Proposed Grant Assistance Kingdom of Thailand: Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin

Transcription

1 Grant Assistance Report Project Number: September 2014 Proposed Grant Assistance Kingdom of Thailand: Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin (Financed by the Japan Fund for Poverty Reduction) Distribution of this document is restricted until it has been approved by the Board of Directors. Following such approval, ADB will disclose the document to the public in accordance with ADB's Public Communications Policy 2011.

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3 CURRENCY EQUIVALENTS (as of 9 September 2014) Currency Unit baht (B) B1.00 = $ $1.00 = B ABBREVIATIONS ADB Asian Development Bank CBFRM community-based flood risk management CSO civil society organization DDPM Department of Disaster Prevention and Mitigation GIM grant implementation manual GIU grant implementation unit JICA Japan International Cooperation Agency JFPR Japan Fund for Poverty Reduction MOI Ministry of Interior NESDB National Economic and Social Development Board NGO nongovernment organization NWRFC National Water Resources and Flood Policy Committee TA technical assistance NOTE In this report, "$" refers to US dollars. Vice President S. Groff, Vice-President, Operations 2 Director General J. Nugent, Southeast Asia Department (SERD) Director A. Leung, Urban Development and Water Division, SERD Team leader Team members M. White, Urban Development Specialist (Water Supply and Sanitation), SERD L. Attapich, Senior Economics Officer, SERD In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

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5 I. Basic Data Name of Proposed Activity Country JAPAN FUND FOR POVERTY REDUCTION (JFPR) JFPR Grant Proposal Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin Thailand Grant Amount Requested $2,000,000 Project Duration 2 years Regional Grant Yes / No Grant Type Project / Capacity building II. Grant Development Objective(s) and Expected Key Performance Indicators Grant Development Objectives: (i) To develop a proactive community-based flood risk management (CBFRM) approach with local communities to improve flood risk management, establish community-based flood preparedness and response, and promote efficient post-flood recovery, including the support of existing community associations to partner with local Government of Thailand water and flood management committees. (ii) To demonstrate this approach to flood risk management through pilot projects in five communities and promote replication and scaling-up of successful activities in other communities in the Chao Phraya River basin and countrywide. (iii) To strengthen existing guidelines on community-based disaster risk management with respect to future floods, and develop and/or improve small-scale flood barriers where possible. (iv) To develop the capacity in local communities and local government, in particular to promote a higher degree of understanding of the expected roles of each with respect to flood emergencies. Expected Key Performance Indicators: (i) Reduced vulnerability and improved resilience for future floods in five pilot communities. (ii) Reduced losses and damage from future floods. (iii) Greater community involvement in flood preparedness, flood response, and post-flood recovery. (iv) Bottom-up approach that complements the national disaster prevention and mitigation plan and promotes improved coordination between community associations and local government units. III. Grant Categories of Expenditure, Amounts, and Percentage of Expenditures Category Amount of Grant Allocated in $ Percentage of Expenditures 1. Consulting Services 895, Equipment 16, Workshops, local training, seminars, and conferences 154, Surveys 70, Resource persons 60, Civil works 600, Miscellaneous administration and support costs 60, Contingencies 145, TOTAL 2,000, Incremental Cost 50,000

6 2 A. Other Data Date of Submission of Application Project Officer Project Officer s Division, , Phone Other Staff Who Will Need Access to Edit and/or Review the Report Sector Subsectors Themes Subthemes Targeting Classification Name of Associated ADB- Financed Operation Executing Agency Grant Implementing Agency (Names, Exact Address, Contact Persons, , Phone, Fax) B. Details of the Proposed Grant Project Title JAPAN FUND FOR POVERTY REDUCTION JFPR Grant Proposal Background Information October 2013 Michael White, Urban Development Specialist (Water Supply and Sanitation) Urban Development and Water Division (SEUW), mewhite@adb.org, (+632) Eri Honda, Project Administration Unit Head, SEUW Multisector Flood protection, municipal services, irrigation and drainage Governance, environmental sustainability, capacity development, gender equity Fostering physical infrastructure and development, civil society participation, urban environmental improvement General Intervention (GI) Strengthening Integrated Water and Flood Management Implementation Department of Disaster Prevention and Mitigation (DDPM), Ministry of Interior (MOI) Department of Disaster Prevention and Mitigation Ministry of Interior 3/12 U-Thongnok Road, Dusit, Bangkok, 10300, Thailand Chainarong Vasanasomsithi Director, Research and International Cooperation Bureau foreign_dpm@yahoo.com Phone: Fax: Description of the Components, Monitorable Deliverables and/or Outcomes, and Implementation Timetable Cost ($) 2,000,000 Description Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin Integrated flood risk management involves reducing flood risk around three aspects: (i) hazard (physical characteristics generating danger and damage), (ii) exposure (from people exposed to hazard by their presence in the flood area), and (iii) vulnerability (the damage to assets, property, life, health, and well-being of affected people). An integrated flood management program reduces these

7 risks at a watershed and local level in appropriate ways. This approach is being progressively adopted in Thailand in the wider context of water resource management following the massive and costly 2011 floods. As the reduction of flood hazards often involves large-scale flood control works, these are managed in Thailand by national and provincial agencies. Addressing exposure can also involve higherlevel measures such as flood hazard zoning and land use planning. Reducing risk from vulnerability involves more local measures such as flood forecasting warning, emergency response, and post-flood recovery. Community-based flood risk management (CBFRM) focuses on three critical areas: flood preparedness, flood response, and post-flood recovery. CBFRM programs can address (a) shortterm needs that can be implemented rapidly, including immediate measures to improve flood preparedness and a managed response to floods; and (b) medium- to long-term needs that address flood preparedness, emergency response, and post-flood recovery in addition to community-level flood prevention and protection measures for more sustainable flood risk management as well as exposure issues such as flood hazard zoning. Five pilot communities will be selected from a short list of nine (identified during initial stakeholder consultations using seed money funds) for implementation of the project. These will comprise two rural and two urban communities, plus one United Nations Educational, Scientific, and Cultural Organization (UNESCO) world heritage site at Ayutthaya. These are areas where flood water retention is proposed (in the case of rural communities) or that have a high risk of severe flooding (in the case of urban communities), and include an urban community with small and medium-sized industries that coped well with the 2011 flood, which can be used as a good example. Based on information to date, the rural and urban communities on the short list have a similar balance of demographics typical for the Chao Phraya basin, and no communities appear to have a high incidence of poverty. Although the project will not target poverty reduction directly, it will have a greater positive impact on the poor because the poorest and most vulnerable people typically live in the areas most susceptible to flooding. Given that this is a communitybased program, the selected communities will participate directly in the planning, design, and implementation of small-scale infrastructure improvements to provide improved protection from future floods. Those likely to gain most benefit from the project will be the poorer residents, and in particular those in the rural communities whose agricultural livelihood is affected by severe flood events. The project will develop a parallel track CBFRM program which addresses the short-term needs to (a) immediately improve the ability of communities to prepare for future flood events and assist them, together with the local authorities, to respond to floods in a more coordinated manner; and (b) develop and provide more comprehensive training and capacity building to the five selected pilot communities, in parallel with the activities in (a). This will enable the communities to plan for future floods and develop sustainable local solutions, including flood prevention and protection 3

8 4 improvements, to reduce their vulnerability, improve their ability to cope during floods, and assist them to develop plans for effective post-flood recovery in collaboration with the local authorities. Both sets of activities will be coordinated and consistent with watershedwide national and provincial flood management measures. Output 1 below briefly describes the activities to be undertaken to meet the short- and medium-term objectives. Output 2 describes the smallscale community-based flood prevention and protection improvements that will be implemented to meet the needs identified under Output 1. Appendix 1 contains the design and monitoring framework, which provides more details on the activities for both outputs. Output 1 - Community-Based Flood Risk Management Program Established (a) Short-term Improved Preparedness and Response for Flood Emergencies In 2011, it took as long as three months for the flood to arrive at the lower reaches of the Chao Phraya basin and Bangkok. This should have provided sufficient lead time to prepare for the flood and have appropriate flood response measures in place. However, in the event, many downstream communities were not prepared, highlighting the need to improve both immediate and medium-term measures to reduce flood vulnerability for the current and future rainy seasons. This output to improve preparedness and response for flood emergencies will identify immediate, generic ways to shorten the response time for disaster emergency mobilization at the local level. This will include the development and implementation of flood drills with the Department of Disaster Prevention and Mitigation (DDPM), the development of well-articulated community-level flood preparedness and response plans, and procedures for developing post-flood recovery action plans, including clear designation of roles and responsibilities and gender-responsive communication channels, and the development of regular exercises and drills to maintain functionality and enhance coping skills of vulnerable groups. Through extensive stakeholder consultation, the activities under this output will draw upon the different experiences and needs of urban and rural communities. Rural communities, for example, live with annual floods and require these floods for their agricultural needs. In these communities, therefore, the focus will be on living with annual floods and managing for extreme events. This output will also simulate how proposed community preparedness and emergency response systems link with national, provincial, and local government actors and higher-level systems to identify potential gaps in response management procedures and recommend ways to ensure systems between levels are consistent and coordinated. (b) Medium-Term Sustainable Community-Based Flood Risk Management and Post-Flood Recovery

9 The medium-term CBFRM subcomponent will develop and demonstrate a wider range of issues regarding flood vulnerability, including flood prevention, protection improvement, and post-flood recovery which can be adapted and replicated in other communities. This will involve implementing a comprehensive CBFRM program in the five selected pilot communities. A structured program for CBFRM and disaster response will be developed in the five selected pilot communities. Measures will be selected with a view to ensuring there is potential for replication in other communities after project completion. The development of the CBFRM program will focus on stakeholder consultation to identify vulnerability risk and prioritize actions, training and education, raising risk awareness, and improving household and community risk reduction measures (promoting self-help activities linked with support services). In addition, local flood risk vulnerability mapping and/or modeling in pilot communities will be carried out by integrating technical analysis and local advice, considering appropriate zoning, potential encroachment into floodplain areas, and other land use issues to support the consultation and plan development process. Midway through the project a capacity development assessment of the DDPM and local government units will be prepared for inclusion in the interim report. This will be based on experience working with these agencies and will highlight capacity needs to be addressed in the second half of the project. In addition, a plan for scaling-up and replicating CBFRM activities will be prepared for inclusion in the final report, which will also identify the key stakeholders for this and potential funding options. The CBFRM program will seek opportunities to enhance capacities of existing village civil society organizations (CSOs), in partnership with the newly established government national water and flood management committees, to ensure that high-level programming responds to the local priorities, needs, and gender concerns related to flood risk management. 5 Output 2 - Community-Based Flood Prevention and Protection Improvements Implemented To complement Output 1 and demonstrate potential solutions, small-scale community-based flood prevention and protection improvements will be identified as part of the local assessments and community consultation process and implemented in each pilot community. These may include small-scale infrastructure for enhanced flood protection (such as localized flood barriers, dykes, improved drainage, flood-free shelters, and evacuation sites), equipment and tools, or operational improvements or a combination of these to meet the needs of each community. Design of the improvements will focus on two criteria: (i) living with the annual floods, and (ii) managing future extreme events (e.g., raising access roads and traffic signs in rural communities). Monitorable Deliverables/Outputs Output 1 - Community-Based Flood Risk Management Program Established Inception workshop for DDPM, civil society, and other stakeholders

10 6 conducted with at least 40% female representation. Stakeholder consultation workshops held for the nine short-listed communities and for central and/or local government, targeting 50% men and 50% women. Flood drills and response simulations developed and conducted before each rainy season in five pilot communities, targeting inclusion of 50% men and 50% women. Flood risk awareness programs conducted for five pilot communities, targeting 50% men and 50% women. Proactive disaster preparedness and emergency response plans and procedures for developing post-flood recovery action plans developed and disseminated for five pilot communities. Gender-inclusive CBFRM guidelines and action plans published and disseminated. CBFRM training workshops and training conducted for DDPM, civil society, and other stakeholders with at least 40% female representation. Output 2 - Community-Based Flood Prevention and Protection Improvements Implemented Initial improvements for flood risk reduction implemented during the first rainy season. Subproject selection workshops conducted for five pilot communities, targeting 50% men and 50% women. Community-based infrastructure subprojects constructed in five pilot communities targeting inclusion of 50% men and 50% women for participation in preparation of selection criteria and/or identification of subprojects. Community-based operational improvements implemented in five pilot communities targeting inclusion of 50% men and 50% women for participation in preparing selection criteria and/or identifying priority improvements. Implementation of Major Activities 24 months 2. Financing Plan for Proposed Grant to be Supported by JFPR (see Summary Cost Table in Appendix 2) Funding Source Amount ($) JFPR 2,000,000 Total 2,000, Background 1. During the last quarter of 2011, Thailand experienced its worst flooding since Almost 14 million people in 65 of Thailand s 77 provinces were affected by floodwaters, with widespread damage and loss to homes, factories, businesses, transport and energy infrastructure, social service facilities, and crops and livestock. The Ministry of Finance estimated the total economic damage and losses at approximately $45 billion, with the greatest

11 damage and losses in the manufacturing sector ($32 billion). Industry estimates suggest that insured losses may exceed $10 billion. 2. The Government of Thailand responded urgently by strengthening flood management through developing its overall water resources management strategy. Also, the government is developing works and measures to implement in the short and medium terms to better manage future flooding. The Cabinet has adopted the Master Plan for Water Resource Management, 1 and has approved an emergency decree to borrow B350 billion ($11.48 billion) for investing in flood and water management projects. 3. The 2011 floods highlighted the need to adopt an integrated flood risk management approach by reducing or treating three risk factors: hazard, exposure, and vulnerability. Such an approach will include socially inclusive measures to treat all three factors. This involves combining structural and nonstructural measures to modify the risks. The approach is needed at the national, river basin, and local level. Community-based flood risk management, using updated flood hazard mapping prepared under the project, will focus on stakeholder consultation, awareness building, training, and education to promote self-help with links to government flood management and services. This is a key component of a flood risk reduction strategy, requiring community-level capacity development. 4. Japan Fund for Poverty Reduction (JFPR) seed money has been used during preparation of the concept paper and project proposal to prepare a short list of appropriate pilot communities and conduct initial stakeholder consultation to obtain feedback on important issues and lessons learned from the 2011 flood. Three particular issues are (i) lack of capacity at the community level to prepare for and respond to flood effectively; (ii) poor communication between the local communities and local government units; and (iii) that while the DDPM has a good national plan for disaster prevention and mitigation, there is a lack of standard operating procedures to implement such a plan at local government level, particularly for flood disasters. 5. During the stakeholder consultations, locations of one urban district and one rural municipality were identified and agreed to with the DDPM, from which one community from each will be selected. A further seven locations were short-listed, from which two additional communities (one urban and one rural) will be selected during the project. All nine locations are included in the following table. Location of Community Type Status Nakornsawan municipality (Nakornsawan province) Urban Short-listed Angthong municipality (Angthong province) Urban Short-listed Ayutthaya municipality (Phranakorn-Sriayuthaya province) Urban Selected Bangyai district (Nonthaburi Province) Urban Selected Chiengrak (Chainat province ) Rural Short-listed Tawung district (Lopburi province) Rural Short-listed Banarajan district (Singburi province) Rural Short-listed Pamok district (Angthong province) Rural Short-listed Korkerd municipality (Phranakorn-Sriayuthaya province) Rural Selected 6. Based on information to date, the rural and urban communities on the short list have a balance of demographics which is typical for the Chao Phraya basin, so none of the 7 1 Government of Thailand Master Plan on Water Resource Management. Bangkok.

12 8 communities have a high incidence of poverty. The important criteria for selection as a pilot community are location, vulnerability to severe flooding, and extent of the community affected. Since the intention is for the DDPM to replicate the program in other communities after this project under its own funding, a high degree of success is needed so willingness to actively participate in the program is also a major factor. However, to promote additional impact of the project, poverty incidence will be used as an additional criterion in selecting pilot communities. 7. In response to a request from the Asian Development Bank (ADB) resident mission, an additional fifth pilot community (Ayutthaya) will be included to tie-in project activities with an ADB UNESCO IHE technical assistance (TA) project 2 that is also supporting flood risk management, although specifically related to the world heritage site. This project would allow some of the recommendations of the TA to be implemented under the civil works component, raising the profile of the project. 4. Innovation 8. The findings and recommendations of the final report on this initial stakeholder consultation (using the JFPR seed money) will be used in the preparation of the terms of reference for the consulting services and in the design of the project and future stakeholder consultations. The project will concentrate on adding value to existing disaster planning and mitigation activities developed by the DDPM, Japan International Cooperation Agency (JICA), and others but, more importantly, through the empowerment of local communities and local governments to prepare for, respond to, and recover from future flood disasters. Development of standard operating procedures for flood disasters, using existing DDPM formats, will be instrumental in this. In addition, the DDPM advised that disaster management training had been undertaken by numerous agencies and that the project should take advantage of such training materials as appropriate. In particular, trainings by the Asian Disaster Preparedness Center would be particularly useful. 9. Geographically, the project will adopt a spatially integrated area flood risk management approach, as this will help manage flooding risks in the urban and rural settings. It will create an understanding of how to formulate flood risk management strategies for varying physical conditions. Where upstream and downstream flood risk management measures need to be considered (i.e., dams in upstream areas and river embankments in downstream areas), these strategies should protect these environments from future perennial floods. Pilot communities will be strategically selected to serve as benchmark cases for other communities to follow, allowing replication in other communities in the Chao Phraya River basin. Lessons learned from the project will also prove useful for other parts of the country. 10. Plans for disseminating project results in ADB include internal forums, external conferences, ADB Today, and on ADB s website. 5. Sustainability 11. Local government units at district level are directly involved in preparing disaster management plans, mainly preparedness and response rather than wider risk management, and are not specifically focused on flooding. It is essential, therefore, that any community-level actions are linked with such district planning processes. To ensure sustainability of the pilot 2 ADB Support to Ayutthaya Flood Risk Assessment and Development of Disaster Risk Mitigation Plan. ADB- UNESCO-IHE Partnership Agreement. Manila.

13 projects, institutional partnerships will be established between community associations, local government units, and the DDPM. Interaction and/or cooperation on flood insurance programs being developed by others will also be considered for inclusion, linking to risk awareness and flood risk vulnerability mapping. Training and capacity building of local community associations, CSOs, and the DDPM will be included for appropriate activities. Innovative methods for training and knowledge dissemination will be developed, such as internet-based training for rural communities that are unable to take time out for formal training. 12. The rationale for piloting the project in two rural and two urban communities is to create benchmarks for community-based flood risk management which can be replicated elsewhere in Thailand, particularly in the urban and rural areas of the Chao Phraya River basin including Bangkok. Ayutthaya provides a third urban pilot community. As a strategy to get full support from the stakeholders in the five pilot projects, the implementation of the project will involve an extensive consultation process to develop solutions and engage in pilot subproject implementation. An appropriate exit strategy, which will include conducting capacity building and localized training for operation and maintenance of the flood management investments, will be formulated as part of the CBFRM. This will be conducted for the DDPM, local government units, and pilot communities to ensure sustainability after project completion. In addition, any interventions should be linked to local and/or district development planning (annual planning) processes to ensure the required budget for operation and maintenance is available beyond the CBFRM project. It is expected that the DDPM, using the CBFRM guidelines and procedures developed under the project, will integrate CBFRM into its mainstream activities and continue the program by replicating it in other communities in a long-term countrywide program. 13. In terms of policy support to sustain the intended flood management interventions, the government has set up the National Water Resources and Flood Policy Committee, chaired by the prime minister, to formulate policies in accordance with the approved master plans; propose changes to laws, rules, and regulations; and approve projects and budget related to water resources and flood management. The government has also set up the Water Resources and Flood Management Committee, chaired by the deputy prime minister, to formulate action plans, approve water management investment projects, and monitor and evaluate the implementation of investment projects. The Office of the National Water and Flood Management Committee was established to be responsible for integrated water resources management including flood management. It also serves as the operational arm of the National Water Resources and Flood Policy Committee and the Water Resources and Flood Management Committee. 6. Participatory Approach 14. Consultations will be undertaken with the pilot communities through community mobilization and consultation workshops, and will include provincial DDPM counterparts, operational nongovernment organizations (NGOs), CSOs, and local governments. The CBFRM project and provincial DDPM counterparts will seek opportunities to enhance existing community CSOs, in partnership with newly established government water and flood management committees, so that programming responds to local priorities, needs, and gender concerns. Flood preparedness and response planning mechanisms will be formulated to harness community involvement, including gender-responsive communication channels, community participation in vulnerability mapping, and monitoring and evaluation of responses on the ground. 15. A participation plan will be prepared based on the workshops and consultations undertaken during the grant proposal stage, using the JFPR seed money. This plan will be 9

14 10 prepared and updated by the project consultants upon project commencement and will form part of their inception report. Primary Beneficiaries and Other Affected Groups and Relevant Description The local communities of the five pilot sites are the primary beneficiaries of the project. With the project, these communities will be less susceptible to, or protected from, perennial flooding as a result of the activities and outputs of the CBFRM activities in their communities. Other Key Stakeholders and Brief Description The executing agency (DDPM) and the National Economic and Social Development Board (NESDB) are the government agencies that will also benefit from the trainings and learning experiences through the project, which will equip them to plan for, and respond effectively to, possible disasters. In addition to the DDPM and NESDB, the other central and local government agencies of Thailand that will be involved in the project also have a stake in the project, especially in the sharing of the project s impacts on and benefits to the pilot communities to other towns and cities where replication of the project is possible. The respective operational NGOs and CSOs that will be involved in the project also have a stake in ensuring that the development of solutions and measures on flood management in the pilot communities are workable and carried out in a way that is acceptable to the communities. The private sector also has a stake in the project as the project outputs will impact their businesses and their contribution to the local economy. This could include a business continuity management approach, similar to the Otagai Business Continuity (mutual assistance in time of crisis) initiated by JICA and the DDPM. Such an approach could help both local businesses and communities. ADB and other development partners also have a stake in the project as they are expected to be major players in contributing to enhanced standard of living of the targeted beneficiaries. 7. Coordination 16. Opportunities will be explored for collaboration with Japanese institutions and agencies, specifically in the area of disaster risk management where Japanese expertise is well renowned, based on its own experiences of natural disasters in Japan and its wide experience outside of Japan and in the region. JICA has excellent experience at both the national and community level in Thailand, working closely with the DDPM. Close coordination has been maintained with both JICA and the Japanese embassy in Bangkok during preparation of the project grant, and this will continue during implementation. Results of the main formal consultations with both organizations are summarized in the following table.

15 11 Date Consultation Details 26 April 2012 Ryotaro Hayashi, Japanese embassy in Thailand An ADB mission met with embassy staff to advise on the scope of the proposed project grant and noted that a meeting had already been held with JICA on 14 March The mission advised that coordination with JICA activities at the DDPM would be an important part of the project to ensure that the project activities are complementary and to reduce or eliminate any potential overlap. The mission stated that a draft concept paper would be prepared and circulated for comment to JICA and the embassy in due course. The embassy raised concern about the cost of international consultants and their use under the proposed project grant. ADB stated that the project will mainly source experienced local consultants, supplemented by international expertise as required, so as to maximize the benefit of the grant. 16 July 2012 Katsuya Nagafusa and Ryotaro Hayashi, Japanese embassy in Thailand An ADB mission met with embassy staff to discuss the draft concept paper (circulated a week earlier) and address any comments of the embassy. The mission leader explained the scope of the proposed project and noted that initial discussions had taken place with JICA in early June and its comments had been incorporated into the draft concept paper. The concept paper had also been circulated to JICA, with whom the mission would meet later the same day (summary below). The embassy was happy with the involvement of and cooperation with JICA, and the mission confirmed its intention to collaborate closely with JICA during the implementation of the project grant, and in particular with JICA s ongoing phase 2 flood-related projects. The embassy suggested that the new single body established by the government following the 2011 flood should also be kept informed on a regular basis, in addition to the DDPM (as the executing agency), and the NESDB. Also, based on JICA s experience and the communitybased nature of the project, the embassy requested that project materials should be developed in both English and Thai. 16 July 2012 JICA representative office in Bangkok Yojiro Miyashita, Hajime Taniguchi, and Kobchai Songsrisanga An ADB mission met with JICA and confirmed that there was no significant overlap with its current and proposed flood-related activities. The mission advised JICA that two pilot communities (one urban and one rural) had been selected and agreed upon with the DDPM. An additional short list of six or seven potential pilot communities was being prepared, from which another two communities will be selected during the initial stages of the project grant. The mission confirmed that both JICA and the embassy will be invited to workshops and other project activities during implementation. JICA agreed that the project should focus primarily on capacity development and that a budget of around $500,000 was appropriate for various infrastructure, equipment, and operational improvements for the pilot communities. JICA has an ongoing disaster management program with the DDPM which includes community-based activities at three pilot sites. The context of this JICA program is different to that of the proposed project grant, however ADB s project team will be invited to appropriate JICA activities to enhance knowledge sharing and working with the local communities. 24 October 2012 Katsuya Nagafusa, Japanese embassy in Thailand ADB sent a copy of the first draft of the grant proposal to the Japanese embassy on 24 October 2012 and received a response by the same day. K. Nagafusa confirmed that a further meeting was not required and the embassy had nothing further to add, and to proceed with the application process.

16 12 Date Consultation Details 12 November 2012 JICA representative office in Bangkok ADB sent a copy of the first draft of the grant proposal to JICA on 24 October 2012 and received an response on 12 November. Yojiro Miyashita and Kobchai Songsrisanga had reviewed the draft grant proposal and did not have any further questions or comments. 17. Both JICA and the Japanese embassy in Bangkok will be consulted with respect to soliciting recommendations on operational Japanese NGOs which have operations in Thailand and/or internationally and could be involved in the project to offer technologies and expertise that would benefit the project communities. In addition, discussions for collaboration with the Center for Hazard and Risk Management in Japan will be conducted during the inception period of the project, taking advantage of its ongoing work with JICA on the master plan for the Chao Phraya River basin and other country and regional expertise. 8. Detailed Cost Table 18. Appendix 3 contains the detailed cost estimates, and Appendix 4 has the fund flow arrangement. C. Link to ADB Strategy and ADB-Financed Operations 1. Link to ADB Strategy 19. The proposed project is in line with the draft sector assessment, strategy, and road map for water resources management, prepared in May 2012, highlighting the 2011 flood. The assessment, strategy, and road map serves as a background document for the ADB country partnership strategy for Thailand, Document Assessment, Strategy, and Road Map for Water Resources Management in Thailand Country Partnership Strategy Document Number Date of Last Discussion Objective(s) Draft October 2013 The draft assessment, strategy, and road map highlights the importance of water as a resource, and the need for integrated water resources management and institutional strengthening, including flood management. Sec. M47-13 October 2013 The goal of the country partnership strategy is to support Thailand in achieving high, inclusive, and sustainable economic growth towards higherincome-country status. Water resources management is a key component in the country partnership strategy.

17 13 2. Link to Specific ADB-Financed Operation Project Name Strengthening Integrated Water and Flood Management Implementation Project Number Date of Board Approval December 2012 Loan Amount ($ million) JFPR TA for $1.5 million, no loan 3. State the Above-Mentioned Project s Development Objective 20. The objective of the parallel TA is to help reduce the possible damage and losses that could be incurred by Thai communities in the event of future floods. To attain this objective, the project is expected to help improve the planning and implementation of integrated water management in Thailand. 21. The parallel TA will provide capacity building for government using a top-down approach with the NESDB as the executing agency. It will also include participatory methods and community involvement, building on the previous work in the Yom River with the Thailand Water Resources Association and the Thambon administrations. In contrast, the project grant will provide a bottom-up approach aimed at strengthening community understanding and capacity, in addition to the vital link with local government disaster management operations under the remit of the DDPM. With assistance from staff at the ADB Thailand Resident Mission, close collaboration will be maintained between the parallel TA and the project to ensure compatibility. 4. List the Project s Main Components No. Component Name Brief Description 1. Support to develop planning and implementation procedures and guidelines for water project assessment, monitoring, and evaluation 1.1 Development of guidelines and checklist for water management programs and projects. 1.2 Based on the guidelines and checklist, an informationtechnology-based system for implementing, monitoring, and evaluating water management programs and projects will also be developed under this component. 2. Yom River Basin Study 2.1 This component will involve undertaking a range of studies to update existing information and build on earlier stakeholder consultations and institutional development work to prepare a Yom River Basin road map. 2.2 The component will be carried out by applying updated project planning and procedures for water and flood management and planning which will emanate to appropriate methodologies and approaches for systems analysis of surface water and groundwater in the Yom River basin. 5. Rationale for Grant Funding Versus ADB Lending 22. Grant funding is being sought because the project is part of a response to the floods which occurred in Thailand in late The project activities are designed to provide improved capacity at community and local government levels through community-based flood risk management approaches, and some rehabilitation and/or improvements to local flood-related infrastructure and services in affected areas. The project will determine appropriate flood risk

18 14 management measures for the pilot communities and help prepare these communities to respond proactively to future floods. 23. The project s outputs, which are mainly capacity building activities, are nonrevenue generating. The small infrastructure investments, which will enhance the resilience of the pilot communities to perennial flooding, will also be nonrevenue generating and will attract some periodic costs for operations and maintenance. Although there may be some possibilities for collecting fees (depending on the type and design of the infrastructure), the amount that could be generated would likely be sufficient to cover only the operation and maintenance costs. Therefore, grant funding is being sought to finance the project, as a loan financing scheme would not be viable. D. Implementation of the Proposed Grant Provide the Name of the Implementing Agency The DDPM will be both the executing agency and implementing agency. 24. All procurements under the JFPR grant will be conducted in accordance with ADB s Procurement Guidelines (2013, as amended from time to time). Consultants will be recruited by the DDPM in accordance with ADB s Guidelines on the Use of Consultants (2013, as amended from time to time) to provide the services for implementation, management, and progress monitoring of the JFPR grant. Local NGOs and consultants will be contracted by the grant implementation unit (GIU) in accordance with ADB s Guidelines on the Use of Consultants. 25. Disbursement arrangements are described in Appendix 5 and are detailed in the Grant Implementation Manual (GIM). The GIM will be prepared and submitted to the executing agency with the draft Letter of Agreement (LOA). All funds and project accounts shall be established, managed, replenished, and liquidated in conformance with ADB s Loan Disbursement Handbook (2012, as amended from time to time). Financial reporting, audit, and disclosure requirements will be performed in accordance with ADB s policies 3 and the cost of annual external audit is included in the cost estimates in Appendix 3. Further details will be included in the GIM. 26. The procurement of civil works packages shall be by shopping method following appropriate procedures as outlined under ADB s Procurement Guidelines. Individual consultants (one international and two national) will be recruited to assist the DDPM with project management support. The DDPM has requested that ADB assist in the recruitment of the project management support consultants, since it has no experience with ADB policies and procedures and does not want to engage too many of its own resources for administration, wishing to concentrate more on technical counterpart staff. The mode of recruitment of the project implementation consultants shall be through quality- and cost-based selection using a quality cost ratio of 90:10, to place the emphasis on high quality for the recruitment of consulting firms. Recruitment and administration of the project implementation consultants shall be undertaken by the executing agency but will be fully supported by the project management consultants. The Procurement Plan is included in Appendix Safeguards categorization for environment is B, given that the extent of the small civils works will only be determined during the grant implementation. For resettlement and indigenous 3 Operations Manual (OM) J7 and Project Administration Instruction (PAI) 5.07.

19 peoples, safeguards have been categorized as C for both. The SPRSS is included in Appendix Risk Affecting Grant Implementation Type of Risk Brief Description Measure to Mitigate the Risk 15 Government and Community Participation The main risk for this project is that the continued support and commitment from the respective government agencies, NGOs, and communities of the five pilot communities may not be sustained throughout the grant implementation. Existing community associations will be supported and new ones established (as needed) in partnership with the DDPM government water and flood management committees. Consultation, participation, collaborative decision making, and knowledge sharing will be given high priority. Consultants, NGOs, and CSOs with expertise in community-related support activities will be engaged. A limited budget for operational and infrastructure improvements will be provided to each pilot community under the project. DDPM, as the EA, will provide support and central and local level. Local government units of the two communities selected so far have indicated a high degree of interest, and local government commitment will be a factor in selection of the remaining three. 2. Incremental ADB Costs Component Incremental Bank Cost Amount requested $50,000 Justification Type of work to be rendered by ADB As the grant amount requested will be used to cover all activities concerning CBFRM programming, capacity building, and investments on flood-related measures, the incremental costs requested will be used to (i) cover the preparation of the grant implementation manual (GIM) to ensure that implementation of the project is properly guided with all necessary documentation followed, and that prescribed agreements and guidelines are adhered to; and (ii) conduct a project completion review which highlights the project s key approaches and accomplishments against its targets and indicators, and recommend steps for replication and scaling up of the project to other communities, primarily in the Chao Phraya River basin. Preparation of GIM, after project approval, which will cover the different aspects of project implementation such as grant fund management and procurement. Conduct of a project completion review, which will comprise stakeholder workshops and preparation of a review report.

20 16 3. Monitoring and Evaluation Key Performance Indicator Reporting Mechanism Plan and Timetable for M&E Reduced vulnerability and improved resilience for future floods in five pilot communities Reduction in losses and damage from future floods Greater community involvement in flood risk management and postflood recovery Bottom-up approach that complements the national disaster prevention and mitigation plan and promotes improved coordination between community associations and local government units Reports and statistics from government agencies, development partners, and NGOs Statistics compiled by Department of Disaster Prevention and Mitigation ADB grant review mission Annual reports and statistics from government agencies, development partners, and NGOs Grant progress reports Project completion report ADB review missions Project progress and project completion reports ADB review missions Project progress and project completion reports ADB review missions 4. Estimated Disbursement Schedule Fiscal Year Amount ($) 2015 (March December) 700, ,000, (January February) 300,000 Total Disbursements 2,000, Appendixes 1. Design and Monitoring Framework 2. Summary Cost Table 3. Detailed Cost Estimates 4. Fund Flow Arrangement for Japan Fund for Poverty Reduction Funds 5. Implementation Arrangements 6. Procurement Plan 7. Summary Poverty Reduction and Social Strategy Annual statistics update and project reports until February 2017 Annual statistics update and project reports until February 2017 Annual project and midterm reports until February 2017 Annual project and midterm reports until February 2017 Monitoring plan of each pilot community CBFRM program

21 Appendix 1 17 DESIGN AND MONITORING FRAMEWORK Design Summary Impact Reduced vulnerability and improved resilience of local communities to future floods Performance Targets and Indicators with Baselines By end of 2022 (5 years after project completion): CBFRM program implemented by DDPM in all local communities in the Chao Phraya River basin, providing increased awareness and protection against floods of at least 10-year magnitude In combination with other Government of Thailand flood protection projects, contribute to increased resilience of communities to flooding (2011 baseline figure to be established with DDPM) Data Sources and Reporting Mechanisms Reports and statistics from government agencies, development partners, and NGOs Statistics compiled by Department of Disaster Prevention and Mitigation ADB grant review mission Assumptions and Risks Assumptions Sustained commitment of the government to the CBFRM program Government replicates initiatives in Chao Phraya River basin and nationally Risk Limited interest in CBFRM replication from other communities Annual flood drills coordinated by DDPM and practiced by all communities in flood-susceptible areas nationwide Outcome Improved communitybased flood risk management in the Chao Phraya River basin By project completion (February 2017): Two pilot rural communities improve their flood risk management through improved integrated water resources management Three pilot urban communities improve their disaster preparedness and response through improved communications and flood management initiatives Flood prevention and protection infrastructure improvements implemented in five pilot communities providing increased protection for floods of at least 10- year magnitude Annual reports and statistics from government agencies, development partners, and NGOs Grant progress reports Grant completion report ADB review missions Assumptions Strong commitment and support from central and local governments and beneficiaries The five pilot communities fully engage in the project Risk Inadequate government funding for DDPM to sustain the CBFRM program after completion of the project Local government and community interface and disaster coordination improved in the nine short-listed communities through periodic CBFRM meetings and activities Outputs 1. Community-based flood risk management program established Inception workshop for DDPM, civil society, and other stakeholders conducted with at least 40% female representation May 2015 Stakeholder consultation workshops held in nine short-listed communities and for central and local government, targeting 50% men and 50% women June 2015 Grant progress reports Grant completion report ADB review missions Assumptions Timely decision making by the executing agency Pilot communities and local government fully engage in the consultation process Pilot communities willing to contribute to project development