1. Monitoring and Assessing Capacity Building Activities in Developing Countries for Combating Global Warming: Approaches Professor Ji ZOU UNFCCC Expert Workshop on Monitoring and Evaluating Capacity Building in Developing Countries Heritage Hotel, St. John’s Antigua & Barbuda, November 5-6, 2007

2. Contents Purposes and rationales Indicators and baselines Steps Uses of the results of monitoring and evaluation Practices in China Conclusion

3. 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.

4. 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.

5. 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

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

8. 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?

9. 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)

10. 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.

11. 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

12. 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

13. 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)

14. AreasStatusGaps and Needs Institutional capacity National authority upgraded and enlarged slightly Local authorities & network to be developed National program Published for the 1st version of national program Delivery to provinces and cities; Updating. National communication and gas inventories Published the initial NC and a national expert team formed Preparing the 2nd NC and develop local and sectoral teams

15. AreasStatusGaps and Needs Vulnerability and adaptation assessment Limited work done Development program and more case/pilot studies and demonstration Implementation of adaptation measures Limited workMore 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

16. AreasStatusGaps & Needs Research and systematic observation Current system enhanced and improved Weak in modeling and analysis 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

17. AreasStatusGaps & 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

18. AreasStatusGaps & Needs Article 4.8, 4.9Little workLack 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

19. AreasStatusGaps & 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

20. 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.

21. Thank you for your attentions! zouji@ruc.edu.cn or zouji61@126.com zouji@ruc.edu.cn zouji61@126.com