Ke Wang and Ji Zou Programme of Energy and Climate Economics

1. UNFCCC Expert Meeting on experiences with performance indicators for monitoring and evaluation of capacity-building in developing countries South American Copacabana HotelRio 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 • Performance indicators • Objective monitoring and evaluation • Process monitoring and evaluation • Steps and modalities for 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:135trainees 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)

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.cnzouji@ruc.edu.cnProgramme of Energy and Climate Economics (PECE)