Paul Desanker Financial and Technical Support UNFCCC secretariat unfccct

1. Workshop background Expert Workshop on Monitoring and Evaluating Capacity Building in Developing Countries Rio de Janeiro, Brazil, 6-7 November, 2008 Paul Desanker Financial and Technical Support UNFCCC secretariat http://www.unfccc.int

2. Outline • Introduce the CB framework • Present progress to date on monitoring and evaluation • Objectives of the Workshop • Summary of last workshop • Levels of capacity and capacity-building • Give overview of agenda

3. Framework | Objective of CB Decision 2/CP.7: Capacity building should assist developing countries to build, develop, strengthen, enhance, and improve their capabilities to achieve the objective of the Convention through the implementation of the provisions of the Convention and the preparation for their effective participation in the Kyoto Protocol process.

4. Framework | Guiding principles • Build on work already undertaken • Promote SD and contribute to the effective implementation of the Convention and the preparation for participation in the Kyoto Protocol • Be country-driven, address specific needs and conditions, be consistent with their national sustainable development strategies, reflect national initiatives and national priorities • Continuous process, based on priorities of developing countries • Maximize synergies between environmental agreements • Be undertaken in an effective, efficient, integrated and programmatic manner, taking into account specific national circumstances • Take into account special circumstances of LDCs and SIDS • Mobilize existing national, subregional and regional institutions and private sector in developing countries and build on existing processes

5. Institutional CB (National Focal Point) Enabling environment National Communications National climate change programmes GHG inventories Vulnerability and adaptation assessment CB for implementation of adaptation measures Assessment for implementation of mitigation options Framework | Scope of priority areas in decision 2/CP.7 • Research and systematic observation • Development and transfer of technology • Decision-making and participation in international negotiations • CDM • Article 4.8 and 4.9 (LDC Work Programme, NAPA) • Education, training and public awareness • Information and networking

6. Framework | Comprehensive reviews (evaluation) • Annual monitoring of implementation through submissions and synthesis of national reports • Comprehensive reviews every 5 years (second started in May 2008) • Based on information provided by Parties in their national communications, submissions and other reports (both Annex II on what they are supporting, and NAI on what they are receiving and assessment of effectiveness of activities implemented) • Outcomes of the 1st comprehensive review at COP 10: • While some progress made, major gaps exist, and access to financial resources remains an issue • Identified key factors on institutions, funding and approaches

7. Brief primer … (for the experts) • The Subsidiary Bodies under the Convention (SB’s) meet twice a year (May/June and Nov/Dec) • SBI = Subsidiary Body for Implementation • The Conference of Parties (COP) and conference of Parties meeting of Parties to the KP (CMP), meet once a year, jointly with the second SB session • Two Adhoc Working Groups (AWG) also meeting: • AWG on Long-term cooperative action (AWG-LCA) meeting over two years till December 2009 • AWG on Kyoto Protocol (AWG-KP) • Next sessions of all the above bodies will be in Poznan Dec 2008

8. Framework | Review process (monitoring and evaluation steps) • COP 7 (2001) • Elaboration of CB framework first step in the Monitoring • Regular monitoring, using information from National Communications, reports of the secretariat, GEF and other agencies • Comprehensive review at COP 10 • SBI 18 • Submissions on comprehensive review • TOR for review • SBI 19 / COP 9 • Paper with analysis of the implementation of the Framework • Request for technical paper, based onTORfor review • Request for technical meeting • SBI 20 • Technical paper on range and effectiveness of CB • Meeting of CB practitioners, Dec 2004, Buenos Aires, Argentina at COP 10 • Completion of the first comprehensive review • SBI 25 (Nov 2006, COP 12/CMP 2) • Steps on regular monitoring (decisions 4/CP.12, 6/CMP.2)

9. Framework | Review process (monitoring and evaluation steps) • SBI 25 (Nov 2006, COP 12/CMP 2) • Steps on regular monitoring (decisions 4/CP.12, 6/CMP.2) • Structured format developed for annual synthesis report on capacity-building • SBI 27 (Dec 2007, COP 13/CMP 3) • Annual synthesis report on CB based on new format • Invitation to Parties to submit information on their experiences with M&E at the national level • Request to sec to prepare a technical paper on approaches to M&E at different levels • Mandate for this workshop given by the COP • SBI 28 • Terms of reference for second comprehensive concluded by the SBI • Review (“evaluation”) of CB to be conducted at SBI 30 (June 2009) and completed at SBI 31/COP 15 (December 2009)

10. Framework | Workshop Mandate COP 13 took note of approaches to monitoring and evaluation of capacity-building at different levels that were identified at a CB workshop in Antigua & Barbuda’s last year, and recognized that further work was needed to identify monitoring and evaluation approaches relevant at the national and global levels. COP 13 also invited Parties to submit information on their experiences with monitoring and evaluation at the national level. Then requested the secretariat to prepare a technical paper containing approaches to monitoring and evaluation at different levels and Further requested the secretariat to convene a meeting, before COP 14, to discuss experiences in using performance indicators for the monitoring and evaluation of capacity-building at the national level, The report on the outcome of this meeting will be considered by SBI 29.

11. Framework | Workshop Objectives • Share experiences in the application of performance indicators in monitoring and evaluation of capacity-building at the national level, including practical examples of such activities • Share experiences and lessons learned in approaches used in monitoring and evaluating capacity-building in various fields, in order to explore how such methods could be applied to capacity-building for climate change, mostly based on findings of the technical paper • Share information on potential conceptual frameworks for development and application of performance indicators for capacity-building for climate change under the Convention at the national and global levels.

12. Summary of Last Workshop • A first Expert workshop on monitoring and evaluating capacity building activities took place on 5-6 November 2007 in Antigua and Barbuda • Discussions at the workshop focused on the experiences of Parties in capacity-building and the experiences of intergovernmental organizations and other bodies in monitoring and evaluating capacity-building. • Copies of main presentations and the report of the workshop to the SBI are included in your workshop package

13. Summary of Last Workshop • Some guiding principles and observations came out from the workshop, in particular: • Performance indicators would need to be chosen sparingly with the emphasis on being practical and useful to the process of capacity-building, rather than fulfilling a general desire for monitoring • The choice of a baseline for future monitoring and evaluation of progress emerged as another important issue • Monitoring and evaluation should support the long-term nature of capacity-building in a practical way, without interfering with the process of capacity development itself.

14. Levels of Capacity and Capacity-building • From the Antigua workshop, two dimensions for integrating capacity and capacity-building became evident in how capacity and capacity-building can be viewed: These can be framed as follows: • ‘Horizontal integration’: Capacity is viewed and developed at the levels of individuals, organisations, and national or societal systems (governmental, sectoral or social), mainly through projects or programmes or stand-alone efforts aimed at individuals; • ‘Vertical integration’: Capacities are viewed and aggregated in terms of the local, national, regional or global levels, and can be further built and enhanced through the operation of networks of players (including local and central governments) orienting their efforts towards an over-arching cause.

15. Framework | Overview of agenda TODAY • Session I: Setting the scene • (this) Background • Presentation on the Technical Paper • Session II: Application of performance measures in different organizations • Presentations • General discussion on key lessons learned • Welcome cocktail <target: 6:30 pm departure> TOMORROW • Session III: Application of performance measures at the national level • Presentations by Parties • Session IV: Enhancing CB through M&E: breakout groups • Session V: A case study on develop performance indicators for technology transfer • Presentation and questions & answer session