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Performance Indicators for Monitoring and Evaluation of Capacity-Building Activities in Developing Countries for Combating Global Warming: China

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Title: Performance Indicators for Monitoring and Evaluation of Capacity-Building Activities in Developing Countries for Combating Global Warming: China


1
Performance Indicators for Monitoring and
Evaluation of Capacity-Building Activities in
Developing Countries for Combating Global
Warming Chinas Perspectives
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
  • 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
  • Its 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 ME

5
Rationales-steps
Observe performance in climate protection
Evaluate level of capacity and compare with the
requirement of meeting the Conventions 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 beneficiaries135 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 GapsNeeds 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 ME are specifically required
  • Weak capacity of developing countries to carry
    out national level ME 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 countrys
    capacity (continuous efforts needed)

18
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
19
Areas Status Gaps and Needs
Vulnerability and adaptation assessment some work done Risk and vulnerability assessment Closer links with Natl 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 (ECER) 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 DTT of ESTs Weak in design and RD, Slow and limited diffusion because of lack of financial resources and strong incentives
21
Areas Status Gaps Needs
Decision making and intl 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 DTT 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 ECER 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_at_ruc.edu.c
nzouji_at_ruc.edu.cnProgramme of Energy and
Climate Economics (PECE)
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