USAID’s Approach to Monitoring Capacity Building Activities Experiences, lessons learned, and best practices Duane Muller, USAID November 5, 2007 UNFCCC Experts Meeting on Capacity Building St John’s, Antigua

USG commitment to Capacity Building Range of agencies and programs committed to capacity building for climate change Efforts by industry, states, local governments, universities, schools and NGOs

Types of assistance USAID provides technical assistance capacity building & institutional strengthening training and scholarships food aid and disaster relief infrastructure construction small-enterprise loans budget support enterprise funds credit guarantees

USAID’s Global Climate Change Program Assistance to over 45 countries: Clean energy technology Sustainable land use/ forestry Adaptation to climate change Capacity building=cross cutting

Monitoring & Evaluation Complementary roles

Monitoring and Evaluation MONITORING Clarify program objectives Link project activities to their resources/objectives Translate into measurable indicators/set targets Collect data on indicators Report on progress EVALUATION Analyzes why and how intended results were/were not achieved Assesses contributions of activities to results Examines results not easily measured Explores unintended results Provides lessons learned/recommendations

Experiences with Monitoring Traditional Project Monitoring vs. Performance Monitoring

Traditional Project Monitoring Tells us what is happening: Are project activities or tasks on schedule? Is spending consistent with spending plans? “LIMITED FOCUS”

What does performance monitoring involve? Tools for measurement Assessment of current situation Performance Baseline Performance Target Data collection methods

Performance Targets Defines the specific, planned level of result to be achieved for each indicator, within an explicit timeframe. How much?Quantity How good?Quality When? Time

8 Steps to Monitoring 1)Indicators/Definitions 2)Data source 3)Method: data collection 4)Frequency: data collection 5) Responsibilities: acquiring data 6) Data analysis plans 7) Plans for evaluations 8) Plans for reporting/using performance information

Performance Indicators What works and what doesn’t

Two types of Indicators OUTPUT Measures immediate things Example: Number of people trained OUTCOME Measures the impact Example: Number of tons of CO 2 sequestered

PERFORMANCE INDICATORUNITTYPE Quantity of greenhouse gas emissions, measured in metric tons CO 2 equivalent, reduced or sequestered as a result of USG assistance in energy, industry, urban, and/or transport sectors CO 2 equivalent Outcome Number of people trained in global climate change including UN Framework Convention on Climate Change, greenhouse gas inventories, mitigation, and adaptation analysis personsOutput Number of laws, policies, agreements or regulations addressing climate change proposed, adopted, or implemented as a result of USG assistance Policies/ agreements, etc. Outcome

Characteristics of Good Performance Indicators 1)Valid 2)Reliable 3)Useful for Management 4)Adequate 5)Timely 6)Practical

4 steps to selecting performance indicators 1) Clarify the results statements 2) Develop a list of possible indicators 3) Assess each possible indicator 4) Select the “best” performance indicator

Performance Indicators can serve as useful tools Measure inputs, activities, outputs, outcomes and some impacts Can be integral to a monitoring system Communicate achievements Identify problems Serve as a management tool

Performance Indicators: Limitations Don’t capture what is going on at the local level Don’t take into account the enabling environment Broad indicators can be subjective Often have policy implications

Lessons Learned: Indicators Avoid broad statements Identify targets for change Study the activities & strategies Be inclusive Be selective

Foreign Assistance Reform A New Strategic Framework for Foreign Assistance

The Problem Foreign assistance has not been strategically focused Lack of systematic goal and subsequent indicators Inability to track funds and associated results centrally

Foreign Assistance Coordination and Tracking System (FACTS) Pilot tested in 2007 Instrument for collecting standardized data improve the coordination and efficiency increase transparency of assistance funds improving performance and accountability for results Lessons learned Feasible Requires resources and data, takes time, involves communication

Paris Declaration on AID Effectiveness Taking action to strengthen ownership, alignment, harmonization, results and mutual accountability of foreign aid.

Paris Declaration on Aid Effectiveness (2005) Over 100 signatories Capacity development is an endogenous process Emphasis on indicators at the local level

In sum, we have we learned… Monitoring is complex Performance indicators can be useful tools, but there are limitations FACTS –Considerable resources –Time requirement –Constant dialogue/communication –Refinement with experience

Where do we go from here….. Is the Paris Declaration effective for capacity building monitoring and evaluation efforts? Should the ‘country driven approach’ be applied to capacity building monitoring and evaluation efforts?

For further information: Duane Muller USAID EGAT/ESP/GCC Tel Fax Website: Keyword: climate change