Grant Assistance Report

Project Number: 46270 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.

CURRENCY EQUIVALENTS (as of 9 September 2014)

Currency Unit – baht (B)

B1.00 = $0.0311 $1.00 = B32.068

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 M. White, Urban Development Specialist (Water Supply and Sanitation),

SERD Team members 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.

JAPAN FUND FOR POVERTY REDUCTION (JFPR)

JFPR Grant Proposal

I. Basic Data

Name of Proposed Activity Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin

Country 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 895,000 44.75

2. Equipment 16,000 0.80

3. Workshops, local training, seminars, and conferences 154,000 7.70

4. Surveys 70,000 3.50

5. Resource persons 60,000 3.00

6. Civil works 600,000 30.00

7. Miscellaneous administration and support costs 60,000 3.00

8. Contingencies 145,000 7.25

TOTAL 2,000,000 100.00

Incremental Cost 50,000

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JAPAN FUND FOR POVERTY REDUCTION

JFPR Grant Proposal Background Information

A. Other Data

Date of Submission of Application

October 2013

Project Officer Michael White, Urban Development Specialist (Water Supply and

Sanitation)

Project Officer’s Division, Email,

Phone

Urban Development and Water Division (SEUW),

mewhite@adb.org, (+632) 632-5797

Other Staff Who Will Need

Access to Edit and/or Review the

Report

Eri Honda, Project Administration Unit Head, SEUW

Sector Multisector

Subsectors Flood protection, municipal services, irrigation and drainage

Themes Governance, environmental sustainability, capacity development,

gender equity

Subthemes Fostering physical infrastructure and development, civil society

participation, urban environmental improvement

Targeting Classification General Intervention (GI)

Name of Associated ADB-

Financed Operation

Strengthening Integrated Water and Flood Management

Implementation

Executing Agency

Department of Disaster Prevention and Mitigation (DDPM), Ministry

of Interior (MOI)

Grant Implementing Agency

(Names, Exact Address, Contact

Persons, Email, Phone, Fax)

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

Email: foreign_dpm@yahoo.com

Phone: +66 2637 3665

Fax: +66 2243 5279

B. Details of the Proposed Grant

1. Description of the Components, Monitorable Deliverables and/or Outcomes, and Implementation Timetable

Project Title Community-Based Flood Risk Management and Disaster Response

in the Chao Phraya Basin

Cost ($) 2,000,000

Description 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

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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 higher-level 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) short-term 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 community-based 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

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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 watershed-wide 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 small-scale 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

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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.

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

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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 2,000,000

3. Background

1. During the last quarter of 2011, Thailand experienced its worst flooding since 1942. 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

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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

1 Government of Thailand. 2012. Master Plan on Water Resource Management. Bangkok.

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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. 2013. Support to Ayutthaya Flood Risk Assessment and Development of Disaster Risk Mitigation Plan. ADB-

UNESCO-IHE Partnership Agreement. Manila.

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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

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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

Other Key Stakeholders and Brief 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.

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.

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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 2012. 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 community-based 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 email 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.

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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 email 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, 2013–2016.

Document Document Number

Date of Last Discussion

Objective(s)

Assessment, Strategy, and Road Map for Water Resources Management in Thailand

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.

Country Partnership Strategy 2013–2016

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 higher-income-country status. Water resources management is a key component in the country partnership strategy.

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2. Link to Specific ADB-Financed Operation

Project Name Strengthening Integrated Water and Flood Management Implementation

Project Number 46231

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 information-technology-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 2011. 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

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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 policies3 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 6. 27. 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.

15

peoples, safeguards have been categorized as C for both. The SPRSS is included in Appendix 7.

1. Risk Affecting Grant Implementation

Type of Risk Brief Description Measure to Mitigate the Risk

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

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.

Type of work to be rendered by ADB

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.

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

Reports and statistics from government agencies, development partners, and NGOs

Statistics compiled by Department of Disaster Prevention and Mitigation

ADB grant review mission

Annual statistics update and project reports until February 2017

Reduction in losses and damage from future floods

Annual reports and statistics from government agencies, development partners, and NGOs

Grant progress reports

Project completion report

ADB review missions

Annual statistics update and project reports until February 2017

Greater community involvement in flood risk management and post-flood recovery

Project progress and project completion reports

ADB review missions

Annual project and midterm reports until February 2017

Bottom-up approach that complements the national disaster prevention and mitigation plan and promotes improved coordination between community associations and local government units

Project progress and project completion reports

ADB review missions

Annual project and midterm reports until February 2017 Monitoring plan of each pilot community CBFRM program

4. Estimated Disbursement Schedule

Fiscal Year Amount ($)

2015 (March–December) 700,000

2016 1,000,000

2017 (January–February) 300,000

Total Disbursements 2,000,000

----------------------------------------------------------------------------- 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

Appendix 1

17

DESIGN AND MONITORING FRAMEWORK

Design Summary Performance Targets and Indicators with Baselines

Data Sources and Reporting Mechanisms

Assumptions and Risks

Impact

Reduced vulnerability and improved resilience of local communities to future floods

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) Annual flood drills coordinated by DDPM and practiced by all communities in flood-susceptible areas nationwide

Reports and statistics from government agencies, development partners, and NGOs Statistics compiled by Department of Disaster Prevention and Mitigation ADB grant review mission

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

Outcome

Improved community-based 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 Local government and community interface and disaster coordination improved in the nine short-listed communities through periodic CBFRM meetings and activities

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

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

Appendix 1

18

Design Summary Performance Targets and Indicators with Baselines

Data Sources and Reporting Mechanisms

Assumptions and Risks

Flood drills and response simulations developed and conducted before each rainy season in five pilot communities, targeting inclusion of 50% men and 50% women – December 2015, June 2016, and February 2017 Flood risk awareness programs conducted for five pilot communities, targeting 50% men and 50% women – February 2016 Proactive disaster preparedness and emergency response procedures developed and disseminated in five pilot communities – April 2016

Risk

Pilot communities lose interest

Gender-inclusive CBFRM guidelines and action plans published and disseminated – January 2017 Community association operational partnerships established with DDPM – February 2017 CBFRM workshops and training for DDPM, civil society, and other stakeholders conducted with at least 40% female representation – February 2017

2. Community-based flood prevention and protection improvements implemented

Initial minor improvements for flood prevention and protection implemented during the first rainy season – November 2015 Subproject selection workshops conducted for five pilot communities, targeting 50% men and 50% women – January 2016 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 – February 2017 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 – February 2017

Grant progress reports Subproject feasibility reports Grant completion report ADB review missions

Appendix 1

19

Activities with Milestones Inputs

1. Community-Based Flood Risk Management Program Established

1.1 Collect data, review current situation, identify lessons learned, and identify risk factors – March 2015

1.2 Identify all stakeholders and their current roles and responsibilities – April 2015 1.3 Submit inception report – May 2015 1.4 Conduct inception workshop with DDPM, civil society, and other stakeholders – May 2015 1.5 Review current National Disaster Prevention and Mitigation Plan and CBFRM-related documents

with respect to floods – May-June 2015 1.6 Conduct flood risk mapping and modeling in the five pilot communities – May–December 2015 1.7 Conduct stakeholder consultation workshops with three preselected and six short-listed

communities – June 2015 1.8 Select two additional pilot communities (one urban and one rural) from short list – June 2015 1.9 Assess the disaster preparedness of each pilot community – July 2015 1.10 Identify risk factors and the specific needs for rural and urban communities – July 2015 1.11 Design flood risk awareness program – August-October 2015 1.12 Develop initial flood drill with DDPM and pilot communities – November 2015 1.13 Conduct initial flood drills with DDPM and pilot communities – December 2015 1.14 Update flood drills based on lessons learned – January 2016 1.15 Conduct flood risk awareness programs in the five pilot communities – February 2016 1.16 Develop proactive flood preparedness and emergency response procedures for pilot communities

– March-April 2016 1.17 Evaluate existing coping mechanisms during and after severe floods in each pilot community,

noting the assessment under activity 1.9 – March-April 2016 1.18 Evaluate current communication and coordination links with local government units before, during,

and after severe floods – March-April 2016 1.19 Prepare capacity development assessment of DDPM and LGUs – May 2016 1.20 Submit interim report – May 2016 1.21 Conduct flood drills with DDPM and pilot communities – June 2016 1.22 Prepare draft CBFRM guidelines and standard operating procedures including emergency action

plans – June–September 2016 1.23 Conduct interim workshop with DDPM, pilot communities, and other stakeholders – June 2016 1.24 Prepare procedures to develop action plans for post-flood recovery – July-September 2016 1.25 Finalize draft CBFRM guidelines and standard operation procedures – October-December 2016 1.26 Design training workshops for CBFRM – December 2016 1.27 Develop innovative communication strategies for knowledge dissemination and training in CBFRM

rural and urban communities – December 2016 1.28 Finalize, publish, and disseminate CBFRM guidelines – January 2017 1.29 Conduct CBFRM training workshops – February 2017 1.30 Establish community association operational partnerships with DDPM – January-February 2017 1.31 Submit plan for scaling-up, replication, and potential funding – February 2017 1.32 Submit final report – February 2017 1.33 Assist DDPM to plan and conduct annual flood drill with the pilot communities – February 2017 1.34 Conduct final workshop with DDPM, pilot communities, and other stakeholders – February 2017

2. Community-Based Flood Prevention and Protection Improvements Implemented

2.1 Propose and implement initial minor improvements during current rainy season – July-November 2015

2.2 Identify potential subprojects for community-based infrastructure and/or operational improvements for the pilot communities – December 2015-January 2016

2.3 Conduct subproject selection workshops for the pilot communities – January 2016 2.4 Design subproject improvements and identify required community input – February-April 2016 2.5 Conduct bidding and contract award of infrastructure packages – May-September 2016 2.6 Construct small-scale infrastructure improvements – September 2016–February 2017 2.7 Implement operational improvements – December 2016–February 2017

JFPR

$2.0 million

ADB = Asian Development Bank, CBFRM = community-based flood risk management, DDPM = Department of Disaster Prevention and Mitigation, LGU = local government unit, NGO = nongovernment organization. Source: Asian Development Bank.

Amy S.P. Leung Director, SEUW

James Nugent Director General, SERD

Appendix 2

20

SUMMARY COST TABLE

Project Summary Cost Estimates

($)

Input Expenditure Category Total Percent

Consulting Services 895,000 44.75

Equipment 16,000 0.80

Workshops, local training, seminars, and conferences

154,000 7.70

Surveys 70,000 3.50

Resource persons 60,000 3.00

Flood-related community improvements (civil works)

600,000 30.00

Miscellaneous administration and support costs

60,000 3.00

Subtotal 1,855,000

Contingencies 145,000 7.25

Subtotal financed by JFPR grant 2,000,000 100.00

ADB incremental costs 50,000

Total estimated costs 2,050,000

ADB = Asian Development Bank, JFPR = Japan Fund for Poverty Reduction. Note: The government will provide in-kind counterpart support in the form of counterpart staff, office space and equipment, and government publications. Source: Asian Development Bank estimates.

Appendix 3

21

DETAILED COST ESTIMATES

Code Supplies and Services Rendered

Costs Contributions

Unit Quantity

Units Cost Per

Unit Total

($)

JFPR

Gov’t Others Donors

Communities (in-kind) Amount

Method of Procurement

1 Consulting Services Subtotal 895,000 895,000 Individual and QCBS

Office space at DDPM and counterpart staff

1.1 Remuneration and per diem: international consultants

PM 20 23,000 460,000 460,000

1.2 Remuneration and per diem: national consultants

PM 60 6,000 360,000 360,000

1.3 International travel LS 1 20,000 20,000 20,000

1.4 Local travel LS 1 40,000 40,000 40,000

1.5 Reports and communications LS 1 10,000 10,000 10,000

1.6 Annual external audits Unit 2 2,500 5,000 5,000

2 Equipment a Subtotal 16,000 16,000 Shopping

2.1 Desktop/laptop computers Unit 10 8,000 8,000 8,000

2.2 Printers Unit 10 400 4,000 4,000

2.3 Software Unit 10 400 4,000 4,000

3 Workshops, local training, seminars, and conferences

Subtotal 154,000 154,000

3.1 Inception workshop (1 day for 80 persons) Event 1 5,000 5,000 5,000

3.2 Stakeholder consultation workshop (3 days for 120 persons )

Event 1 30,000 30,000 30,000

3.3 Community flood drill training (1 day at each community)

Event 5 3,000 15,000 15,000

3.4 CBFRM training workshops (3 days at each community)

Event 5 8,000 40,000 40,000

3.5 Interim workshop (2 days for 120 persons) Event 1 20,000 20,000 20,000

3.6 Final workshop (2 days for 120 persons) Event 1 20,000 20,000 20,000

Appendix 3

22

Code Supplies and Services Rendered

Costs Contributions

Unit Quantity

Units Cost Per

Unit Total

($)

JFPR

Gov’t Others Donors

Communities (in-kind) Amount

Method of Procurement

3.7 Others (TBD) LS 24,000 24,000 24,000

4 Surveys LS 1 70,000 70,000 70,000 Shopping

5 Resource persons PM 30 2,000 60,000 60,000 Individual

6 Civil works Subtotal 600,000 600,000

6.1 Flood-related community improvements Unit 20 30,000 600,000 600,000 Shopping In-kind and possible cash contributions

In-kind and possible cash contributions

7 Miscellaneous administration and support costs

Month 24 2500 60,000 60,000

Components A+B = Subtotal 1,855,000 1,855,000

Contingency (Maximum 10% of Total JFPR Contribution)

145,000 145,000

Total Grant Costs 2,000,000 2,000,000

ADB Incremental Cost 50,000 50,000

Total Project Costs 2,050,000 2,050,000

ADB = Asian Development Bank, CBFRM = community-based flood risk management, DDPM = Department of Disaster Prevention and Management, JFPR = Japan Fund for Poverty Reduction, LS = lump sum, PM = person-month, QCBS = quality- and cost-based selection, TBD = to be determined. a Electronic equipment to support the day-to-day field activities of the project will be handed over to the executing agency upon completion of the project.

Source. Asian Development Bank estimates.

Appendix 4

23

FUND FLOW ARRANGEMENTS FOR JAPAN FUND FOR POVERTY REDUCTION FUNDS

1. The Asian Development Bank (ADB) will channel the Japan Fund for Poverty Reduction (JFPR) funds directly to a JFPR imprest account. The account will be opened and maintained by the grant implementation unit (GIU) in Thailand, at a commercial bank endorsed by the Department of Disaster Prevention and Mitigation (the executing agency) and acceptable to ADB, to facilitate day-to-day local expenditures of the JFPR project. The executing agency and the Ministry of Finance will be kept informed by the GIU about all transactions, and receive copies of all financial statements and audit reports. The JFPR imprest account will be managed by the GIU on the principles of cosignatory arrangement with the Department of Disaster Prevention and Mitigation, initially based on the first 6-month activity plan and related budget, and afterwards based on the approved annual work plan and budget. 2. The JFPR imprest account will be established, managed, replenished, and liquidated in accordance with ADB’s Loan Disbursement Handbook (2012, as amended from time to time). The ceiling of the imprest account in USD will be $100,000 and it will be replenished every 3 to 6 months, based on the replenishment requests from the GIU through the EA. The statement of expenditures (SOE) procedure will be used for this project and its ceiling will be $10,000 per individual payment, to ensure speedy project implementation. Detailed implementation arrangements, such as the flow, replenishment, and administration procedures will be detailed in the GIM, and be established between ADB and the Government through the JFPR Letter of Agreement. The schematic fund flow of the JFPR Project is shown in the Figure below.

Fund Flow Arrangements for the Japan Fund for Poverty Reduction Project

Source: Asian Development Bank.

$1

,105

,000

$145,000 Contingencies

$16,000

$60,000

$70,000

$154,000 $600,000

$60,000

$895,000

Asian Development Bank

Grant Imprest Account held at Grant Implementation

Unit (GIU)

Flood-related community

improvements

Miscellaneous administration and

support costs

Surveys

Equipment

Resource Persons

Consultancy

Services

Workshops and training

Appendix 5

24

IMPLEMENTATION ARRANGEMENTS 1. Executing agency. The executing agency for the project will be the Department of Disaster Prevention and Management (DDPM), under the Ministry of Interior of Thailand. 2. Implementation schedule. The project will have a duration of 24 months and will be implemented from March 2015 to February 2017. 3. Procurement. All procurement activities for civil works and project consultants shall be carried out in conformance with the government’s procurement procedures, the Asian Development Bank (ADB) Procurement Guidelines (2013, as amended from time to time), and ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time). The procurement of civil works packages shall be by shopping following appropriate procedures as outlined under ADB’s Procurement Guidelines. Individual consultants 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 (the DDPM) 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. However, the DDPM will remain as the responsible party for negotiating and signing the contracts with consultants. The Operations Services and Financial Management Department (OSFMD) will provide guidance on this proposed arrangement. The mode of procurement of the project implementation consultants shall be through quality- and cost-based selection using a quality–cost ratio of 90:10, to ensure high quality of consulting firms. Engagement and administration of the consultants shall be undertaken by the DDPM but will be fully supported by the project management consultants. 4. Disbursement. Disbursement arrangements are described in the Grant Implementation Manual (GIM). 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).

Appendix 5

25

Project Implementation Arrangement Structure

ADB = Asian Development Bank CSO = civil society organization DDPM = Department of Disaster Prevention and Management IHE = Institute Hydraulic and Environmental Engineering NGO = nongovernment organization UNESCO = United Nations Educational, Scientific, and Cultural Organization Source: Asian Development Bank.

JFPR Grant

Agreement

Asian Development Bank

Project Consultants

EXECUTING /

IMPLEMENTING AGENCY

Department of Disaster Prevention and Management

(DDPM)

Pilot Community 1

Pilot Community 4

Pilot Community 3

Pilot Community 2

NGOs / CSOs

Pilot Community 5

(ADB–UNESCO–IHE)

Appendix 6

26

PROCUREMENT PLAN

Basic Data

Project Name: Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin

Project Number: 46270-002 Approval Number:

Country: Thailand Executing Agency: Department of Disaster Prevention and Management, Ministry of Interior

Project Procurement Classification: Implementing Agency: Department of Disaster Prevention and Mitigation, Ministry of Interior Procurement Risk: Low

Project Financing Amount: $ 2,000,000 ADB Financing: Cofinancing (ADB Administered): $2,000,000 Non-ADB Financing:

Project Closing Date: 28 February 2017

Date of First Procurement Plan: Date of this Procurement Plan: 9 September 2014

A. Methods, Thresholds, Review and 18-Month Procurement Plan

1. Procurement and Consulting Methods and Thresholds Except as the Asian Development Bank (ADB) may otherwise agree, the following process thresholds shall apply to procurement of goods and works.

Procurement of Goods and Works

Method Threshold Comments

Shopping Below $100,000 Cost for civil works to be administered by the executing agency

Consulting Services

Method Comments

Quality and Cost Based Selection (QCBS) Costs for consulting services to be administered by the executing agency

2. Goods and Works Contracts Estimated to Cost $1 Million or More The following table lists goods and works contracts for which the procurement activity is either ongoing or expected to commence within the next 18 months.

Package Number

5

General Description

Estimated Value

Procurement Method

Review [Prior /

Post/Post (Sample)]

Bidding Procedure

Advertisement Date

(quarter/year) Comments

Not applicable

3. Consulting Services Contracts Estimated to Cost $100,000 or More The following table lists consulting services contracts for which the recruitment activity is either ongoing or expected to commence within the next 18 months.

Appendix 6

27

Package Number

General Description

Estimated Value

Recruitment Method

Review (Prior / Post)

Advertisement Date

(quarter/year)

Type of Proposal

Comments

Project Management Support

$320,000 Individual Prior Q1/2015 International and national

Project Implementation Support

$570,000 Quality and Cost-based Selection

Prior Q1/2015 International and national (90:10)

4. Goods and Works Contracts Estimated to Cost Less than $1 Million and

Consulting Services Contracts Less than $100,000 (Smaller Value Contracts) The following table groups smaller-value goods, works and consulting services contracts for which the activity is either ongoing or expected to commence within the next 18 months.

Goods and Works

Package Number

General Description

Estimated Value

Number of

Contracts

Procurement Method

Review [Prior /

Post/Post (Sample)]

Bidding Procedure

Advertisement Date

(quarter/ year)

Comments

Civil works for flood-related community

improvements

$600,000 20 Shopping Prior/Post

B. Indicative List of Packages Required Under the Project The following table provides an indicative list of goods, works and consulting services contracts over the life of the project, other than those mentioned in previous sections (i.e., those expected beyond the current period).

Goods and Works

Package Number

General Description Estimated

Value (cumulative)

Estimated Number

of Contracts

Procurement Method

Review [Prior /

Post/Post (Sample)]

Bidding Procedure

Comments

Civil works $600,000 20 Shopping Prior/Post

Consulting Services

Package Number

General Description Estimated

Value (cumulative)

Estimated Number

of Contracts

Recruitment Method

Review (Prior / Post)

Type of Proposal

Comments

Project Management Support

$320,000 3 Individual Prior Simplified International and national

Project Implementation

Support

$570,000 1 QCBS Prior Simplified International and national

External Audits $5,000 1 QCBS Simplified National

Appendix 6

28

C. List of Awarded and On-going, and Completed Contracts

The following tables list the awarded and on-going contracts, and completed contracts.

1. Awarded and On-going Contracts

Goods and Works

Package Number

General Description

Estimated Value

Awarded Contract

Value

Procurement Method

Advertisement

Date

(quarter/ year)

Date of ADB Approval of

Contract Award

Comments

Not applicable

Consulting Services

Package Number

General Description Estimated

Value

Awarded Contract

Value

Recruitment Method

Advertisement Date

(quarter/year)

Date of ADB Approval of

Contract Award

Comments

Not applicable

2. Completed Contracts

Goods and Works

Package Number

General Description

Estimated Value

Contract Value

Procurement Method

Advertisement Date

(quarter/ year)

Date of ADB

Approval of

Contract Award

Date of Completion

Comments

Not applicable

Consulting Services

Package Number

General Description

Estimated Value

Contract Value

Recruitment Method

Advertisement Date

(quarter/ year)

Date of ADB

Approval of

Contract Award

Date of Completion

Comments

Not applicable

D. Non-ADB Financing

The following table lists goods, works and consulting services contracts over the life of the project, financed by Non-ADB sources.

Goods and Works

General Description Estimated

Value (cumulative)

Estimated Number of Contracts

Procurement Method

Comments

Not applicable

Consulting Services

General Description Estimated

Value (cumulative)

Estimated Number of Contracts

Recruitment Method

Comments

Not applicable

Appendix 7

29

SUMMARY POVERTY REDUCTION AND SOCIAL STRATEGY

Country: Thailand Project Title: Community-Based Flood Risk Management and Disaster Response in the Chao Phraya Basin

Lending/Financing Modality:

Project Grant Department/ Division:

Southeast Asia Department/Urban Development and Water (SEUW)

I. POVERTY AND SOCIAL ANALYSIS AND STRATEGY

Targeting classification: General Intervention (GI)

A. Links to the National Poverty Reduction and Inclusive Growth Strategy and Country Partnership Strategy

Since 2011, Thailand has been classified as an upper-middle-income country and, thus, sustained economic growth has been the focus rather than poverty reduction. Sustained economic growth continues to be the focus in the current country partnership strategy, together with regional cooperation and integration. The impact of the 2011 flood was significant and affected all levels of society. However, the most vulnerable were located in the more flood-prone areas (both urban and rural) and were affected most by the flood and its aftereffects. The project is not aimed at poverty reduction, since whole communities are affected, but it will indirectly contribute to poverty reduction and serve the most vulnerable households. The bottom-up community-based initiatives proposed under the project will promote inclusiveness and address social development issues relating to flood protection.

B. Results from the Poverty and Social Analysis during PPTA or Due Diligence

1. Key poverty and social issues. The 2011 flood affected all levels of society but poor and vulnerable groups were more affected because their livelihoods are more dependent on natural resources, having greater exposure to flooding (low-lying and rural areas), poorer quality housing, access difficulties (flooded roads). The poor and vulnerable have lower resilience to withstand and recover from flood disasters due to their low economic asset base, and they have fewer emergency and recovery opportunities available to them during and after the flood. 2. Beneficiaries. The expected beneficiaries of the project are the whole population of all five selected communities, which all suffered to varying degrees. Those households having higher level of exposure and greater vulnerability to flooding because their residences are in a flood-prone area will benefit the most, through better preparedness and small-scale flood protection works. Other stakeholders, such as local government, will also benefit from the Project through improved preparedness, response, and-post flood activities to better work for their communities. Central government will benefit indirectly through improved procedures and capacity building. 3. Impact channels. Selected communities, civil society organizations, local government, and government national water and flood management committees will benefit from a partnership approach to awareness building, capacity development, the development of action plans for effective flood risk management, and small-scale community-based civil works. 4. Other social and poverty issues. The scope of the Japan Fund for Poverty Reduction (JFPR) grant is focused on flood preparedness and response and post-recovery measures for communities living with annual floods and managing extreme events. However, the government may need to consider more long-term structural and policy measures to address underlying vulnerability such as land allocation and zoning policies, and support to improve economic assets based in flood-prone areas such that households have increased resilience to withstand and recover from extreme weather events. 5. Design features. The project has the following design features: (i) two pilot rural communities improve their flood risk management through improved integrated water resources management, (ii) three pilot urban communities improve their disaster preparedness and response through improved communications and flood management initiatives, (iii) small-scale community-designed flood prevention and/or protection infrastructure improvements implemented in five pilot communities provide increased protection from for floods of at least 10 years magnitude.

II. PARTICIPATION AND EMPOWERING THE POOR

1. Summarize the participatory approaches and the proposed project activities that strengthen inclusiveness and empowerment of the poor and vulnerable in project implementation. An inception workshop and stakeholder consultation workshops will be held for all stakeholders. A flood risk awareness program and flood drills will be established and practiced for local government and communities. Community-based flood risk management training and workshops, including disaster preparedness, emergency response, and post-disaster rehabilitation, will be held for all stakeholders. Communities will be actively involved in planning, designing, and implementing small-scale civil works. 2. If civil society has a specific role in the project, summarize the actions taken to ensure their participation. Civil society organizations will partner with government national water and flood management committees to identify vulnerability risk and prioritize actions, participate in capacity development training and awareness training, and identify small-scale community-based flood prevention and protection improvements. Further, civil society organizations will assist in developing and implementing (i) flood drills with the Department of Disaster Prevention and

Appendix 7

30

II. PARTICIPATION AND EMPOWERING THE POOR

Mitigation, (ii) community preparedness and response plans, and (iii) procedures for developing post-flood recovery plans.

3. Explain how the project ensures adequate participation of civil society organizations in project implementation. The project will engage experienced nongovernment organizations to facilitate mobilization and participation of local communities in project implementation.

4. What forms of civil society organization participation is envisaged during project implementation? H Information gathering and sharing H Consultation H Collaboration H Partnership 5. Will a project-level participation plan be prepared to strengthen participation of civil society as interest holders for affected persons, particularly the poor and vulnerable? Yes. No. The project consultants will prepare a participation plan to ensure that stakeholders are represented and, in particular, that local communities are equitably engaged.

III. GENDER AND DEVELOPMENT

Gender mainstreaming category: effective gender mainstreaming

A. Key issues. Women and girls are disproportionately affected by weather-related disasters. Gender differences are

linked to wider economic and social conditions as well as higher exposure due to gender-related roles, often based from home. While having responsibility to evacuate family and property during the flood and carry the burden of household activities (e.g., sourcing food supplies, cooking, washing clothes), when infrastructure and economic activity are disrupted after the disaster women are often excluded from public communication and decision-making channels.

B. Key actions. The project design includes targets to promote gender equality and women’s empowerment,

particularly at community level through equal access to consultation, training, and participation in decision making budgeted in overall project implementation activities. Gender action plan Other actions or measures No action or measure A gender action plan will be prepared during the first quarter of project grant implementation

IV. ADDRESSING SOCIAL SAFEGUARD ISSUES

A. Involuntary Resettlement Safeguard Category: A B C FI

1. Key impacts. The proposed project grant will primarily consist of capacity building activities with government and local communities. However, 30% of the grant budget is for civil works, which will be pilot projects developed in collaboration with five local communities. The pilot projects are expected to be small-scale flood-related infrastructure such as localized flood barriers, dykes, improved drainage, flood-free shelters, evacuation sites, etc. It is expected that no land acquisition will be required. Any land found to be necessary for the construction of the small-scale civil works will be public land or land donated by the community to provide enhanced flood protection for the benefit of the community. 2. Strategy to address the impacts. The grant will exclude any civil works that have potential for land acquisition and involuntary resettlement. All civil works will be selected and supervised by the communities in collaboration with the project team and local government units. 3. Plan or other Actions.

Resettlement plan Resettlement framework

Environmental and social management system arrangement

No action

Combined resettlement and indigenous peoples plan Combined resettlement framework and indigenous peoples

planning framework Social impact matrix

B. Indigenous Peoples Safeguard Category: A B C FI

1. Key impacts. The proposed project grant will be implemented in established urban and rural communities in the Chao Phraya River basin close to Metro Bangkok and is therefore not expected to have any significant impacts on indigenous peoples. Any ethnic groups in both the urban and rural communities in this area are expected to be well integrated into Thai society and have close links to Metro Bangkok.

Is broad community support triggered? Yes No Participation of the entire community will be expected and encouraged.

2. Strategy to address the impacts. Any subprojects which may have potential indigenous peoples impacts will not be eligible for project financing. Specific eligibility and screening criteria will be developed.

3. Plan or other actions.

Indigenous peoples plan Indigenous peoples planning framework Environmental and social management system

arrangement

Social impact matrix No action

Combined resettlement plan and indigenous peoples plan

Combined resettlement framework and indigenous peoples planning framework

Indigenous peoples plan elements integrated in project with a summary

Appendix 7

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V. ADDRESSING OTHER SOCIAL RISKS

A. Risks in the Labor Market

1. Relevance of the project for the country’s or region’s or sector’s labor market.

Low or not significant (L). unemployment underemployment retrenchment core labor standards

2. Labor market impact.

There will be no significant impact of the project on the local labor market.

B. Affordability

The project will comprise technical assistance and small pilot projects on a grant basis in selected communities. Therefore, there will be no significant affordability issues arising as a result of the project.

C. Communicable Diseases and Other Social Risks

1. There are no perceived risks from the project, therefore not applicable (NA): Communicable diseases Human trafficking Others (please specify) ______________

2. Describe the related risks of the project on people in project area. Not applicable.

VI. MONITORING AND EVALUATION

1. Targets and indicators:

(a) reduced vulnerability and improved resilience for future floods in five pilot communities;

(b) reduced losses and damage from future floods;

(c) greater community involvement in flood preparedness, flood response, and post-flood recovery; and

(d) use of a bottom-up approach that complements the national disaster prevention and mitigation plan and promotes improved coordination between community associations and local government units.

2. Required human resources: Experienced consultants (e.g., community development specialists, gender specialists) will be engaged by the executing agency to assist in project management, planning, design, and implementation. 3. Information in project administration manual: To be determined at commencement of the project by the consultants and executing agency with formulation of the grant implementation manual. 4. Monitoring tools: To be determined at commencement of the project by the consultants and executing agency with preparation of the grant implementation manual.

Source: Asian Development Bank.