catastrophic to an Activity (water to wire conversion on a hydro facility is only 2/3rds of what was expected) to trivial (a speaker fails to arrive), as are the contingency planning responses (for performance of infrastructure make sure the performance risk belongs to the contractor or supplier before accepting delivery and commissioning; for missing speakers, get slides in “notes view” well in advance of meeting).

17. TAP Report Deliverable I: TNA Report
Sector prioritisation
Technology prioritisation in each sector
Deliverable II: Barrier Analysis and Enabling Framework Report
Barrier analysis for each technology and options to address the barriers
Enabling framework for technologies of the same Sector
Deliverable III: TAP and Project Ideas
Common action plan for all prioritised technologies in the same sector
Specific action plan for each prioritised technology
Cross-cutting issues
Brief summary and specific project ideas for each prioritised sector

18. TAP Report Content Executive Summary
Chapter 1 Technology Action Plan and Project Ideas for Sector A
1.1 TAP for Sector A
1.1.1 Sector overview
1.1.2 Action Plan for Technology A1
1.1.3 Action Plan for Technology A2
1.1.4 Action Plan for Technology A3
1.2 Project Ideas for Sector A
1.2.1 Brief summary of the Project Ideas for Sector A
1.2.2 Specific Project Ideas
Chapter 2 Technology Action Plan and Project Ideas for Sector B
Chapter 3 Technology Action Plan and Project Ideas for Sector C
Chapter 4 Cross-cutting Issues
List of References
Annex I. List of stakeholders involved and their contacts

19. Detailed overview 1.1 TAP for Sector A 1.1.1 Sector overview
1.1.2 Action Plan for Technology A1
Introduction
Ambition for the TAP
Actions and Activities selected for inclusion in the TAP
Summary of barriers and measures to overcome barriers
Actions selected for inclusion in the TAP
Activities identified for implementation of selected actions
Actions to be implemented as Project Ideas
Stakeholders and Timeline for implementation of TAP 
Overview of Stakeholders for the implementation of the TAP
Scheduling and sequencing of specific activities
Estimation of Resources Needed for Action and Activities
Estimation of capacity building needs
Estimations of costs of actions and activities
Management Planning
Risks and Contingency Planning
Next Steps

20. Thank you