Performance Indicators for Monitoring and Evaluation of Capacity

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					 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                 Gaps and Needs

Institutional    National authority     Local authorities &
capacity         upgraded and           network to be
                 enlarged significantly developed

National program Published              •Delivery to
                                        provinces and cities;
                                        •Updating.

National         Published the initial Enhancing capacity
communication    NC and a national      of local and sectoral
and gas          expert team formed teams
inventories      The 2nd NC in

                 implementation
Areas                Status               Gaps and Needs

Vulnerability and    some work done       Risk and vulnerability
adaptation                                assessment
assessment                                Closer links with Nat’l
                                          and local programme
                                          for preventing from
                                          climate disasters
Implementation of   Limited work          More demonstration &
adaptation measures                       program/plans


Assessment for       •More studies;       •Policy instruments;
implementation of    •Combination with    •Technologies
mitigation options   energy               •Human resources
                     conservation and     •Networking
                     emission reduction
                     (EC&ER)              •Funds
                                          •Information
Areas          Status              Gaps & Needs


Research and Current system        Weak in modeling
systematic   enhanced and          and analysis
observation  improved
Development Improved in           •Weak in design
and transfer of manufacturing      and R&D,
technology      capacity           •Slow and limited
                Studies on        diffusion because
                proposals on the   of lack of financial
                innovative         resources and
                mechanism for      strong incentives
                D&T&T of ESTs
Areas       Status                        Gaps & Needs

Decision    Improved with stable          •Information sharing
making and core human                     and coordination;
int’l       resources                     •Decision-making
                                          support
negotiation
                                          •experience

CDM         •DNA and a managing           •Carbon market
            centre in place               analysis
            •Limited groups of experts    •Trading skills
            to develop projects
                                          •Combination with
            •A website and info system;
                                          D&T&T
            •A range of projects
            developed                     •Market
                                          infrastructure
Areas              Status             Gaps & Needs

Article 4.8, 4.9   Little work        Lack of
                                      methodologies
                                      and experts
Education,         •Leaders’          •Less links with
training and       awareness          routine
public             •Media progress    education
awareness          •Training          •Far lack of local
                   officials and      training
                   more workshops     •Further needs
                   •Link to routine   for awareness
                   business
Areas            Status         Gaps & Needs
Information,     limited        • Cross-sectors;
networking                      • public access;
                                • deliveries to local
                                authorities, companies,
                                and people
Enhancement      Some           • Systematic design and
and/or           progresses     impact assessment;
creation of an   together       • weak implementation
enabling         with efforts   capacity
environment      for EC&ER      • 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!

     wangkert@ruc.edu.cn
      zouji@ruc.edu.cn

Programme of Energy and Climate
       Economics (PECE)