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

UNFCCC Expert Meeting on experiences with performance indicators for monitoring and evaluation of capacity-building in developing countries South American Copacabana HotelRio De Janeiro, Brazil6-7 November 2008

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 evaluationIt’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 evaluationor

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 evaluationof 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-orientedEvaluation 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-orientedEvaluation 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-orientedEvaluation 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 cou

rses– Telephone Return Visit

• Performance evaluation– Comparing the difference of trainees’ awarene

ss 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 capacity

National authority upgraded and enlarged significantly

Local authorities & network to be developed

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

National communication and gas inventories

Published the initial NC and a national expert team formedThe 2nd NC in implementation

Enhancing capacity of local and sectoral teams

Areas Status Gaps and Needs

Vulnerability and adaptation assessment

some work done Risk and vulnerability assessmentCloser links with Nat’l and local programme for preventing from climate disasters

Implementation of adaptation measures

Limited work More demonstration & program/plans

Assessment for implementation of mitigation options

•More studies;

•Combination with energy conservation and emission reduction (EC&ER)

•Policy instruments;

•Technologies

•Human resources

•Networking

•Funds

•Information

Areas Status Gaps & Needs

Research and systematic observation

Current system enhanced and improved

Weak in modeling and analysis

Development and transfer of technology

Improved in manufacturing capacityStudies 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 Gaps & Needs

Decision making and int’l negotiation

Improved with stable core human resources

•Information sharing and coordination;•Decision-making support•experience

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

•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!

wangkert@ruc.edu.cnzouji@ruc.edu.cn

Programme of Energy and Climate Economics (PECE)