1. 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 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

2. 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

3. 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.

4. Rationales-performance indicators
Objective monitoring and evaluation
Process monitoring and evaluation
Steps and modalities for M&E
Fundamental and important element of M&E

5. 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

6. 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.

7. 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

8. 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

9. Indicators 1 Principles of design Easy to use and not complicated;
Data and information available;
Not too costly;
Covering key aspects of CB activities

10. 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?

11. 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)

12. 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)

13. 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)

14. 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

15. 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

16. 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

17. 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)

18. Institutional capacity
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 formed
The 2nd NC in implementation
Enhancing capacity of local and sectoral teams
强调NCSA
基于自需求评估
Update
Department of Climate Change
National Development and Reform Commission
A special institution was established in the NDRC responsible for organizing and coordinating work on climate change all over the country.

19. Areas
Status
Gaps and Needs
Vulnerability and adaptation assessment
some work done
Risk and vulnerability assessment
Closer 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

20. 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 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

21. Decision making and int’l negotiation
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

22. 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

23. 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

24. 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

25. 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.

26. Thank you for your attentions. wangkert@ruc. edu. cn zouji@ruc. edu
Thank you for your attentions! Programme of Energy and Climate Economics (PECE)