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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.
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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 CountriesHeritage Hotel, St. John’sAntigua & Barbuda, November 5-6, 2007
Contents
• Purposes and rationales• Indicators and baselines• Steps• Uses of the results of monitoring and
evaluation• Practices in China• Conclusion
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.
Purpose: in concreteIt’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.
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 evaluationor
To evaluate the improvement of capacity level: objective evaluation
With the mandate of Decision 2/CP7, we select process evaluation strategy to focus on monitoring and evaluation of CB activities together with evaluationof performance/capacity level.
Indicators 1
Principles of design– Easy to use and not complicated;– Data and information available;– Not too costly;– Covering key aspects of CB activities
Indicators 2: process-orientedEvaluation 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?
Indicators 3: objective-orientedEvaluation 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)
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.
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
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
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)
Areas Status Gaps 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
Areas Status Gaps and NeedsVulnerability and adaptation assessment
Limited work done
Development program and more case/pilot studies and demonstration
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
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
•Weak in design and R&D,•Slow and limited diffusion because of lack of financial resources and strong incentives
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
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
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
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.
Thank you for your attentions!