Transcript UNFCCC Expert Workshop on Monitoring and Evaluating Capacity Building in Developing Countries Heritage Hotel, St.

UNFCCC Expert Workshop on Monitoring and Evaluating
Capacity Building in Developing Countries
Heritage Hotel, St. John’s
Antigua & Barbuda, November 5-6, 2007
Monitoring and Assessing Capacity Building
Activities in Developing Countries for
Combating Global Warming: Approaches
Professor Ji ZOU
Contents
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Purposes and rationales
Indicators and baselines
Steps
Uses of the results of monitoring and
evaluation
• Practices in China
• Conclusion
Purposes: in general
• Without substantial capacity building in
Non-Annex I parties, it will be hopeless to
reach the ultimate objectives of the
Convention, given the increasing share of
GHG emissions from Non-Annex I Parties
• For better implementation of Decision
2/CP7 (Marrakesh Accords) with higher
effectiveness and efficiency.
Purpose: in concrete
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 guarantee the process in
tracks.
Rationales
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.
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 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)
Baseline: Programs/Plans on
Capacity Building at National, Local,
and Sectoral Level
• To set up a ruler against the gaps between
requirement of meeting the ultimate goals
of the Convention and the real local
performances;
• Compare the observation of real
performance of CB activities (by means of
indicators) with the baselines to identify
gaps and needs for CB.
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
Practices in China: experiences
and lessons learned
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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
Gaps and Needs
Institutional
capacity
National authority Local authorities
upgraded and
& network to be
enlarged slightly developed
Published for the •Delivery to
1st version of
provinces and
national program cities;
•Updating.
National
Published the
Preparing the
communication initial NC and a
2nd NC and
and gas
national expert
develop local
inventories
team formed
and sectoral
teams
National
program
Areas
Status
Vulnerability and Limited work
adaptation
done
assessment
Implementation
of adaptation
measures
Assessment for
implementation
of mitigation
options
Limited work
•More studies;
•Combination with
energy
conservation and
emission reduction
(EC&ER)
Gaps and Needs
Development
program and
more case/pilot
studies and
demonstration
More
demonstration &
program/plans
•Policy instruments;
•Technologies
•Human resources
•Networking
•Funds
Areas
Status
Gaps & Needs
Research and
systematic
observation
Current system Weak in modeling
enhanced and and analysis
improved
Development
and transfer of
technology
Improved in
manufacturing
capacity
•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
core human
and 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
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
• Important and necessary to guarantee the
quality of implementation of Decision
2/CP7
• Indicators should be easy and substantial
• 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!
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or
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