Transcript UNFCCC Expert Meeting on experiences with performance indicators for monitoring and evaluation of capacity-building in developing countries South American Copacabana Hotel Rio De.

UNFCCC Expert Meeting on experiences with performance indicators for
monitoring and evaluation of capacity-building in developing countries
South American Copacabana Hotel
Rio De Janeiro, Brazil
6-7 November 2008
Performance Indicators for Monitoring and Evaluation of
Capacity-Building Activities in Developing Countries for
Combating Global Warming: China’s Perspectives
Ke Wang and Ji Zou
Programme of Energy and Climate Economics
Contents
• Purposes and rationales
• Monitoring and Evaluation Steps and Uses
of the results
• Indicators
• Case on the evaluation of capacity
building activities
• Practices in China: gaps and needs
• Conclusion
Purpose of monitoring and evaluation
It’s a tool to improve quality of capacity building
activities:
• Evaluate adequacy of the implementation of the
convention;
• Identify the gap of capacity and then the needs
for capacity building;
• Provide for guidance to determine priorities for
capacity building during planning;
• Share experiences and lessons learned for
better performance; and
• The mechanism of monitoring and evaluation in
the context of UNFCCC guaranteeing the
process in tracks.
Rationales-performance indicators
• Performance indicators
– Objective monitoring and evaluation
– Process monitoring and evaluation
• Steps and modalities for M&E
Rationales-steps
Observe performance in climate protection
Evaluate level of capacity and compare with the
requirement of meeting the Convention’s ultimate goals
Identify the gap of capacity and the needs for capacity building
Develop programmes and plans to conduct CB activities
To evaluate the quality of CB activities: process evaluation
or
To evaluate the improvement of capacity level: objective evaluation
With the mandate of Decision 2/CP7,
we select process evaluation strategy
to focus on monitoring and evaluation
of CB activities together with evaluation
of performance/capacity level.
Steps
• Set up mandates by COP/SBI and establish a task
force to deal with the operation (Secretariat? An
expert group? International organizations?);
• Formulate a mechanism to make all stakeholders
together for communication, data
provision/submission, and analysis (e.g., NC,
parties’ submissions, standard report format etc);
• Accept rules including adoption of indicators, data
collection and information sources, etc;
• Analysis and make conclusion of the evaluation;
• Integration of the conclusion into future plan; and
• Report to and to be adopted by COP/MOP
Uses of the results of monitoring
and evaluation
• Assess the adequacy of the implementation of
the Convention and the Protocols
• Sharing experiences and lessons learned
among parties and organizations
• Support the development of future plan by
identification of gap and priorities
• Support optimal allocation of resources for
capacity building
• Support 5-year comprehensive review mandated
by Decision 2/CP7
Indicators 1
Principles of design
– Easy to use and not complicated;
– Data and information available;
– Not too costly;
– Covering key aspects of CB activities
Indicators 2: process-oriented
Evaluation of CB activities: what we have done?
• Coverage of CB activities: if they have covered
most of the domains/areas identified in Decision
2/CP7?
• Range and size of beneficiaries: coverage of
stakeholders, number of key beneficiaries (%)
• Project numbers and amount of financial
resources (in terms of percentage or growth rate)
• Timing: how quick and how timely?
Indicators 3: objective-oriented
Evaluation of Capacity Level
• Human resources and endogenous
capacity (performance of managers,
officials, experts)
• Institution performance (companies,
institutes, and NGOs) in specific areas
• Institutional and legal system (institutional
arrangement and integrity of enabling legal
and regulation basis including design and
implementation)
Case on the evaluation of capacity
building activities
• UK-China Joint Capacity Building Project
on Climate Change for Provincial Level
Decision-Makers in China, UK Climate
Change Challenge Fund
• Project implemented by Renmin University
of China
– June 2002-March 2003 (Phase I)
– June 2003-March 2004 (Phase II)
Indicators 2: process-oriented
Evaluation of CB activities: what we have done?
• Coverage of CB activities: Education, training and
public awareness
• Range and size of beneficiaries:135 trainees from
15 provinces (most are central and western
provinces)
• Project numbers and amount of financial
resources: two phase project and totally 90
thousands pounds from UK
• Timing: how quick and how timely? (The two-day
training courses)
Survey Review on the Project Performance
• Survey methods
– Questionnaire survey at the end of training
courses
– Telephone Return Visit
• Performance evaluation
– Comparing the difference of trainees’
awareness on climate change before and after
training course
– Change of trainees’ attitude on whether to
consider climate change issue in their
decision-making process
More Gaps&Needs for Capacity Building
for Provincial Level Decision-Makers
• Implement the National Plan for Coping with
Climate Change at Provincial level:
– build and improve management systems,
coordinating mechanisms and special institutions on
climate change
– organize teams of local experts to deal with climate
change
– make corresponding policies and measures in light of
the local geographic environment, climate conditions
and economic development level
– set up statistical and monitoring systems on climate
change, and
– organize and coordinate local actions to slow climate
change
From project level to national level
• Performance evaluation at national level
needs to summarize all performance at
project level
• Performance indicators suitable for national
level M&E are specifically required
• Weak capacity of developing countries to
carry out national level M&E for capacity
building activities
Practices in China: experiences
and lessons learned
•
•
•
•
•
Political will and a matter of development,
Learning by doing,
Area by area and sector by sector,
All the changes depend on local progresses,
One of the challenges is to deliver knowledge,
information and awareness to local government,
institutions, industries, and citizens, given so
large and imbalanced population and territory;
and
• A long-way to go to improve the whole country’s
capacity (continuous efforts needed)
Areas
Status
Institutional
capacity
National authority
Local authorities &
upgraded and
network to be
enlarged significantly developed
National program Published
National
communication
and gas
inventories
Gaps and Needs
•Delivery to
provinces and cities;
•Updating.
Published the initial Enhancing capacity
NC and a national
of local and sectoral
expert team formed teams
The 2nd NC in
implementation

Areas
Status
Gaps and Needs
Vulnerability and
adaptation
assessment
some work done

Implementation of
Limited work
adaptation measures
Assessment for
implementation of
mitigation options
•More studies;
•Combination with
energy
conservation and
emission reduction
(EC&ER)
Risk and vulnerability
assessment
Closer links with Nat’l
and local programme
for preventing from
climate disasters
More demonstration &
program/plans
•Policy instruments;
•Technologies
•Human resources
•Networking
•Funds
•Information
Areas
Status
Gaps & Needs
Research and Current system
systematic
enhanced and
observation
improved
Weak in modeling
and analysis
Development Improved in
and transfer of manufacturing
technology
capacity
Studies on
proposals on the
innovative
mechanism for
D&T&T of ESTs
•Weak in design
and R&D,
•Slow and limited
diffusion because
of lack of financial
resources and
strong incentives
Areas
Status
Decision
Improved with stable
making and core human
int’l
resources
negotiation
CDM
•DNA and a managing
centre in place
•Limited groups of experts
to develop projects
•A website and info system;
•A range of projects
developed
Gaps & Needs
•Information sharing
and coordination;
•Decision-making
support
•experience
•Carbon market
analysis
•Trading skills
•Combination with
D&T&T
•Market
infrastructure
Areas
Status
Gaps & Needs
Article 4.8, 4.9
Little work
Lack of
methodologies
and experts
Education,
training and
public
awareness
•Leaders’
awareness
•Media progress
•Training
officials and
more workshops
•Link to routine
business
•Less links with
routine
education
•Far lack of local
training
•Further needs
for awareness
Areas
Status
Gaps & Needs
Information,
networking
limited
• Cross-sectors;
• public access;
• deliveries to local
authorities, companies,
and people
Enhancement
and/or
creation of an
enabling
environment
Some
progresses
together
with efforts
for EC&ER
• Systematic design and
impact assessment;
• weak implementation
capacity
• Weak enforcement
• Policy infrastructure
Conclusions
• Huge capacity building are demanded,
especially at local level, given so large and
imbalanced population and territory in
China
• The available financial and technological
resources are far from adequacy
Conclusions
• PIs are Important and necessary to guarantee
the quality of implementation of Decision 2/CP7
• Indicators should be easy and substantial
• National level performance evaluation means
new capacity building activities needs
• Nomination is needed for special group of
people/organizations to conduct regular
monitoring and evaluations, and
• The results should be widely used as guidance
and basis for action program development and
performance evaluation.
Thank you for your attentions!
[email protected]
[email protected]
Programme of Energy and Climate
Economics (PECE)