Transcript Workshop background Expert Workshop on Monitoring and Evaluating Capacity Building in Developing Countries Rio de Janeiro, Brazil, 6-7 November, 2008 Paul Desanker Financial and Technical.

Workshop background
Expert Workshop on Monitoring and Evaluating
Capacity Building in Developing Countries
Rio de Janeiro, Brazil, 6-7 November, 2008
Paul Desanker
Financial and Technical Support
UNFCCC secretariat
http://www.unfccc.int
Outline
• Introduce the CB framework
• Present progress to date on monitoring and
evaluation
• Objectives of the Workshop
• Summary of last workshop
• Levels of capacity and capacity-building
• Give overview of agenda
Framework | Objective of CB
Decision 2/CP.7:
Capacity building should assist developing countries to
build, develop, strengthen, enhance, and improve their
capabilities to achieve the objective of the Convention
through the implementation of the provisions of the
Convention and the preparation for their effective
participation in the Kyoto Protocol process.
Framework | Guiding principles
• Build on work already undertaken
• Promote SD and contribute to the effective implementation of the
Convention and the preparation for participation in the Kyoto
Protocol
• Be country-driven, address specific needs and conditions, be
consistent with their national sustainable development strategies,
reflect national initiatives and national priorities
• Continuous process, based on priorities of developing countries
• Maximize synergies between environmental agreements
• Be undertaken in an effective, efficient, integrated and
programmatic manner, taking into account specific national
circumstances
• Take into account special circumstances of LDCs and SIDS
• Mobilize existing national, subregional and regional institutions and
private sector in developing countries and build on existing
processes
Framework | Scope of priority areas in decision 2/CP.7
1.
2.
3.
4.
5.
6.
7.
8.
Institutional CB
(National Focal Point)
Enabling environment
National
Communications
National climate
change programmes
GHG inventories
Vulnerability and
adaptation assessment
CB for implementation
of adaptation measures
Assessment for
implementation of
mitigation options
9.
10.
11.
12.
13.
14.
15.
Research and
systematic observation
Development and
transfer of technology
Decision-making and
participation in
international
negotiations
CDM
Article 4.8 and 4.9 (LDC
Work Programme,
NAPA)
Education, training and
public awareness
Information and
networking
Framework | Comprehensive reviews (evaluation)

Annual monitoring of implementation through submissions and
synthesis of national reports

Comprehensive reviews every 5 years (second started in May 2008)

Based on information provided by Parties in their national
communications, submissions and other reports (both Annex II on
what they are supporting, and NAI on what they are receiving and
assessment of effectiveness of activities implemented)
 Outcomes of the 1st comprehensive review at COP 10:
 While some progress made, major gaps exist, and access
to financial resources remains an issue
 Identified key factors on institutions, funding and
approaches
Brief primer … (for the experts)
• The Subsidiary Bodies under the Convention (SB’s) meet twice a
year (May/June and Nov/Dec)
• SBI = Subsidiary Body for Implementation
• The Conference of Parties (COP) and conference of Parties
meeting of Parties to the KP (CMP), meet once a year, jointly with
the second SB session
• Two Adhoc Working Groups (AWG) also meeting:
– AWG on Long-term cooperative action (AWG-LCA) meeting
over two years till December 2009
– AWG on Kyoto Protocol (AWG-KP)
– Next sessions of all the above bodies will be in Poznan Dec
2008
Framework | Review process (monitoring and evaluation steps)





COP 7 (2001)
 Elaboration of CB framework first step in the Monitoring
 Regular monitoring, using information from National Communications,
reports of the secretariat, GEF and other agencies
 Comprehensive review at COP 10
SBI 18
 Submissions on comprehensive review
 TOR for review
SBI 19 / COP 9
 Paper with analysis of the implementation of the Framework
 Request for technical paper, based on TOR for review
 Request for technical meeting
SBI 20
 Technical paper on range and effectiveness of CB
 Meeting of CB practitioners, Dec 2004, Buenos Aires, Argentina at COP
10
 Completion of the first comprehensive review
SBI 25 (Nov 2006, COP 12/CMP 2)
 Steps on regular monitoring (decisions 4/CP.12, 6/CMP.2)
Framework | Review process (monitoring and evaluation steps)



SBI 25 (Nov 2006, COP 12/CMP 2)
 Steps on regular monitoring (decisions 4/CP.12, 6/CMP.2)
 Structured format developed for annual synthesis report on capacitybuilding
SBI 27 (Dec 2007, COP 13/CMP 3)
 Annual synthesis report on CB based on new format
 Invitation to Parties to submit information on their experiences with M&E
at the national level
 Request to sec to prepare a technical paper on approaches to M&E at
different levels
 Mandate for this workshop given by the COP
SBI 28
 Terms of reference for second comprehensive concluded by the SBI
 Review (“evaluation”) of CB to be conducted at SBI 30 (June 2009) and
completed at SBI 31/COP 15 (December 2009)
Framework | Workshop Mandate
COP 13 took note of approaches to monitoring and evaluation of capacity-building at
different levels that were identified at a CB workshop in Antigua & Barbuda’s last
year, and recognized that further work was needed to identify monitoring and
evaluation approaches relevant at the national and global levels.
COP 13 also invited Parties to submit information on their experiences with monitoring
and evaluation at the national level.
Then requested the secretariat to prepare a technical paper containing approaches to
monitoring and evaluation at different levels and
Further requested the secretariat to convene a meeting, before COP 14, to discuss
experiences in using performance indicators for the monitoring and evaluation of
capacity-building at the national level, The report on the outcome of this meeting will
be considered by SBI 29.
Framework | Workshop Objectives

Share experiences in the application of performance
indicators in monitoring and evaluation of capacity-building at the
national level, including practical examples of such activities

Share experiences and lessons learned in approaches used
in monitoring and evaluating capacity-building in various fields, in
order to explore how such methods could be applied to capacitybuilding for climate change, mostly based on findings of the
technical paper

Share information on potential conceptual frameworks for
development and application of performance indicators for
capacity-building for climate change under the Convention at the
national and global levels.
Summary of Last Workshop
• A first Expert workshop on monitoring and evaluating capacity
building activities took place on 5-6 November 2007 in Antigua and
Barbuda
• Discussions at the workshop focused on the experiences of Parties
in capacity-building and the experiences of intergovernmental
organizations and other bodies in monitoring and evaluating
capacity-building.
• Copies of main presentations and the report of the workshop to the
SBI are included in your workshop package
Summary of Last Workshop
• Some guiding principles and observations came out from the
workshop, in particular:
– Performance indicators would need to be chosen sparingly with
the emphasis on being practical and useful to the process of
capacity-building, rather than fulfilling a general desire for
monitoring
– The choice of a baseline for future monitoring and evaluation of
progress emerged as another important issue
– Monitoring and evaluation should support the long-term nature
of capacity-building in a practical way, without interfering with
the process of capacity development itself.
Levels of Capacity and Capacity-building
• From the Antigua workshop, two dimensions for integrating capacity
and capacity-building became evident in how capacity and capacitybuilding can be viewed: These can be framed as follows:
• ‘Horizontal integration’: Capacity is viewed and developed at the
levels of individuals, organisations, and national or societal
systems (governmental, sectoral or social), mainly through
projects or programmes or stand-alone efforts aimed at
individuals;
• ‘Vertical integration’: Capacities are viewed and aggregated in
terms of the local, national, regional or global levels, and can
be further built and enhanced through the operation of networks of
players (including local and central governments) orienting their
efforts towards an over-arching cause.
Framework | Overview of agenda
TODAY
 Session I: Setting the scene
 (this) Background
 Presentation on the Technical Paper

Session II: Application of performance measures in different organizations
 Presentations
 General discussion on key lessons learned
 Welcome cocktail <target: 6:30 pm departure>
TOMORROW
 Session III: Application of performance measures at the national level
 Presentations by Parties

Session IV: Enhancing CB through M&E: breakout groups

Session V: A case study on develop performance indicators for technology transfer
 Presentation and questions & answer session